Richmond City Council
June 25, 2024

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x Prepare protocols, metrics, and site selection criteria for field demonstration of selected innovative condition assessment technologies and decision-support systems.

To meet these project objectives, a stakeholder group was established to review all task products, and a technology forum was convened to help compile and assess the current state-of-the-art and evolving technologies including any critical gaps in performance, affordability or applicability to wastewater collection systems. During the literature review for the White Paper, internal camera inspection technologies were researched and evaluated for immediate transfer to utilities at large; advanced integrity assessment technologies that apply non-contact, remote sensing approaches were also reviewed. In the main portion of the project, protocols/metrics for field demonstration of selected technologies will be developed, as will criteria for selecting demonstration sites. Finally, field demonstrations of select technologies will be conducted.

The work products resulting from the project will include:
x White paper summarizing current state of the technology. x Summary of technology forum discussions and findings. x Comprehensive inventory of condition assessment technologies. x Information transfer document on internal camera inspection technologies. x Information transfer document on advanced integrity monitoring technologies. x Quality assurance project plan for conducting field demonstrations and data analysis. x Technical memoranda summarizing each task.
x Final project report.

A draft white paper was prepared and used as a basis for discussion at the project’s Technology Forum held in Edison, NJ on September 11 and 12, 2008. It was distributed to the expert panel, stakeholders and other participants in advance of the meeting. This final white paper incorporates feedback received at the Technology Forum.

1.3 Definition of Terms
A wastewater collection system or sanitary sewer system is defined as the network of pipes and pumping systems used to convey sanitary flow to a wastewater treatment facility for treatment prior to discharge to the environment. A wastewater collection system is designed to convey only sanitary flow, whereas a combined system is designed to convey sanitary and stormwater flows.

A gravity line is a sewer pipe that is sloped to convey flow via gravitational forces. Typical design standards are based on open channel flow equations under normal flow conditions utilizing Manning’s equation. Design criteria for a gravity line generally take into consideration anticipated defects as a pipe remains in service. An allowable rate of inflow and infiltration expressed in terms of gallons per minute per in. diameter per mile length (gpm/in-mile) is included in hydraulic design of gravity lines. It is also typical to select a frictional coefficient that is based upon a sediment accumulation at the invert of the pipe. The minimum diameter of a gravity line (excluding service laterals) is typically 8 inches (in.); however, large interceptors can have diameters in excess of 12 feet (ft). Older systems may contain 6-in. gravity lines.

Service laterals are the gravity lines that convey wastewater from a building’s foundation to the sanitary line, or main, in the street. The ownership of the service lateral varies widely from area to area. It may be defined by property line limits, with the private sewer lateral extending from the house or building foundation to the property line and the municipal or public lateral located within the public right of way.

In other cases, the property owner may own the service lateral all the way to the main.

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A force main is a pressure line used to convey pumped sewage. The Water Environment Research Federation (WERF) 2004 survey indicated that force mains comprise, on average, 7.5% of a collection system. This percentage does vary considerably depending on the region and the topography.

Approximately 46% of the force mains have diameters less than 12-in. and 20% are greater than 36-in.

The most common pipe materials for force mains are cast iron and ductile iron.

Asset Management - The primary components of any asset management program include the identification, location, and condition of assets; the determination of their useful life and their valuation.

The key to asset management is to understand the types, frequency, and costs of failure. Asset management often employs a risk-based management approach that utilizes information on asset failures as part of a decision making model to manage funding and maintenance priorities. One risk model often employed is Failure Mode and Effects Analysis (FMEA). FMEA analyzes a system’s potential failure modes so they can be classified by severity or determination of the effect upon the system. It is widely used in manufacturing as a risk mitigation tool in various phases of product life cycle and product quality planning.

The Water Research Foundation (formerly the American Water Works Association Research Foundation (AwwaRF)) and the Water Environment Federation (WEF) have both produced guidance documents on asset management and risk-based analysis of assets. The Capacity, Management, Operation and Maintenance (CMOM) program also outlines the framework necessary to develop an information-based strategy on managing assets. Such approaches are not unique to the wastewater industry. Developing an understanding of the risks and potential costs of system failure can aid in the decision making process.

Condition assessment is one of the core components of an asset management program. It provides the critical information needed to assess the condition and remaining useful life and long-term performance of a piping system. Condition assessment can also be used to determine the functionality of the pipes in meeting their design criteria. USEPA has defined “condition assessment” as the collection of data and information through the direct inspection, observation, and investigation and in-direct monitoring and reporting, and the analysis of the data and information to make a determination of the structural, operational and performance status of capital infrastructure assets (USEPA, 2007).

The type of pipe defect varies depending on the pipe material and pipe diameter, as discussed in Section

3.2. The most prevalent defects are as follows: cracks/broken pipe, root intrusion, sediment, grease build-up, off-set joints, corrosion, manhole frame and cover leaks, and pipe sags.

Pipe failure includes collapse, which may cause extensive property damage and/or discharge of untreated sewage, severe hydraulic restrictions, and severe decrease in hydraulic capacity. Other less severe pipe conditions could also be considered “failure” depending on the performance standards set for the system.

The term inspection technologies in this white paper refers to the various methods used for detecting pipe defects, structural and operational condition, and environmental conditions that could potentially impact pipe condition. These technologies, discussed in Section 4.0, have varying abilities for detecting and quantifying specific types of pipe defects. Inspection technologies may have limited applications depending on pipe material and/or pipe diameter. A robust condition assessment method would likely include a variety of inspection technologies, based on the specific characteristics of a utility’s sewer network.

1.4 Critical Gaps in Inspection Technologies and Condition Assessment A previous research project (Thomson et al., 2004) surveyed large wastewater utility districts to determine critical gaps in condition assessment of gravity pipelines and force mains. The survey found that 100% of the 31 survey respondents relied almost exclusively on CCTV as the primary means to inspect pipes. The general limitations of current CCTV technology were the focus of the identification of critical gaps. There were also several respondents who expressed concerns with the inability to measure

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the structural integrity of the pipe wall and the inability to measure crown corrosion of concrete pipe and internal corrosion for ferrous pipes.

1.4.1 Gravity Line Inspection
The majority of sewer pipeline inspection activities performed by utilities involve gravity pipelines. In the 2004 utility survey (Thomson et al. 2004), critical gaps for inspection technologies for gravity lines were defined as follows:
x The needs for improvements to CCTV - higher resolution cameras with better lighting; improvements in crawler technology to negotiate obstructions, grease, offset-joints; and cameras for inspection of laterals.
x Ability to monitor in surcharged (i.e., flooded) conditions. x Inability to obtain information on pipe wall thickness. x Inability to measure slope.
x Inability to locate manholes1.
x Inability to locate soil voids above or below a pipe segment. x Inability to quantify corrosion (e.g., internal, external).

1.4.2 Pressure Line/Force Main Inspection
Inspection of force mains is currently limited to pipelines that are taken out of service. For this reason, force mains are infrequently inspected by utilities, primarily because of the inability to take the line out of service without costly by-pass pumping. Other critical gaps in inspection of force mains include the limited number of inspection technologies suitable for use in force mains; and the inability to determine wall thickness, cracking, and pitting with currently available inspection technologies (Thomson et al. 2004).

1.4.3 Condition Assessment Protocols
Based on a survey of twenty-four Canadian sewer agencies using condition assessment protocols, Rahman and Vanier (2004) identified the lack of consistent, standard condition assessment protocols as a critical gap. The survey results showed 68% of the respondents used a protocol based on that of the National Water Research Council. The biggest gaps identified were systematic collection of data and use of formal risk assessment methods to prioritize resources for maintenance and rehabilitation activities.

Research has focused on the use of models to standardize the risk-based decision-making process.

1.5 Research Questions
The following key research questions relating to sewer inspection and condition assessment have emerged from EPA research (USEPA, 2007). These questions reflect critical gaps in our knowledge of the performance of innovative inspection technologies, our understanding of proven condition assessment techniques, and our ability to diagnose and predict infrastructure failures. x Can emerging and innovative inspection technologies be identified and demonstrated in field settings to improve our understanding of their cost-effectiveness, technical performance, and reliability?
1 Other sources indicate that manholes can be located via CCTV inspection. CCTV crawlers can be equipped with radio transponders to aid in manhole location.

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x Can advances in remote monitoring and wireless technologies be applied to reduce confinedspace entry requirements for sewer system inspection and investigation? x What measurements or operational data can be used to determine and track the condition of assets over time?
x Can standard technical guidelines, uniform data requirements, and indicators be developed for condition assessment of sewers and non-sewer assets, including manholes, service laterals, and pipe joints?
x Can technical guidance be developed for establishing an overall wastewater infrastructure inspection program, including inspection prioritization, inspection frequency, inspection type (physical vs. visual, maintenance vs. structural), inspection by asset type, and inspection costeffectiveness? x How can a municipality determine the impact of deteriorating collection systems on their financial budgets?
x Can infrastructure failure mechanisms be better characterized to improve risk assessment models?

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2.0 Condition Assessment
Condition assessment has gained considerable attention in recent years amongst municipalities and utility districts as a component of an asset management program. It can be used to prioritize infrastructure projects based on relative risk, thereby easing the financial burden on wastewater utilities and their customers. WERF estimates that wastewater utility purveyors spend approximately $4.2 billion annually to rehabilitate sanitary pipelines. Local and state governments are required to tabulate the value of their public assets (i.e., buildings, roads, utilities, etc.) to support the development of a unified cost accounting system, per the Governmental Accounting Standards Board Bulletin 34. This program requires detailed financial accounting of all assets, however, the level of detail to which it is implemented can vary from city to city. Condition assessment can also assist utilities in implementing USEPA’s proposed guidance for evaluating the Capacity, Management, Operation, and Maintenance (CMOM) program for sanitary sewer collection systems (USEPA, 2005). The CMOM program requires a municipality that operates a sanitary sewer system to provide adequate conveyance capacity for all parts of the system and to take all feasible steps to stop and mitigate the impacts of sanitary sewer overflows.

A variety of processes have been developed for performing condition assessments, ranging from simple to complex. They generally follow a similar progression of steps: setting objectives for the condition assessment, identification of assets and available data, asset inspection, data analysis, and decision making. Specific condition assessment processes are described in the WERF publication “Condition Assessment Strategies and Protocols for Water and Wastewater Utilities” (Marlow et al., 2007) and in the National Research Council’s “Guidelines for Condition Assessment and Rehabilitation of Large Sewers” (McDonald and Zhao, 2001). Figure 2-1 illustrates the steps in the condition assessment process.

Inventory database
Impact assessment
Prioritization
Frequency of
next inspection Inspection
Rehabilitation
Condition
Assessment
Decision- making on
rehabilitation actions
Source: McDonald and Zhao, 2001
Figure 2-1: Condition Assessment

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2.1 Program Development
The development of a condition assessment program must first consider the program drivers and objectives. The drivers may include regulatory compliance, operation and maintenance efficiency, risk management, and/or financial budgeting forecast. Often, the primary driver for wastewater utilities is investigation of sources of infiltration/inflow (I/I) that would require a system-wide condition assessment program. Other utilities are more concerned with identifying high risk pipes for which a catastrophic failure could lead to extensive service disruptions and environmental damage. A risk-based condition assessment program would focus on specific pipes that present these types of risk.

Objectives for performing the condition assessment should be explicitly stated, so that the program’s effectiveness can be evaluated. The objectives will also establish how the results of the condition assessment will be used in the decision making process, the final step of condition assessment. Key performance indicators (KPIs), metrics used to determine the utility’s progress to defined goals, would be defined at this step. Objectives for performing a condition assessment could be to understand the structural condition, performance, and/or progression of deterioration (i.e. remaining service life) of the asset.

The costs of conducting condition assessment must be documented and compared to the anticipated benefits in order to justify the program. The costs are typically easier to quantify but should include both the direct costs of inspection and the indirect costs to the utility and other parties of carrying out the inspection work and collecting and analyzing the data. The benefits are more difficult to quantify and derive mainly from the reduction in the risk of failure (likelihood times consequences of failure) and from the knowledge that allows maintenance, rehabilitation and replacement to be carried out on the most cost effective schedule. More specifically, the costs of condition assessment include:
x Equipment and labor costs to conduct field inspections including excavation, traffic control, road surface restoration, monitoring equipment and data collection. x Labor costs before and after field work for planning, data analysis and reporting. x Cost of service disruptions due to inspection work.

Specific benefits of a condition assessment program may include:
x Avoided emergency repair costs.
x Avoided costs of extended service disruptions due to a catastrophic failure. x Avoided restoration costs due to environmental and property damage from a catastrophic failure.
x Avoided public health costs (i.e. injury, death, disease transmission) from catastrophic failure.
x Improved planning and prioritization of rehabilitation and replacement projects due to condition assessment information and improved estimates of service life. x Avoided costs of premature pipe replacement or rehabilitation.

Comparing the costs to benefits for gravity sewers and force mains, it has been reported (Thomson 2008) that:
x The cost of inspection of gravity sewers is typically low with respect to the value of the asset (e.g. the cost of inspection of a 12-in diameter sewer at 13-ft depth is less than 1% of the asset value) and the proportion decreases with increasing depth and diameter of sewer. x The benefits from inspection of gravity sewers are likely to exceed costs for all but small diameter sewers at shallow depths.

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x The cost of inspection of force mains is high with indirect costs often exceeding the direct costs of inspection (emptying the line, providing temporary bypass, accessing the line). x The monetary benefits of inspection may be less than the cost of inspection for smaller lines in less populated areas (fail and fix approach may be chosen) although this ratio may change in environmentally sensitive areas. The benefits increase greatly for larger diameter force mains and urban areas due to the increased risk of major consequences.

When performing condition assessment, it is essential to compile an inventory of assets and existing system data (i.e. pipe material, size, age, maintenance history, inspection records). The utility should understand the content and form of existing data, and should identify data gaps at this step. System maps and geographic information system (GIS) databases are good information resources. Inspection and testing records may include I/I studies: flow data, smoke testing, flow isolation studies, and/or dye tracer studies. Failure data from within the system or from research on similar conditions (e.g., soil bedding type, material, age) in utility districts can be used to define risk of failure. Data gaps identified in this step are used to plan the inspection program.

A key difficulty in developing a rational inspection, condition assessment, and asset management program is that some of the most critical elements of the sewer infrastructure are the most difficult and expensive to inspect. For example, large diameter sewers have continuous and high levels of flow that make bypassing the sewer difficult or impossible. They may contain large debris that hinder inspections unless the pipes are cleaned first, and they may not have been inspected for decades. Similar conditions exist for force mains in terms of the consequences of failure vs. the ability to inspect.

2.2 Asset Inspection
The primary purpose of an inspection is to define the current condition of an asset, in order to detect and evaluate the progression of deterioration and to make informed decisions on asset management. A well developed inspection plan will maximize the value of the program, while minimizing the cost of inspection. A detailed work plan and quality assurance project plan should also be established at this step to outline how the proposed inspection program would meet the program objectives. The inspection plan should focus on what assets to inspect, when they should be inspected, and what technologies will be used for inspection. Ideally, an inspection would occur at a point prior to failure where an intervention could effectively renew the asset. For a buried pipeline, there is limited ability to obtain a warning indicator as to the appropriate time and location to perform an inspection. It is this unknown state that is the inherent risk in managing buried assets.

2.2.1 Selection of Assets for Inspection
It may be considered cost prohibitive to inspect every linear foot of a wastewater collection system especially when confronting the need to inspect a large system with little prior inspection history. It is for this reason that condition assessment programs generally use a planned approach to focus on high consequence/high risk pipes or to utilize statistical sampling to select assets for inspection. Decisions on which assets to inspect should be related to the objectives and KPIs defined in the program development phase of the condition assessment process. For example, if the objective or KPI is to reduce SSOs, then a utility may focus on service lateral, which are often a large source of I/I. If the objective or KPI is to reduce risk of failure of high consequence pipes, then a utility may focus on pipes with higher impact and probability of failure, and not inspect service laterals, as they are not high risk or high consequence.

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2.2.2 Prioritization of Assets
Two models for prioritizing assets for inspection are described below:
x The National Research Council’s approach (McDonald and Zhao, 2001) utilizes an “impact assessment” to prioritize assets for inspection. Impact assessment is a weighted average of six separate impact factors: location, soil support, size, depth, sewer function, and seismic factors. Impact assessment can then be directly calculated in a uniform approach based on a weighted average.
x SCRAPS (Sewer Cataloging, Retrieval, and Prioritization System) is based on the general approach of defining risk factors based on consequence of failure and likelihood of failure (Merrill et al., 2004). The term “Consequence of Failure” is defined as the impact of a failure in terms of repair cost, disruption to the public and economy, impairment of system operation, regulatory compliance, public health and safety, and damages to the environment.

The same terminology can also be applied to the decision making process used in applying condition assessment to asset management. The impact of a failure must be understood and quantified. If the impact can be quantified in dollars, then it can be compared to both the cost of condition assessment and the cost of replacement and/or rehabilitation.

2.2.3 Asset Inspection
The type of inspection performed depends on the objective of the condition assessment program. The selected inspection technique needs to be consistent with the type of asset to be inspected and provide the information and data required to support decision making. Flow monitoring is usually utilized when conducting I/I studies, to evaluate hydraulic capacity and determine hydraulic restrictions. CCTV is the most commonly used method of inspecting sewers for structural defects; however, there are a variety of technologies available for this type of inspection; these technologies are discussed in-depth in Section 4.0.

A detailed work plan and quality assurance project plan should be established; these documents ideally would outline how the proposed inspection program would meet the program objectives.

2.3 Data Management
A successful condition assessment program as part of an asset management program requires that the data collected are organized, analyzed, and maintained in a database system. This important step allows a utility to develop an understanding of trends. There are three general approaches to database management that have varying degrees of cost and complexity but all of which use commercially available software:

1. Software specifically designed for condition assessment and asset management.

2. Database software that is not specifically designed for condition assessment.

3. Spreadsheet software.

2.3.1 Condition Assessment/Asset Management Software
There are numerous commercially available data management programs for condition assessment that range in level of complexity and cost. The primary component is a database to store defect coding on pipe segments both spatially and over time. The commercially available systems can also incorporate additional elements such as cost accounting, develop work orders for maintenance calls, and order parts to maintain required spare parts. Another useful feature is the incorporation of GIS functionality into the system. The GIS component highlights the geo-spatial distribution of the data, and can provide a very effective tool for the utility to plan subsequent inspections and/or rehabilitation activities. The benefit of

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the commercially available programs is that they are designed specifically for the intended purpose.

However, the cost of system maintenance can be significant, as can licensing costs, depending upon system complexity.

Another type of commercially available software is designed to summarize the results of a CCTV inspection and the resulting defect code data. This has become standard practice in the industry. The National Association of Sewer Service Companies (NASSCO) licenses software programs to be consistent using the PACP and Manhole Assessment Certification Program (MACP) rating systems, which are discussed in Section 2.4.2. The certification programs allow commercial providers to submit their pipe assessment software for evaluation and certification to ensure that their software adheres to NASSCO standards. It is important to verify the software has been approved to decrease the set-up time required to enter ranking and coding information. Pipeline inspection software is used simultaneously with pipeline inspection hardware to accurately document the status of sewer pipe, storm drains, or water pipelines. The software gives access to text data, video, and still photos all of which help the user identify the condition of the pipe and precisely complete a pipeline inspection. Defects can be quickly categorized by location, type, and severity. The software compiles this data into a searchable database which can be distributed into printed reports.

2.3.2 General Database Management Software
Utilization of commercially available database software requires a utility to design a database specific to their needs. The benefit would be the reduced initial licensing cost of the software. Most utilities would have database software as part of their professional software packages licensed for their operating system.

Another benefit is that it may cost less to maintain than the condition assessment software described above. A drawback to this approach is the significant up-front work and required expertise to design a database system for the intended purpose.

2.3.3 Spreadsheet Software
Spreadsheet software is the least costly of the three systems; however, it also has the most limitations.

This type of software is readily available and likely exists at each of the utilities. A simple yet effective system can be designed to collect and store data. However, spreadsheets are a flat file system and are very limited in usefulness as the database expands. It can become overly cumbersome if multiple spread sheets are required.

2.4 Data Analysis
The data resulting from inspection may quantify the level of service and/or structural defects. It does not, however, provide any ability to reduce risk or define the significance of the finding. The follow-up step is to process and analyze the inspection data. There are two general analysis methods used, based on the type of inspection performed. If flow monitoring was employed as the inspection technology, an analysis of hydraulic capacity is performed, using hydraulic modeling techniques. If an inspection of structural defects utilizing CCTV or one of the other non-destructive technologies was performed, analysis is generally performed by coding defects in accordance with one of the various methods available, such as the Water Research Centre (WRc)’s system or NASCCO’s PACP and MACP programs

2.4.1 Hydraulic Capacity/Hydraulic Restrictions
Hydraulic capacity is the primary performance measure for a wastewater collection system. Flow data gathered by flow meters has been used to guide sewer system management for at least three decades.

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Advancements in technology and software have brought a new level of condition assessment information to utility managers. The purpose of this section is to discuss the use of flow data as a tool in condition assessment. A description of improvements in flow meter technology is discussed in Section 4.5.

Historically, flow data have been used in Sewer System Evaluation Survey (SSES) as a screening tool to prioritize areas for further study. Flow data presented over a period of time are useful in demonstrating the system impacts due to rainfall or elevated groundwater. It provides the required information to calibrate a hydraulic model or conduct I/I studies. The hydraulic model can then be used as a predictive tool to project overflow and/or surcharged conditions for various design storms.

The following is a list of the most common indirect measurements that allow an operator to assess the general condition or rate of I/I:
x Average Daily Dry Weather Flow includes the average flow from a sewershed, which is composed of the wastewater production rate and base infiltration of the system. x Base Wastewater Flow is estimated on the number and type of sewer users, domestic water usage records, and predicted diurnal flow variations. It equates to the anticipated flow rate of only wastewater in the system.
x Groundwater infiltration is determined by subtracting the estimated Base Wastewater Flow from the Average Daily Dry Weather Flow.
x Capture coefficient or percentage of rainfall that enters the sewer. x Relationship between rainfall and peak flow rate.

The I/I values are valuable for planning purposes, providing a good indicator of pipe conditions upstream of a flow meter. As the sub-areas for which data are collected increase in size, flow data are less useful as a predictive tool for condition assessment. It does, however, provide the data to quantify groundwater infiltration and wet weather derived flow for the area tributary to the metering location.

The real value of flow monitoring data of sewers is developing a database on long-term historic trends in order to determine seasonal variations and impacts of wet weather. Flow data provide the direct correlation needed to determine if performance measures are being attained. Flow data are also useful as a screening tool to determine problems areas of a system that require further study by other means.

The traditional method of viewing flow data is hydrographs, which reveal information on condition upstream of flow meters. Alternatively, flow data can be viewed as scattergraphs, which provide information on hydraulic conditions downstream, or in the vicinity of, a flow meter. Scattergraphs are created by plotting flow depth versus flow velocity data. When flow meters are working correctly, a normal pipe curve is plotted unless normal open channel flow is not occurring. In these cases, the scattergraph data can be used to identify such hydraulic restrictions as silt or obstacles, bottlenecks, and negative grade pipe, as well as surcharged conditions.

2.4.2 Structural Condition
For wastewater collection systems, analysis of inspection data generally involves coding the defects based on both the type and severity of defects. Structural pipe defects and hydraulic restrictions encountered during the inspection need to be ranked by severity level based on the potential to negatively impact the system’s hydraulic capacity.

The WRc, located in the United Kingdom, developed a set of standards to rank the severity of pipe defects found in an inspection. European authorities adopted these standards as their benchmark pipe defect coding standard. In 2001, NASSCO developed a set of coding standards based on the WRc system (NAASCO, 2001). The NASSCO PACP standards have successfully become the industry standard for coding pipe defects. NASSCO has also developed the MACP, which is similar to PACP but applies to manholes instead of pipelines. NASSCO has training programs to certify and train inspection

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professionals in PACP and MACP. NASSCO has begun work on developing a coding system for service laterals.

The PACP coding system categorizes defects and features into five sections: continuous defect coding, structural defect coding, operational and maintenance coding, construction features coding, and miscellaneous features coding. For each type of defect, the PACP uses a combination of capital letters to describe the type of defect and a number to rank the severity of the defect. An example is “FL” for a longitudinal fracture. Defect codes are recorded on a standardized form along with pertinent system data including defect type, continuous distance of the defect, severity, size, circumferential location (clock location), joint number, image/video reference number, and comments.

A brief description of the PACP defect coding system is described below:
x Continuous Defect Coding: Continuous defect coding is made up of two separate coding classifications. The first is called “Truly”. Truly continuous defects are defects that run along the sewer for a minimum distance of three ft. These defects include longitudinal fractures and cracks. “Repeated” continuous defect coding defects are continuous defects that occur at regular intervals along the pipe. These usually occur at pipe joints and include encrustation, open joints, and circumferential fractures. Continuous defect coding can be used in conjunction with other types of coding to accurately describe defects on the PACP form.
x Structural Defect Coding: Structural defect coding is made up of a number of separate coding classifications. This section uses coding to define the type of defects that are related to structural degradation of the pipe due to various reasons. The coding under structural defects are as follows: crack (C), fracture (F), broken (B), hole (H), deformed (D), collapse (X), joint (J), surface damage (S), lining failure (LF), weld failure (WF), point repair (PR), and brick work (BW). Under each of these subtitles there are also other letters to further define the type of defect. For example: HSV is for a hole with visible soil. x Operational and Maintenance Defect Coding: This section uses coding to define the type of defects that are related to lack of maintenance on the pipe system. Operational and maintenance defect coding is made up of a number of separate coding classifications as follows: deposits (D), roots (R), infiltration (I), obstacles (OB), and vermin (V). Under each of these subtitles there are also other letters to further define the type of defect. For example:

VR designates that there are vermin, specifically, rats in the pipe. x Construction Features Coding: This section uses coding to define construction features located in or around the pipe system. Construction features coding is made up of a number of separate coding classifications as follows: tap (T), intruding seal material (IS), line (L), and access point (A). Under each of these subtitles there are also other letters to further define the type of defect. For example: AMH designates that there is an access point in the line that is a manhole.
x Miscellaneous Features Coding: Miscellaneous features coding is made up of a number of separate subcoding classifications. This section uses coding to define miscellaneous (M) features in the pipe system. Under this subtitle there are also other letters to further define the type of defect. For example: MCU designates that the camera is underwater.

The PACP uses a numerical grading system to define the severity of pipe defects. Condition grades for structural defects and operation and maintenance (O&M) defects are assigned based on the risk of further deterioration or failure. The numerical system uses numbers ranging from 1 to 5 with 1 being the best

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and 5 being the worst. The severity ranking considers the immediate defect, risk of failure, and rate of deterioration.
x Grade 5 – Pipe segment has failed or will likely fail within the next five years. Pipe segment requires immediate attention.
x Grade 4 – Pipe segment has severe defects with the risk of failure within the next five to ten years.
x Grade 3 – Pipe segment has moderate defects. Deterioration may continue, but not for ten to twenty years.
x Grade 2 – Pipe segment has minor defects. Pipe is unlikely to fail for at least 20 years. x Grade 1 – Pipe segment has minor defects. Failure is unlikely in the foreseeable future.

Pipe ratings are based on the number of occurrences for each condition grade and are calculated separately for both structural and O&M defects for each pipe segment. Each pipe segment will be assigned a segment grade based on the number of occurrences of each graded defect. The graded defect is multiplied by the number of occurrences, and this equals the segment grade. The overall pipe rating is calculated by adding all of the segment grades per pipeline. The structural defects are added separately from the O&M grades, so each pipeline receives two separate grades.

The PACP also uses a quick grading system, which is a shorthand method of expressing the number of occurrences for the 2 highest grade levels. The quick grading system uses four characters:

1. The first character is the highest severity grade occurring along the pipe length.

2. The second character is the total number of occurrences of the highest severity grade. If the total number exceeds 9, then alphabetic characters are used as follows: 10 to 14-A, 15-19-B, 20 to 24-C and so on.

3. The third character is the next highest severity grade occurring along the pipe length.

4. The fourth character is the total number of the second highest severity grade occurrences, which is formatted the same way as the second character.

For example, a code of 3224 would equate to two grade 3 defects and four grade 2 defects in a pipe segment. This also shows that no grade 4 or 5 defects were found. The quick grading system allows the pipe defects to be summarized in an efficient manner. As with the longhand method, structural defects are graded separately from O&M defects.

2.5 Decision Making
Decision making for condition assessment of a wastewater collection system entails understanding the possible risks and determining at what point a utility should intervene to avoid a failed condition with an unacceptable cost and/or consequence. It is important to note that condition assessment alone does not provide any benefit in risk reduction. The follow-up decision making process that leads to prioritization ranking and rehabilitation ranking followed by action to fix problems and upgrade the system is what leads to risk reduction.

The purpose of this section is to highlight and summarize the decision making process, the final step in the condition assessment process. In addition to inspection data, the utility requires supplemental data on long-term asset performance to aid in the decision making process.

Marlow et al. (2007) posed the following questions that need to be addressed to provide the required information for decision making:
x What are the consequences of asset failure?

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x What are the costs to replace/rehabilitate the assets? x What alternatives exist, given the results of the condition and performance assessment (e.g., replacement, deferment, rehabilitation, non-structural maintenance)? Important definitions to consider are failed condition and service life. The American Concrete Institute defines service life as the period of time following installation during which all properties exceed minimum accepted standards when routinely maintained.
x Technical service life – period of time until an unacceptable condition is reached. x Functional service life – period of time until the system element no longer provides functional service.
x Economic service life – period of time until it becomes economically more effective to replace or rehab than to continue to operate in its current condition.

The objective for the decision making model is to understand risk and to determine when to intervene to avoid unacceptable consequences (e.g., economic, socio-economic, environmental). However, it is not possible to have a robust decision making model without obtaining sufficient condition data to track pipe deterioration and to understand the pipe or system failure modes.

In general terms, decisions on pipe rehabilitation/replacement can be made based on one or more of the following: engineering calculations, probability of failure, and remaining life estimation. x Engineering Calculations: Inspection data are interpreted deterministically. An example would be to calculate structural condition of a pipe segment directly based on measured minimum wall thickness, actual loading conditions, and existing soil bedding. A second example of this methodology is the calculation of hydraulic capacity. Flow data can provide direct measurement of actual flow conditions; and then be interpolated using a hydraulic model to calculate hydraulic capacity of a pipe segment under current or projected conditions.

Both of these examples illustrate a direct calculation of the condition or performance of the pipe segment. If it does not meet the required design conditions or performance conditions, then replacement or rehabilitation is required.
x Probability of Failure: This type of output would ideally provide a direct forecast of pipe deterioration over time. If a utility have the data to support this type of forecast, then an intervention could be implemented before an unacceptable level of service occurred. In practice, it is difficult and potentially costly to directly determine the probability of failure.

However, the American Concrete Institute (2000) did reference studies and models to predict failure rate in reinforced concrete pipe. Regression forecasts and models were developed to predict failure of reinforced concrete pipe (RCP) based on chloride concentrations, extent of spalling and mechanical loading conditions, and sulfate concentration. Repeated data collection and analysis over time are required to obtain the decay curves based on the different paths to failure and the system or environmental conditions that exacerbate each failure mode.
x Remaining Life Estimation: Remaining life estimation is commonly used to characterize condition of buried assets. Remaining life is defined as the duration of time until an unacceptable condition exists or an asset no longer meets its primary function. Standard coding systems are used to define condition and performance. NASSCO’s PACP system, discussed in Section 2.4.2, has become the standard to follow in the United States for wastewater pipe systems.

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A variety of decision making models have been developed for sewer assets. WERF is developing a webbased model based on remaining economic life of water and wastewater pipes. T-WARP is a software program that uses fuzzy logic to analyze the possibilities of pipe failure. The European Union’s Computer-Aided Rehabilitation Program for Sewers (CARE-S) is a software program that supports efficiency in rehabilitation decisions. McDonald and Zhao (2001) propose a matrix approach for decision making based on asset condition grades and an impact assessment rating as summarized in Table 2-1.

The term impact assessment is defined by the authors as a weighted average of six separate impact factors: location, soil support, size, depth, sewer function, and seismic factors.

Table 2-1: Condition Assessment Matrix
Asset condition
grade*
Implication of asset
condition
Impact assessment Action Inspection
frequency
5 Failed or imminent failure 1 to 5 Immediate NA
4 Condition poor, high risk of
structural failure
5 Immediate NA
1 to 4 High 2 to 6 years
3 Condition poor, moderate
structural risk
4 to 5 Medium 3 yrs
1 to 3 Low 5 to 10 years
2 Fair condition, minimal
structural risk
5 Medium 5 years
1 to 4 Low 10 to 15 years
0 to 1 Good condition 5Not required 10 years
1 to 4 15 to 25 years
* Condition grade is based on WRc coding system (Manual of Sewer Condition Assessment, WRc 2003).

NA – Not Applicable
Source: McDonald and Zhao, 2001

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3.0 Dynamics of Wastewater Collection System Failure
In conducting condition assessment, it is important to understand the dynamics of pipe failure including the level, type, and severity of a failure mechanism. Failure modes can include sudden, catastrophic collapse of a pipe or restricted hydraulic capacity. The purpose of condition assessment is to detect pipe defects which indicate the likelihood of pipe failure, as well as to assess the collection system’s performance. This section discusses the mechanisms of pipe failure, the various types of pipe defects, and the relationship between the condition of a pipe and its performance. It is important to understand that pipe failure and defects are highly dependent upon the pipe material, diameter, and type of sewer (e.g. force main, gravity line).

3.1 Failure Mechanisms
Pipe failures can be grouped into three general categories according to the cause of failure: hydraulic restrictions (e.g. blockage), hydraulic capacity, and structural condition. The following sections provide additional details on these failure mechanisms.

3.1.1 Hydraulic Restrictions
The primary function of a wastewater collection system is to convey wastewater; therefore, hydraulic capacity and factors that limit it are of paramount concern. Hydraulic restrictions are the most prevalent condition encountered in wastewater collection systems. The characteristics of untreated wastewater are such that accumulation of sediment, grease, and rags is a constant maintenance item. There are situations in larger diameter sewers, especially combined sewers, when large items create obstructions and rapid hydraulic restrictions. This can lead to street and basement flooding.

Standards used for hydraulic design mandate minimum slopes for various pipe diameters to achieve scouring velocities that minimize debris accumulation. However, there are many external conditions that encourage debris accumulation (e.g. root intrusion, grease, pipe sags).

Blockages are easily detected by visual inspection. The direct cause of a blockage sometimes is not evident. For most conditions, the failure rate is slow over time. A standard maintenance program for cleaning and flushing sewers is typically adequate to control blockages. The types of defects that fall within the category of hydraulic restrictions are as follows: root intrusion, sediment accumulation, and grease build-up. It should be noted that off-set joints and pipe sags can directly impact pipe flow thereby creating low velocity conditions that are conducive to solids deposition.

3.1.2 Hydraulic Capacity
Failure due to hydraulic capacity is defined as a pipe segment not having adequate, available capacity for the designed conditions. The failure condition may be caused by excessive I/I, pipe deformation, and/or inadequate slope.

I/I have a direct impact on the capacity available to convey wastewater. The groundwater and storm water enter the collection system through direct connections or indirectly via cracks and defects. Zero I/I is not a realistic design objective. The hydraulic design of new sewers considers an anticipated level of I/I in determining pipe size.

Pipe deformation and inadequate slope directly impact the hydraulic capacity of the pipe. Flow can be calculated based on the Manning’s equation for normal flow conditions:

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2/3*S1/2 Q = 1/n *A* Rh
Whereas
Q = Flow2
(volume per time).

A = Cross-sectional flow area (area).
n = Manning’s roughness coefficient.

Rh = Hydraulic radius (length).

S = Pipe slope.

The mathematical relationship of change in area due to pipe deformation or inadequate slope is selfevident. A decrease in flow area and/or pipe slope will result in a proportional decrease in flow capacity.

Failure due to hydraulic capacity is often a sign of other types of defects such as structural defects. Major sources of I/I can be cracks, broken pipes, leaks from manhole frames and covers, and off-set joints. Pipe sags and areas of inadequate pipe slope can be due to loss of pipe bedding or inadequate construction controls.

3.1.3 Structural Failure
Structural failure is caused by defects of the pipe wall and/or the soil envelope used to support the pipe.

In general, the types of defects that are associated with structural failure include cracks, misaligned or offset joints, pipe deflection, cracked manhole frames and covers, and internal and external corrosion.

Internal corrosion is caused by hydrogen sulfide formation, and external corrosion is due to soil corrosivity.

The pipe is supported by a soil envelope that consists of the soil bedding and the cover soil. The soil bedding acts as the foundation for the pipe and distributes the vertical load around the exterior of the pipe wall. The pipe is subjected to live loads and earth loads. The goal of the bedding design is to transmit this load to the bedding and avoid point loads on the pipe. Loss of bedding can result in the pipe bridging areas of reduced bedding. This can lead to pipe deflection, pipe deformation, and longitudinal cracking.

Increased traffic load or loss of soil cover is another cause of structural failure.

The type and degree of failure differ by pipe material. Some pipe material (e.g. PCCP) is susceptible to sudden failure while others fail gradually and are easily detected by visual inspections. Typical failure modes for various types of pipe material used in sewer collection systems include:
x Ferrous Pipe (Ductile Iron, Cast Iron, Steel) - The primary failure mode for metal pipes is internal or external corrosion, which leads to breaks or holes in the pipe wall. Cast iron in particular is brittle, making these pipes prone to cracking. Large diameter steel pipes are susceptible to collapse as well as corrosion.
x Concrete Pipe (RCP, PCCP) - Corrosion is often a major factor in the structural failure of concrete pipe. RCP typically fails after the interior surface of the pipe wall has deteriorated to such a degree that the reinforcing steel is exposed. As the reinforcing steel corrodes, it swells, beginning to break up the surrounding concrete and causing failure. PCCP has a distinctive failure mechanism as failure occurs when the pre-stressed wires break, generally as a result of corrosion or direct physical damage to the pipe. x Ceramic-based pipe (Brick, Vitrified Clay Pipe (VCP)) - Brick pipes generally fail by collapse, often caused by weakened mortar. VCP fails when external loads create cracks in 2 Please note a factor of 1.49 is used when utilizing British Units.

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the material. Failure is often exacerbated by the loss of surrounding soil into the pipe after initial fracture leading to void formation and loss of soil support to the pipe. x Plastic Pipe (Polyvinyl Chloride (PVC), High-density Polyethylene (HDPE)) - The primary failure mode of plastic pipe is environmental stress cracking, which occurs from stress developed in a deflected pipe or due to slow crack growth, a phenomenon that occurs when a pipe is subjected to long duration tensile stress. Leaking joints can also contribute to plastic pipe failure.

3.2 Pipe Defects
Sewer defects are generally categorized as service or structural. Structural defects include cracks, fractures, breaks, deformations, collapses, joint displacements, and open joints. Service defects include tree roots, obstructions, debris, and encrustation. Pipe defects can also be classified by whether they are defects of the internal pipe surface, a pipe wall defect, a leak, or an alignment defect. Thomson et al. (2004) classify defects as internal pipe surface (sediment, debris, and roots), pipe wall (pipe sags and deflections, pits and voids, corrosion and metal loss, off-set joints, pipe cracks, broken pre-stressed wires, wall thickness, service connections and deteriorated insulation), leakage, and pipe support (bedding condition and voids).

The most prevalent defects in wastewater collection systems are cracks/broken pipe, root intrusion, sediment, grease build-up, off-set joints, corrosion, frame and cover leaks, and pipe sags. However, pipe defects vary with the pipe material and pipe diameter. Because gravity lines and force mains are generally constructed of different materials, they are susceptible to different types of defects.

Gravity pipes are usually constructed of VCP or PVC which are prone to grease build-up and joint misalignment/leakage. However, VCP is likely to experience cracks/breaks and root intrusion, whereas PVC is more likely to have excessive deflection, grade and/or alignment issues, and lateral connection defects.

Unlike gravity pipes, most force mains are constructed of ferrous materials (i.e., welded steel, ductile iron, or cast iron) or plastic (PVC, HDPE). Large diameter force mains have also been constructed of PCCP. While ferrous pipes tend to experience defects similar to VCP and PVC, internal and external corrosion are the primary defects. Table 3-1 provides a summary of the most common pipe defects by pipe material from a recent utility survey (Thomson et al., 2004).

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Table 3-1: Most Common Pipe Defects Identified
Defect
Concrete Ferrous Ceramic Plastic Concrete pipe Asbestos cement PCCP/ CCP Cast iron/ ductile iron Steel VCP Brick PVC HDPE
Internal pipe surface
Root intrusion x x x x x x x x
Grease build-up x x x x x x x x
Pipe wall condition
Cracks/ broken pipe x x x
Internal corrosion x x x x
External corrosion x x x
Leakage
General x x x x x
Joint leakage x x
Leaking laterals x x
Alignment/grade
Alignment x x x
Joint misalignment x x x x
Excessive deflection x x x
Grade x x
Other 1 2 3 4
1 – Liner separation, weld failure 3 – Lateral connections 2 – Missing bricks, soft mortar, vertical deflection, collapse 4 – Pressure capacity (force mains only) Source: Thomson et al. (2004). Reprinted with permission from WERF.

3.3 Correlations between Assessed Conditions and Performance Measures The measure of performance for a wastewater collection system can be based on four critical areas:
service level, regulatory compliance, public health and safety, and environmental protection (Fleury and Warner, 2007). The subsections below describe how these performance measures can be correlated to pipe condition.
x Service Level: Wastewater utilities strive to provide continuous, efficient service for their customers. Pipe conditions that affect service level include defects or conditions that affect the available hydraulic capacity to convey current and future planned wastewater flows.

Excess hydraulic capacity in a newly constructed piping system can diminish over time due to many types of defects: corrosion, I/I, sediment accumulation, pipe deflections, and crossconnections. x Regulatory Compliance: Wastewater utilities must comply with existing regulations. The Clean Water Act (CWA) prohibits discharges of pollutants to waters of the U.S., unless authorized by a National Pollutant Discharge Elimination System permit. Unpermitted discharges from the sanitary sewer system constitute a violation of the CWA. Noncompliance with the SSO regulations, specifically the CMOM provisions, will result in enforcement actions including mandated O&M programs and fines. Pipe conditions that affect regulatory compliance may include defects or conditions that cause sewage overflows or back-ups.

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x Public Health and Safety: Wastewater utilities protect public health and safety by minimizing conditions where the public can be exposed to untreated sewage such as receiving waters used for drinking water sources, fishing, and/or contact recreation such as swimming.

Pipe conditions that affect protection of public health include defects or conditions that cause sewage overflows, back-ups or catastrophic pipe failure. x Environmental Protection: Pipe failure may cause extensive property damage and/or discharge of untreated sewage. Failures of large diameter pipes and force mains contribute to the formation of sinkholes that may lead to damage and/or disruption to roadways and utilities, as well as the creation of hydraulic restrictions. Pipe conditions that affect environmental protection efforts are similar to those listed above—defects or conditions that cause sewage overflows, back-ups, or catastrophic pipe failure.

Utilities use pipe condition information to assess how well they are meeting each of these performance measures and to identify and prioritize system needs. The goal is to provide the best possible service in a cost-effective manner. Utilities need to know what is an acceptable level of performance that can provide regulatory compliance, environmentally acceptable performance, and operational effectiveness at the lowest possible life cycle cost? Inspection and condition assessment provide key information for helping the utility address these questions and balance system needs and costs.

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4.0 Inspection Technologies
Inspection technologies and their use in condition assessment for wastewater collection systems are presented in this section. Each technology is briefly described, and commercially available and emerging products utilizing the technology are discussed. Table 4-1 provides a summary of typical applications for each technology.

Table 4-1: Inspection Technology Overview
Technology Sewer type
Pipe materialPipe diameter
Defects detected
GravityForce main Lateral Internalcondition Pipe wall Leakage Pipe support Camera
Digital cameras x Any 6-in.-
60-in. x x x
Zoom cameras x Any >6-in. x x x
Push-camera x Any 1-in.-
12-in.
x x x
Acoustic
In-line leak detectors x x Any >4-in. x
Acoustic monitoring
systems
x PCCP >18-in. x
Sonar/ultrasonic x x Any >2-in. x x
Electrical/electromagnetic
Electrical leak location x x x
Nonferrous >3-in. x
Remote field eddy current x x x
Ferrous,
PCCP >2-in. x x
Magnetic flux leakage x x x Ferrous 2-in.-
56-in. x
Laser
Laser
profiling
x x Any 4-in.-
160-in. x x
Innovative technologies
Gamma-gamma logging x x x Concrete Not yet
defined x
Ground penetrating radar x x x Any Not yet
defined x x
Infrared thermograph x x x Any Not yet
defined x x
Micro-deflection x Brick Not yet
defined
x x
Impact echo/SASW x
Brick/
Concrete >6-ft. x

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4.1 Camera Inspection
CCTV inspection is a very effective method of evaluating and creating a permanent video record of underground pipe conditions. The visual inspection of sanitary sewer lines enables a CCTV operator to locate and identify specific defects that contribute to the infiltration of groundwater into the collection system and exfiltration of sewage into the substrate surrounding a pipeline. This is a well established and common industry method for pipeline assessment. In a recent survey report (Thomson et al., 2004), 100% of survey respondents from large wastewater utility districts relied on CCTV as their primary method of collection system inspections; hence, it is not surprising that the critical gaps identified in this survey parallel the limitations of CCTV inspection. CCTV provides a means to inspect a pipeline that is either too small or hazardous for direct human entry inspection. The primary disadvantages to the technology are that it only provides a view of the pipe surface above the waterline and does not provide any structural data on the pipe wall integrity or a view of the soil envelope supporting the pipe.

The technology and level of ancillary equipment used for CCTV inspection of sewer systems varies significantly based on the diameter of the line being inspected. In general, CCTV technology uses a video camera with lighting to provide a visual recording of the inside condition of a pipeline. The means to convey the camera through the pipeline vary in complexity from simple pushrod cameras (pushcams) to complex remote controlled robot crawlers. The level of optical control on the camera also varies in complexity. The ability to pan, tilt, and zoom has become the industry standard for sewer inspection because it allows the operator to gain a full circumferential view of the pipe.

Data obtained from CCTV inspection include:
x Evidence of sediment, debris, roots, etc.
x Evidence of pipe sags and deflections.
x Off-set joints.
x Pipe cracks.
x Leaks.
x Location and condition of service connections.

As noted above, CCTV technology does have limitations due to its ability to only provide a visual representation of the inside surface of a pipe above the waterline. Additionally, the quality of defect identification and pipe condition assessment using CCTV is highly dependent on many factors including operator interpretation, picture quality, and flow level. In terms of benefits, it is a cost-effective technology providing the broadest base level of data used in condition assessment. For example, many technologies exist (as described in later section) that provide data on the structural condition of the pipe wall, and other technologies exist that can determine the condition of the soil surrounding the pipe.

However, these technologies are unable to provide visual data on leaks, location of service laterals, and sediment and debris accumulation. It is for this reason that CCTV will remain an important inspection tool in any condition assessment program for wastewater collection systems.

The following sections present innovative technologies specific to CCTV and its use in condition assessment for wastewater collection systems. Each technology will be briefly described, noting manufacturers and/or providers of the technology and typical applications. The technologies described in this section include:
x Zoom Camera Inspection.
x Digital Scanning.
x Camera Deployment.

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4.1.1 Zoom Camera Inspection
Like traditional CCTV inspection, zoom camera inspection technology involves the generation of still imagery and/or recorded video imagery of a pipe. The key difference is that in zoom camera inspection, the camera mount is stationary. The technology does not require the camera equipment to pass though the entire length of the pipe segments being inspected. Instead, the camera is mounted either on a truck, crane, pole, or a tripod. The equipment is then lowered into a manhole to perform the inspection and the camera “zooms” down any pipe entering or exiting the manhole.

Historically, zoom cameras have been utilized to perform manhole inspection and inspect a few ft down the pipe utilizing a camera mounted on the end of a telescopic pole. This technology is commonly referred to as a down look camera. Newer zoom cameras can pan 360 degrees and zoom up to 100-ft. in 6-in. diameter pipe and up to 700-ft. for larger pipe diameters.

This technology involves setting up the zoom camera at each manhole and inspecting the manhole and pipes. Potentially, the technology could allow for the inspection of an entire section of pipe from one manhole to the next. Zoom camera inspection has some of the same limitations as traditional CCTV pipe inspection in that it cannot inspect what is beneath the fluid being conveyed through the pipe. It is not designed to replace conventional CCTV systems, but rather to screen and prioritize pipes for further conventional CCTV work and/or cleaning pipelines. The technology does not provide the detailed visual evaluation of conventional CCTV. The primary advantage to the technology is improved production rate.

The set-up eliminates the need for cleaning prior to the inspection, as well as the inevitable down-time associated with an obstruction to a crawler mounted camera. An inspection crew can move through a service area in an expeditious manner and highlight segments requiring a more detailed inspection.

Zoom camera inspection is a very efficient, cost-effective method of performing manhole inspections, which has been its primary use. It is, however, limited in its ability to inspect pipe segments. Image resolution, lighting, and limitation in optical zoom are the primary disadvantages of this technology. The technologies described below attempt to overcome these limitations with improvements to lighting and zoom ability. This technology also increases the production rate of sewer inspections, as it collects data at a speed several times faster than traditional CCTV inspection. This is in part because pipes generally do not have to be flushed and cleaned prior to inspection.

Zoom camera inspection is only useful for inspecting gravity sewers because its access to the sewer is via a manhole. Force mains and/or service laterals do not have the required access points to deploy this technology. As with all camera inspection technologies, zoom camera inspection can be used with any pipe material.

Zoom camera inspection services are available from a variety of service providers. Both regional and national service providers have the ability to provide this service. It is not known if the use of the longer range cameras with increased zoom capabilities is a commonly used inspection tool in the industry.

Provided below is a description of four manufacturers of zoom cameras used for the inspection of gravity sewers.

No new zoom camera technologies under development have been specifically identified as emerging technologies. Likely, the identified manufacturers will continue product development and increase optical and digital zooming capabilities. It is also likely that the technology will be equipped with a digital inspection system as described in Section 4.1.2. Table 4-2 provides a summary description of the zoom camera technology.

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Table 4-2: Zoom Camera Inspection Summary

SUMMARY
Sewer type Gravity sewers only
Material Any
Pipe size > 6-in.

Defects detected Cracks, leaks, root intrusion, overall surface condition of pipe/manholes Original application Manhole inspection
Status Commercially available
Advantages High production rate, effective/efficient at prioritizing segments requiring more detailed inspection/maintenance
Disadvantages Inability to inspect manhole to manhole for average diameter lines, potential to miss significant defects
CUES IMX - Truck Mounted Zoom Camera
The CUES-IMX truck-mounted zoom camera provides video inspection for manholes and pipelines. The CUES-IMX camera offers imaging technology with a 25:1 optical zoom that is stabilized and remotely controlled by a telescopic boom. The camera can record images from up to 300’ into the pipeline. The camera mounting fork is designed to pan the camera head 360° continuously, tilt mechanically 45° up or 90° down, and tilt optically 166°. The camera imager, optics, mechanics and electronics are housed in a damage resistant, waterproof, rugged enclosure that is 7-in. in diameter and 16-in. in length. The CUESIMX system includes the camera, high intensity discharge lighting heads, mast system and controller.

The manufacturer indicates that the system can be mounted within an inspection van, all-terrain vehicle, or a trailer.

The system is equipped with data collection, GIS software and global positioning system (GPS) equipment. The GIS software and GPS equipment are used to create sewer maps in the field and create an asset management database for the system. Defects detected during the inspection can be stored in a database along with photos and video clips. All data is geo-referenced to the field collected GPS coordinates. This is common to the industry and the subject of further discussion in a later section.

The objective of the CUES-IMX camera system is to increase the production rate of the inspection process, as compared to traditional CCTV. The manufacturer indicates that an inspection process using zoom technology has a production rate of five to eight times higher than traditional CCTV and is a useful tool to efficiently characterize a collection system and prioritize segments for further inspection and/or cleaning. Inspections using the CUES-IMX camera provides mapping, inventory and condition information that can be used immediately to reduce system operation and maintenance issues by quickly identifying areas of high-risk due to blockage or structural defects. The risk of backups or overflows can be assessed and addressed rapidly.

GE Technologies - Ca-Zoom PTZ and QuickView
GE Technologies offers three truck-mounted Everest Ca-Zoom Pan-Tilt Zoom (PTZ) cameras for sewer inspection. Each camera has a different PTZ camera head. The PTZ 140 has a 300:1 zoom capability (optical 25:1, digital 12:1) and is equipped with two high-power 35-watt lights. The camera has the ability to record imagery up to 250 ft down a pipe segment with diameters between 15 in. and 60 in. The PTZ100 has 40:1 zoom capability (10:1 optical, 4:1 digital), and four 5-watt light-emitting diode (LED) lights. The PTZ270 also has a 40:1 zoom capacity, but has eight 5-watt LED lights.

The smaller hand-held QuickView unit is a pole mounted camera with a total zoom capability of 216:1 (18:1 optical, 12:1 digital). It has the ability to zoom to between 75 and 250 ft within pipe diameters of 6 in. to 60 in. The unit is mounted on an 18 foot telescoping pole.

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The benefits and limitations of these cameras are similar to those of the CUES-IMX camera system as described above.

CTZoom Technologies - PortaZoom
Innovative Technology Products, Inc. offers sewer inspection with the PortaZoom camera, manufactured by CTZoom Technologies. The PortaZoom is housed in a compact enclosure, just 6 in. in diameter. The camera pans more than 350° and has a 312:1 zoom capability (26:1 optical, 12:1 digital). The camera has full-circumference integrated lighting, including peripheral lighting to reduce shadows. The PortaZoom is operated by a computer, joystick and keyboard. The PortaZoom can be mounted to any vehicle or hand-held pole, and can zoom approximately 100 ft to 200 ft into pipes.

AquaData, Inc. - AquaZoom
AquaData Inc. also manufacturers zoom camera inspection equipment. They manufacture the AquaZoom system though it is not commercially available. The AquaZoom can be used on pipes with diameters of 6 in. or larger and can inspect pipelines for approximately 100 ft. It is normally mounted on either a truck or tripod, which is claimed to provide better stability compared to pole mounted devices. It also utilizes a built-in control center and video recording equipment to perform pipe inspections.

Aries Industries – HC3000 Zoom Pole Camera
The Aries HC3000 Zoom camera has a 432:1 zoom ratio (36:1 optical, 12:1 digital). The camera has two LED lights, and is mounted on a 6-foot to 18-foot telescoping pole. The camera can view up to 100 ft into the pipeline being inspected. The image is transmitted via radio frequency technology to a media case, which houses a radio frequency receiver and monitor. A small portable monitor is also available for viewing the images as the camera zooms down the pipe. The pole mounted device provides easy portability and rapid setup.

4.1.2 Digital Scanning
Digital scanning is a state-of-the-art technology within the camera inspection industry. Like conventional CCTV, digital cameras are transported through sewer lines using self-propelled crawlers. Unlike conventional CCTV systems, digital scanning uses one or two high-resolution digital cameras with wideangle lenses in the front, or front and rear, section of the housing. During pipe inspections, parallel mounted lights are triggered at the same position in the pipe. The hemispherical pictures scanned are put together to form 360° spherical images. There is one specific manufacturer that utilizes a single camera with a wide angle lens to accomplish the same result.

During the scanning process, data are transmitted to a surface viewing station where it can be viewed in real-time and recorded for later evaluation. The major advantage to digital scanning technology is that it is possible for the data to be assessed independently of the real-time sewer inspection. By comparison, conventional CCTV relies on a camera operator to pan, tilt, and zoom into critical areas for further review. The image, as controlled by the operator, is stored. Therefore, if the operator does not see a defect, the camera is not stopped for further investigation.

Digital scanning develops a full digital image of the pipe segment. This allows the individual reviewing the images to control the direction of the PTZ features and to stop the image at any point to capture video clips and images. The inner pipe surface can be “unfolded” providing a view of pipe conditions, which permits computer-aided measurement of defects and objects. Digital scanning provides a more consistent and complete assessment of pipe condition. It provides a second level of quality control in the review

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process and allows other individual(s) involved in the process to gain insight into the pipe condition (e.g., designers, rehabilitation contractors, and utility owners).

Digital scanning technology is primarily used for gravity lines in the 6-in. to 60-in. diameter range. Its applicability for use in inspecting sewer laterals is limited since laterals are typically less than 6 in. in diameter and access is generally through a small diameter clean-out. It is also limited in its ability to inspect force mains. Like conventional CCTV technology, digital scanning is only able to provide useful images above the waterline; force mains would have to be taken out of service and drained before digital recording. Access to force mains also typically restricts the use of digital and CCTV technology. Force mains are pressurized and do not have access manholes to insert CCTV equipment. Digital scanning can be used with any pipe material. Table 4-3 provides a summary description of the digital camera scanning technology.

Table 4-3: Digital Camera Scanning Inspection Summary

SUMMARY
Sewer type Gravity sewers, limited applicability for force mains and service laterals Material Any
Pipe size 6-in. to 60-in.

Defects detected Cracks, leaks, root intrusion, overall condition of pipe Original application Inspection of piping
Status Commercially available, new applications under development Advantages Increased QA/QC control, additional project personnel able to review/control data imagery, able to make digital measurements of defects, can compare data directly from one inspection to the next
Disadvantages More costly then CCTV, lower production rate compared to traditional CCTV, only works above waterline.

Digital scanning camera systems are available from a variety of vendors. Several commercial applications are specifically designed for the investigation of water, storm drain, and sewer pipelines.

The following are descriptions of some of the products available from several vendors.

Blackhawk-PAS - Sewer Scanning Evaluation Technology (SSET) SSET was developed in Japan in 1994, and introduced through field trials in the United States in 1997.

The third-generation SSET was refined by Blackhawk-PAS for commercial marketing. SSET uses two digital image capture devices mounted on a remotely controlled tractor. One of the cameras records a forward view of the pipeline while the other camera scans the side of the pipe to create a spiral, perpendicular view. SSET can be used in pipes ranging from 8-in. to 36-in. diameter, operating at a rate of approximately 13 ft per minute.

RapidView – IBAK, USA - Panoramo
The RapidView-IBAK, USA Panoramo system was developed by IBAK Helmut Hunger GmbH & Co.

KG of Kiel Germany in partnership with RapidView, LLC. The application was first developed and used in 2002. The first application in the United States was in 2007.

The Panoramo system uses two high-resolution digital photo cameras with 186° wide-angle lenses fit into the front and rear section of the housing. During pipe inspections, parallel mounted xenon flashlights are triggered at the same position in the pipe. The hemispherical pictures scanned are put together to form 360° spherical images. The Panoramo can scan 8-in. to 48-in. diameter pipes at a speed of up to 70 ft per minute in forward or reverse motion.

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During the Panoramo scanning process, the data are transmitted digitally to the inspection vehicle and are at the operator's disposal. The scans can be viewed as live pictures for orientation purposes and for locating any obstructions. In addition, the data are stored in the form of "PANORAMO films", on removable hard disks or digital video discs (DVDs).

This image scanning method makes it possible for the pipe inspection to be assessed by personnel away from the field. The reviewer has the ability to pan, tilt, or zoom in on potential defects as if in the truck with the field crew. The reviewer can stop at any position, turn a full circle, zoom, and complete the data analysis. An unfolded view of the inner pipe surface which is available simultaneously gives the reviewer a rapid view of the state of the pipe and permits computer-aided measurement of the position and size of objects. The Panoramo system works in conjunction with WinCan Scan Explorer Software Version 8.

Envirosight - DigiSewer
The Envirosight DigiSewer system was originally developed by DigiSewer and manufactured by IPEK (provider of crawlers and cameras to Envirosight). The DigiSewer was originally designed to be used for borehole inspection and was first used in Europe in 2003. It was officially released to the North American market in April 2007.

The DigiSewer uses one high-resolution photo cameras with 180° wide-angle fisheye lens, integrated into the front of the rover crawler. The DigiSewer can scan pipes from 6-in. to 60-in. diameter at a scan speed of 70 ft per minute. The DigiSewer can scan pipes over a length of approximately 650 ft.

Emerging Technologies
No digital scanning applications have been specifically identified as emerging technologies. Likely, the identified manufacturers will continue product development and increase optical and digital zoom capabilities. The technology is four to five years old in Europe and Asia; however it has a limited history in North America. The manufacturers and users listed above are constantly developing new ways to use these products. Our research indicates that future research will focus on enhancements to the software used for defect recognition and digital defect measurements. RapidView and Envirosight are developing manhole inspection capabilities with the use of the digital scan cameras. Envirosight is also planning to increase the scan distance to approximately 1,650 ft by fall 2008 and provide improved scanning rates.

4.1.3 Camera Deployment
In a CCTV inspection, cameras are deployed into pipelines in a variety of ways. Mobile robots called crawlers or tractors are available in a variety of sizes and configurations, thus enabling their use in a host of pipes sizes. These are typically introduced into the sewer via a manhole. Cameras can also be mounted to float rigs for inspecting large diameter pipes partially filled with water. Pushrod cameras are typically used in smaller diameter pipes (6 in. and less) such as service laterals and are typically introduced into the sewer through a cleanout.

This section describes innovations to vehicles used to carry CCTV cameras as well as technologies that can be added to the conventional camera vehicles to further assist in CCTV inspection.

A variety of innovations have been applied to the tractors or crawlers which carry CCTV cameras. These innovations include extra long range tractors/floats compared to the typical applications in use, smaller than typical tractors that can be used for some laterals, tractors that are able to dispatch smaller lateral cameras from the main line, and segmented robots that can bend around odd angles in small diameter pipes.

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Different camera tractor innovations are available from a variety of vendors. Several commercial applications are specifically designed for the investigation of water, storm drain, and sewer pipelines.

Pushcams are used almost exclusively in smaller diameter sewers such as service laterals. Tractor innovations have been broken down into four groups: small diameter tractors, long range tractors, segmented tractors, and lateral launchers - tractors that can launch lateral cameras off of the main inspection vehicle.

Pushcams
Pushrod camera, or pushcam, technology involves the inspection of pipeline via a small diameter camera mounted to a pushrod and reel setup which produces video of the pipeline. This technology is primarily designed for laterals and small diameter force main applications. Conventional pushcams use straight view cameras capable of inspecting pipes of 2-in. or greater. Advancements include pushcams capable of inspecting pipes smaller than 2-in. as well as steerable and pan/tilt pushcams.

Pushcams are typically used in an environment where it is otherwise impossible to get photographs or video footage such as a small diameter water, sewer, or drain pipes. Typically, they are used in applications where crawlers/robotic camera vehicles are unable to function due to their larger size.

Conventional pushcams systems are comprised of a camera/probe, cable/reel, and computer/recorder/controller. The probe used to advance the camera is usually a semi-rigid rod, constructed of fiberglass. The primary limitations are image quality, lighting, and ability to move past obstructions. Table 4-4 summarizes a variety of commercially available pushcams.

Table 4-4: Pushcam Product Comparison

PRODUCT
(VENDOR)
PIPE

DIAMETER

INSPECTION
LENGTH
NOTES
CrystalCam Push Camera
(Inuktun)
>2-in. High resolution low lux camera – highly
effective in low light environments. Can be
tractor mounted, can be used as a reverse
camera
Flexiprobe
(Pearpoint)
1-in. to 8-in. 500-ft
Hydrus
(Rapidview-IBAK, USA)
>2-in. Straight view camera only
Orion
(Rapidview-IBAK, USA)
>4-in. Pan and tilt functions
Orion L
(Rapidview-IBAK, USA)
>4-in. Pan and tilt, includes “steer stick” allowing
device to be steered around bends or turns
Push Camera
(Insight Vision)
1-in. to 12-in. 300-ft Uses Clearview line of camera heads, large

10.4 in. LCD monitor
Tractors/Crawlers
Tractors and crawlers are mobile robots used to deploy CCTV through a pipeline. Most are wheeled or tracked, and are tethered via a cable to a controller unit located near the point of entry to the sewer system. Conventional CCTV inspection tractors are larger vehicles that are not able to get into smaller pipes or laterals. Many of the tractors are not steerable and can only inspect pipe runs of 300 to 500 ft.

Advancements in technologies now include lateral launchers that are able to deploy smaller diameter pushcams into laterals; small diameter tractors that can be deployed in pipes as small as 4 in. in diameter; long range tractors that can inspect pipes at great distances from the point of entry; and segmented robots that can bend around odd bends or angles in small diameter pipes. Tables 4-5, 4-6, and 4-7 summarize a selection of commercially available innovative tractor and crawler technologies.

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Table 4-5: Lateral Launcher Product Comparison

PRODUCT
(VENDOR)

MAINLINE LATERAL
Pipe NOTES
diameter
Inspection
length
Pipe
diameter
Inspection
length
IBAK LISY 150-M
(RapidView-IBAK, USA)
>6-in. Tungsten carbide
wheel for grip
LAMP 6-in. to 24- 2-in. to 6- >80-ft
(CUES) in. in.

Lateral Evaluation Television
System
(Aries Industries)
>8-in. 800-ft 3-in. to 6-
in.
80-ft Can ID pipe locations
with locator beacon
Lateral Inspection System (RS
Technical Services)
8-in. to 24-
in.
1,000-ft 4-in. to 8-
in.
100-ft
Table 4-6: Small Diameter Tractor Product Comparison

PRODUCT
(VENDOR)
PIPE

DIAMETER

INSPECTION
LENGTH
NOTES
ELK T100 Mini
(Pearpoint)
4-in. to 10-in. 500-ft
KRA 65
(RapidView – IBAK, USA)
>4-in. Steerable, electric stabilizing function
Mighty Mini Transporter
(RS Technical Services)
4-in. to 12-in. 500-ft
Rovver 100
(Environsight-IPEK)
4-in. to 12-in. 660-ft Steerable, PVC wheel with titanium spikes for traction
Versatrax 100
(Inuktun)
>4-in. 600-ft Tracked crawler
Xpress Silver-Bullet Crawler
(Insight Vision)
4-in. to 15-in. 600-ft 4-wheel drive crawler
Table 4-7: Long Range Tractor Product Comparison

PRODUCT
(VENDOR)
PIPE

DIAMETER

INSPECTION
LENGTH
NOTES
Versatrax 300 VLR
(Inuktun)
>12-in. 6,000-ft Modular construction for onsite customization, optional reverse camera can be mounted on
crawler
Responder
(RedZone)
>36-in. 5,280-ft Skid steer enabled tractor, Kevlar reinforced buoyant cable, submersible to 500-ft
Segmented Robots
Electromechanica, Inc. designs custom inspection robotics and other applications on an as needed basis.

For example, the client may have a specific type of small diameter pipe system containing tees or wyes, or other angles that a typical tractor or crawler would not be able to navigate. One such development is the Internal Pipe Inspection Robot. This design uses a unique “inchworm” movement which optimizes movement within the pipe. The robot itself consists of three arm linkages that expand radially to force the different segments to grip the inside of the pipe and move it along. The multiple segments also can be useful in overcoming obstacles or looking down laterals. The robot uses pneumatic cylinders to provide force to move the robot through the pipe. The robot can be outfitted with cameras, sensors or tools to achieve many different types of jobs in pipes including pipe inspection. As stated above, this is not a commercial product, but one that must be custom ordered for the client’s specialized needs.

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Emerging Technologies
x Pushcams - The IPEK Agilios pushcam system was developed for small diameter pipes and has pan/tilt capability. It works in conjunction with the vision control unit and is battery powered.
x Autonomous Crawlers - An autonomous crawler does not require a real-time remote operator. The crawler’s behavior is programmed in advance of deployment. The vehicle is programmed to cue off of particular environmental landmarks. For instance, RedZone Robotics, a Pittsburgh, Pennsylvania based company, has designed a robot that constantly monitors the diameter of the pipe as the robot progresses through the pipe. Infrared sensors atop the vehicle sense when the distance to the roof of the pipe alters radically, which the robot then interprets as a manhole. The vehicle may be programmed to stop at the first manhole it encounters, or stop after encountering some specified number of manholes.

Autonomous crawlers are beginning to enter the marketplace. x Autonomous Floaters - Automatika, Inc. based in Pittsburgh, Pennsylvania, is developing the prototype of a neutrally buoyant, untethered pipe inspection robot called PipeEye. The robot is a 12-in. sphere designed to float in pipes greater than 24 in. in diameter. Cameras and lights will operate above the waterline, and ultrasonic transducers will operate below the waterline. The PipeEye system is derived from an oil/gas pipeline inspection module codeveloped by Automatika and Shell Oil. Currently, the system does not yet have a product status.

4.2 Acoustic Technologies
Acoustic technology in general terms uses measuring devices to detect vibrations and/or sound waves. In pipeline assessment, acoustic sensors are used to detect signals emitted by defects and are utilized by a variety of commercially available products. Acoustic technologies are used extensively for inspection of water mains; therefore, this category of inspection technology can also be used for force main inspection.

There are three distinct classifications of acoustic technologies:
x Leak detectors, which are used to detect the acoustic signals emitted by pipeline leaks. x Acoustic monitoring systems, which are used to evaluate the condition of PCCP. x Sonar, or ultrasonic, systems, which emit high frequency sound waves and measure their reflection off the pipe wall in order to detect a variety of pipe defects.

Table 4-8 summarizes these classifications of acoustic technologies.

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Table 4-8: Acoustic Technology Summary

SUMMARY IN-LINE LEAK

DETECTORS

ACOUSTIC MONITORING

SYSTEMS SONAR/ ULTRASONIC
Sewer type Force mains, gravity
sewers
Force mains Force mains, gravity sewers
Material Any PCCP Any
Pipe size >4-in. >18-in. >4-in.

Defects detected Leaks Broken pre-stressed wires Pipe wall deflections, corrosion, pits, voids, and
cracks, debris
Original application Leak detection in
pressurized water lines
Monitoring PCCP water lines Maritime use
Status Commercially available
for sewer inspection
Commercially available for
sewer inspection
Commercially available for
sewer inspection
Advantages Can detect very small
leaks.

Useful as a screening
technique prior to more
detailed inspection
Suitable for pipes of any
material and a wide range of
diameters
Disadvantages Requires minimum flow to
be carried through pipe
Only detects general distress Only inspects pipe below
the waterline

4.2.1 Leak Detectors
Leak detectors are devices used to detect the sound or vibration produced by leaks in pressurized waterlines or in sewers. These include hand-held listening devices such as listening rods, underwater microphones (also known as aqua phones, sonoscopes, water phones or hydrophones), and geophones (ground microphones); leak noise correlators; and in-line devices which collect information on leaks remotely. Listening devices and leak noise correlators are widely available, and have been used for leak detection for decades. In-line leak detectors are a more recent advancement in the use of acoustic technology for condition assessment of pipes.

The simplest forms of leak detector are mechanical listening devices. These include listening rods and aquaphones, which are both metallic rods fitted with an earpiece. These devices are operated by placing the rod in direct contact with pipes, allowing the device operator to hear leaks through the earpiece.

Geophones are another type of listening device; these are placed on soil or pavement above a pipe, allowing the operator to hear the sound from leaks as it is transmitted through the soil. Listening rod and aquaphones may also be electronic, these are similar to the mechanical devices described above but also include special elements such as noise filters, adjustable amplifiers, and sensing elements such as piezoelectric materials; leaks can be detected either by operators listening through headphones or in some cases by soundmeters that can store the sound levels emitted by leaking pipes.

Leak-noise correlators are a more complex and accurate type of leak detector, which have been used for leak detection since the 1980s. These are computer-based devices which are used to measure sound or vibration at two points on a pipe, on either side of a suspected leak. Depending on the device, the measurements are made by a vibration sensor such as an accelerometer attached to pipe contact points or an underwater microphone which is inserted into the pipe itself. Signals detected by the sensor are wirelessly transmitted to the correlator, which pinpoints the location of leaks based on the time lag between the leak signals measured from the two points.

The most complex forms of leak detectors are in-line systems, which are deployed in a pipeline and continuously monitor leakage. The rest of this section focuses on these systems. There are several

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commercially available in-line leak detectors which utilize acoustic technologies for pipe condition assessment. Both regional and national service providers have the ability to evaluate wastewater systems, although the technology is far more prevalent in its use for condition assessment of water distribution systems. Provided below is a description of several of these products.

Sahara£ – Pressure Pipe Inspection Company
The Sahara system was originally developed by WRc for detecting leaks in pressurized water lines, and is a proven technology for that application. In the United States, the Sahara system has begun to be used for wastewater collection systems. A series of pilot studies using the Sahara for wastewater pipeline leak detection were conducted in the United Kingdom in 2005 and North America in 2006. The system is now available in the United States from the Pressure Pipe Inspection Company.

The Sahara system consists of a sensor head and a hydrophone, which is an electrical instrument used to detect or monitor sound under water. The sensor head is inserted into a pipe through any access point greater than three inches in diameter. As the sensor head is transported through the pipe line by product flow, acoustic signals are picked up at the surface by the hydrophone. The signal is then fed through a cable, and from there to processing equipment. The system operator is able to hear signals from the system directly as well as view the signal on a computer with spectrogram software. The system locates leaks by identifying acoustic signals; the size of leaks can be estimated based on the acoustic signal recorded by the device.

The Sahara system can be used in pipelines of any material to detect leaks as slow as approximately 0.25 gallons/hour. It can be used to inspect force mains 4-in. in diameter and larger. The system requires a minimum flow velocity of approximately 3 ft/s to ensure the device can move though the pipe.

Additionally, pressure within the pipe must be between 10 and 150 psi in order for the system to recognize leaks.

Smartball£ - Pure Technologies
The Smartball£ leak detector was made commercially available by Pure Technologies in 2005. It is a proprietary system maintained by Pure Technologies. The technology is only used for inspections of pressure pipelines. It can be used for any pipeline material.

The Smartball£ consists of a neutrally buoyant, foam ball equipped with an instrumented aluminum inner core. The aluminum inner core contains several sensors including an acoustic sensor, accelerometer, magnetometer, temperature gauge, and pressure gauge. The inner core also contains a microprocessor with an ultrasonic transmitter. The system is powered by a DC battery and contains a data logger. The Smartball£ can be inserted into a pipeline and travel with the water flow for more than twelve hours, collecting data on the collection system with a single deployment. The Smartball£ has a diameter of 2.6- in. and can be used on a pipe with 10-in. or greater in diameter. A minimum flow velocity of 1.64 ft/sec is required to convey the sensor.

The system can be inserted into a full or partially full pipe, and is carried along by the flow of water or wastewater. The Smartball£ is silent; therefore its acoustic sensor can detect the sound of very small leaks in the pipeline. As the Smartball£ passes through the pipe its progress can be tracked by a variety of methods, allowing for leak location to be determined within one meter of accuracy. The system can operate for up to twelve hours before it is retrieved and data downloaded.

LxSentry – LxSix Photonics, Inc.

The LxSentry pipeline monitoring system was recently introduced by LxSix, Photonics Inc. LxSentry is a highly sensitive fiber optic system designed to detect leaks in gas pipelines. Acoustical sounds are

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classified by the proprietary Red Alert software, which is capable of distinguishing between pipeline leaks, tampering, intrusions, and machinery and vehicles operating in the pipeline vicinity. Minimal information on the details of the operation and use of this product is currently available. No information was available on the use of the technology for water and/or wastewater systems.

4.2.2 Acoustic Monitoring Systems
Acoustic monitoring systems are installed along PCCP to provide continuous monitoring of the general condition of the pipe. PCCP has been used historically for large diameter force mains, and has been subject to failure due to internal or external corrosion. The systems work by detecting the acoustic signal produced by breaking or broken prestressed wire within pipes. While the systems do not identify individual defects, they are useful as screening techniques to determine if further condition assessment should be performed. There are currently two technologies available that provide continuous acoustic monitoring of PCCP. These products are described below.

Acoustic Emission Testing (AET) – Pressure Pipe Inspection Company Acoustic Emission Testing (AET) is as an acoustic monitoring system used primarily to monitor the deterioration of PCCP water mains. It has also been used to evaluate sewage force mains. AET is based on the detection of the acoustic energy released when prestressed wire breaks or deflects. The system detects general distress in the pipeline by determining the frequency and number of wire breaks, or wire related events, over a period of time. The AET system determines the location of the wire related events based on the arrival time of the acoustic signals at a series of sensors within the pipe. Since the technique does not detect the number of broken wires, but rather general distress in a given section of pipeline, it is best used as a screening technique prior to utilizing other methods to pinpoint defects.

The AET system is made up of a series of units located along the pipeline. Each unit contains a sensor (either a hydrophone or an accelerometer) and a signal processor, a base station, and a precision timing device. The hydrophones are inserted into the pipeline through taps at a spacing of approximately 500 to 3,000 ft; spacing is largely dependent on pipeline diameter (smaller pipes require closer spacing than larger ones). The accelerometers are surface mounted; spacing is more flexible when this type of sensor is employed. The signal processor is a small mobile computer that is located close to the hydrophone. It monitors the signals detected by the hydrophone and transmits signals that indicate wire related events to the base station. The base station consists of a personal computer, a wireless communication module, and an internet communication module. The precision timing device, a GPS antenna and processor, provides location information on each sensor and determines the timing of acoustic events.

AET can be used to monitor active distress in PCCP 18-in. or greater in diameter. The system works while pipelines are fully operational. The technique is valuable for providing advanced warning of pipe failure, and for screening pipe networks to determine which pipes are deteriorating. However, the technique cannot detect individual defects within a pipe.

SoundPrint£ - Pure Technologies
SoundPrint£ is a patented acoustic monitoring technology used to provide continuous, non-destructive remote monitoring of water and wastewater pipelines, storage tanks and other structures. Introduced in 1993, the original version of SoundPrint£ used hydrophones to detect breaks in prestressed wire in PCCP. The newer SoundPrint£ AFO system, introduced in 2005, uses acoustic fiber-optic cable for detecting acoustic signals.

Soundprint£ AFO monitoring of PCCP involves the deployment of fiber-optic cable into the pipeline.

The cable is inserted into pipelines through new valves installed in manholes. Because the entire fiberPage 4-33 Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 97 of 126 1117
optic cable acts as a sensor, up to 12,000 ft of pipeline can be monitored from a single access point. The sensor does not contain any electronics, therefore there is little to no background noise created by the device.

4.2.3 Sonar and Ultrasonic Testing
Sonar, an acronym for Sound Navigation and Ranging, was developed in 1906, and is widely used for maritime use. The first use of sonar for inspection of pipelines was carried out by WRc in 1987. Sonar testing involves very high frequency ultrasonic sound waves that reflect off the material being inspected, allowing for the detection of defects.

Sonar/ultrasonic inspections of pipelines are accomplished by passing a sonar head through the pipe being inspected. Depending on the size and flow conditions of a pipe, the sonar head is deployed into the pipeline on a raft, skid, or robotic tractor. As the sonar head moves through the pipeline, it sends out very high frequency ultrasonic signals, which are reflected by the pipe walls and then received by the sonar head. The reflection of the signals changes when there is a change in the material it is being reflected by, allowing for the detection of defects. The time between when the signal is sent and received can be used to determine the distance between the sonar head and the pipe wall, as well as to determine the internal profile of the pipe.

Sonar inspection results in a detailed profile of the pipe wall below the water surface, which can be analyzed by a variety of methods. Sonar can detect pipe wall deflections, corrosion, pits, voids, and cracks. Sonar inspection can also detect and quantify debris, grease, and silt, and can distinguish between hard and soft debris; however, defects in the pipe wall can sometimes be obscured by grease and debris.

According to Thomson et al. (2004), defects greater than 1/8 inch (3 mm) can be detected. This applies to pipe wall pitting and cracks as well as debris accumulation. Sonar does not require bypass pumping or pipe cleaning. Sonar inspection can be used in areas of poor visibility where it is difficult to use CCTV inspection. It is a versatile inspection method and can be used for inspecting gravity sewers and force mains.

One drawback to sonar is that it can only be operated in air or in water, not in both simultaneously. In some cases, a sonar system is utilized with a CCTV system, so that inspection of pipes both above and below the waterline can be accomplished simultaneously. In order to overcome this limitation, research is being done into development of systems with separate transducers, one for use in air and one in water, so that inspection of partially filled pipes can be accomplished. Additionally, longitudinal cracks in pipes can be difficult to detect.

Commercial sonar pipe inspection tools typically consist of an underwater scanning transducer, a sonar processor, and a color monitor. Table 4-9 highlights a selection of sonar-based pipe inspection products.

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Table 4-9: Sonar Product Comparison
DEVICE:

VENDOR

SEWER TYPE/

PIPE SIZE

DEFECTS

DETECTED NOTES
Amtec Sonar:

Amtec Surveying, Ltd.

Force mains
>21 in.

Deformations, holes, breaks,
and pipe wall loss.

A-SIS
Aquacoustic
>12 in. Pipe size & distortion,
holes, debris, scour, erosion
Combines sonar and
CCTV
Envirosight Gravity
>4 in.

Pipe diameter, shape
capacity, corrosion, cracks,
debris
Attachment for CCTV
PipeEye:

PipeEye International
Force mains, gravity
>10 in.

Build-up, deformities, flow
restriction, water level
RVS2:

R&R Visual
>10 in. Open cracks, debris,
sediment
Sonar Profiler System
(submerged): CUES
Force mains
>12 in.

Defects, blockage, debris
Sonar Profiler System
(semi-submerged): CUES
>12 in. Defects, blockage, debris Combines sonar and
CCTV
Sonar Sewer Profiling
Attachment: Redzone
Force mains, gravity
>36 in.

Blockages, deformations,
capacity, sediment
Attachment for the
Responder platform
Sonar Sweep Attachment
Redzone:

Force mains, gravity
>36 in.

Blockages, deformations,
capacity, sediment
Attachment for the
Responder platform
TISCIT:

Amtec Surveying, Ltd.

Gravity
>21 in.

Deformations, holes, breaks,
and pipe wall loss
Combines sonar and
CCTV
Ultrascan CD:

GE Oil & Gas
Force mains, gravity Axial cracks
Ultrascan DUO:

GE Oil & Gas
Force mains, gravity
>24 in.

Wall loss and cracks
Ultrascan WM:

GE Oil & Gas
Force mains, gravity Wall loss
Ultrasonic Inspection Robot
Inspector Systems
Force mains
12 -20 in.

Wall loss (measures wall
thickness)
Incorporates highresolution CCTV
Wavemaker:

Guided Ultrasonics
Force mains, gravity
>2 in.

Wall loss Uses guided waves
(Lamb wave), mounted
to outer surface of pipe.

4.3 Electrical and Electromagnetic Methods
Several sewer evaluation techniques utilize electrical or electromagnetic currents. The electrical leak location method is used to detect leaks in surcharged non-ferrous pipes. Eddy current testing (ECT) and remote field eddy current (RFEC) technology identify defects in ferrous pipes. Magnetic flux leakage (MFL) inspection is widely used in the oil and gas industry to measure metal loss and detect cracks in ferrous pipelines. Table 4-10 summarizes these technologies.

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Table 4-10: Electrical and Electromagnetic Methods Summary

SUMMARY ELECTRICAL LEAK

LOCATION ECT/RFEC MFL
Sewer type Force main, gravity
sewers, service laterals
Force main, gravity sewers,
service laterals
Force main, gravity sewers,
service laterals
Material Non-ferrous Ferrous Ferrous
Pipe size >3-in. >2-in. 2-in. to 56-in.

Defects detected Cracks, leaks Metal loss, cracks, leaks, broken wire, graphitization,
wall thickness
Metal loss, circumferential
and longitudinal cracks
Original application Leak potential in
geomembrane liners
Inspection of piping and
tubing including boilers, heat
exchangers, cast iron pipes,
and gas pipelines.

Petrochemical industry
Status Commercially available
for wastewater pipes
Commercially available for
wastewater pipes
Commercially available,
limited use in wastewater
applications
Advantages Available for service
laterals
Can be used on pipes of most
diameters, can be used to
locate a variety of defects.

Extensive experience with
method in the oil and gas
sector
Disadvantages Gravity pipes must be
filled prior to inspection
Limited to ferrous pipes,
typically requires postprocessing of data by vendor.

Has not been extensively
used for assessment of
sewer pipes.

4.3.1 Electrical Leak Location Method
The Electrical Leak Location Method was first developed in 1981 for the inspection of geomembrane liners. The method became commercially available in 1985, and is one of the most widely used techniques for detecting leaks in geomembrane liners. The technique involves placing an electrode on either side of the material being tested, and connecting voltage to each electrode. Because the material being tested is an electrical insulator, voltage only flows through holes in the material. The area of defects in the material has high current density, which can be detected by measuring electrical potential in the survey area. Although primarily used for geomembrane liner inspection, the technique is also applicable to pipe inspection.

As this technology relies on the pipe material being an electrical insulator, it can only be used on nonferrous pipes. The technology is useful for inspecting force mains, service laterals, and smaller gravity lines. While it is possible to inspect larger diameter gravity lines, since the technology requires gravity lines to be surcharged, the time and effort required to fill larger pipes might make this inspection method infeasible.

Although there are more than twenty commercial providers of electrical leak location services for integrity monitoring of geomembrane liners, the Focused Electrode Leak Location (FELL) is the only application developed specifically for detecting leaks in pipelines. FELL, also referred to as Electro-Scan technology, and was developed in Germany by Seba Dynatronic in 1999. GRW Engineers, Inc. has introduced the FELL system in the US. The FELL system identifies leak potential in non-conductive (i.e. non-ferrous) sanitary sewer mains, gravity lines, and service laterals using electrical continuity technology. The original application, FELL-41, was designed for use in force mains. A technique has been devised to allow for the inspection of gravity sewers by this method as well. The corporation later developed FELL-21 for inspection of service laterals. As of 2004, there were three electro-scan devices located in the United States, two of which are owned by GRW Engineering in Louisville, KY.

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FELL 41– Seba Dynatronic/Metrotech
FELL, or Electro-Scan, inspection is accomplished by feeding a mobile electrode, called a sonde, through the pipe of interest. Simultaneously, a fixed surface electrode, usually a metal stake, is placed in the ground. Electrical current is generated by the sonde and flows through the water within the pipe, through the pipe wall and earth surrounding the pipe, and to the surface electrode. As water, earth, and the connecting cables have a low electrical resistance and the pipe material has a high electrical resistance, very little current flows between the two electrodes. However, if a leak exists in the pipe, the electrical current passes through it easily; the larger the defect, the greater the current that flows through. The electrical current flowing between the two electrodes is measured by the sonde; this data is then transmitted to a laptop computer, which records data and displays graphically the current flowing through the pipe.

The technique only detects defects in surcharged portions of a pipe; to inspect the entire circumference of pipes that are typically not surcharged, such as gravity sewers, the pipe must first be prepared by completely filling it with water. Two techniques are used to fill pipes in preparation for FELL-41 investigation. The first involves plugging the downstream manhole and then filling the pipe with enough water that the pipe is covered at the upstream manhole; this method can be quite time-consuming and may result in back-up of service laterals. The alternative method involves the use of a sliding pipe plug. The sonde is attached to the upstream side of the plug, which is manually pulled a short distance down the pipe. The upstream portion of the pipe is filled so that the sonde is submerged, and then the plug and attached sonde is pulled through the pipe, so that the entire pipe wall can be assessed.

FELL-41 is suitable for inspecting force mains ranging from 6-in. to 60-in. in diameter. The system only works on non-conductive pipes and lined metallic pipes, and can only detect defects below the water line.

Although gravity sewers can be manually filled to allow for a complete inspection; the process of surcharging large diameter pipes requires extensive time and preparation. The product can be used to detect leaks caused by radial and longitudinal cracks, as well as faulty joints.

FELL 21 – Seba Dynatronic/Metrotech
The FELL-21works on the same principle as FELL-41, but is designed for use in 3-in. to 6-in. diameter service laterals. Rather than being deployed through the pipeline via a haul line, this device is inserted via a cleanout and moved through the pipe with a push rod. Like FELL-41, the device can only be used for the inspection of non-conductive pipes or non-ferrous pipes. FELL-21 detects leaks caused by radial and longitudinal cracks, as well as faulty joints.

4.3.2 Eddy Current Testing and Remote Field Eddy Current Technology ECT and RFEC technology involve the generation of electric currents and magnetic fields to investigate the condition of ferrous material. ECT pipe inspection involves the use of an alternating current magnetic coil to induce an electric current in conductive pipes. In turn, the electric current generates small magnetic fields or eddy currents in opposition to the coil’s magnetic field, which results in a change in the impedance of the coil. As the magnetic coil transverses the pipeline, the change in impedance is measured, allowing for the identification of defects. The effectiveness of ECT for pipeline inspection is limited by an electromagnetic phenomenon termed “skin effect”. The density of eddy currents decreases exponentially with depth. This limits the detection of defects to those located on the surface of the pipe nearest the magnetic coil, because defects located deeper within the pipeline cannot be measured.

The RFEC method was developed to surmount the limitations of standard eddy current testing. This method can detect both internal and external defects in pipelines. RFEC involves the deployment of a probe consisting of multiple magnetic coils, an exciter coil and one or more detector coils, through the pipeline. As in standard eddy current testing, eddy currents are induced in the pipe wall. These direct

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currents quickly attenuate as they flow along the pipe wall towards the detector coil that is typically located approximately two pipe-diameters apart from the exciter. A second magnetic field passes from the exciter to the outside of the pipe and flows along the outer pipe wall, then back into the interior of the pipe to reach the detector. This remote field attenuates very slowly along the outer pipe wall, and is therefore much stronger then the direct field when it reaches the detector. Pipeline defects and pipe wall thickness affect the propagation of the magnetic fields along the pipe walls, thereby altering the signal received by the detector. This allows for the identification of pipeline defects.

ECT and RFEC testing are primarily used to detect defects in ferrous pipe walls, such as pitting, corrosion, leaks and cracks. These testing methods can be used for the inspection of small-diameter pipes, in some cases as small as two inches in diameter, as well as very large diameter pipelines.

ECT/RFEC can be used in empty, full, and partially full pipelines. Devices utilizing ECT and RFEC technology can be used to inspect force mains and gravity sewers. However, since most gravity sewers are not constructed of ferrous materials, the technology has limited use for this application.

ECT and RFEC testing services for ferrous structures are available from a variety of vendors. Several commercial applications are specifically designed for the investigation of gas, water, and sewer pipelines.

The following are descriptions of some of these applications; as these technologies use the same basic principal, the summaries focus primarily on the differences between the various applications.

Broadband Electromagnetic Methodology (BEM) – Rock Solid Proprietary Limited (Pty. Ltd), Australia
BEM was originally developed by Rock Solid Pty. Ltd for use in the Australian mineral exploration industry. The technology has since been modified for use in pipeline inspection, and has been used for this purpose in both the United States and Europe. Unlike other RFEC applications, BEM is frequency independent, allowing operation of the device to be modified based on the material being investigated and site conditions. This reduces the likelihood that the device will be affected by electromagnetic noise, which can occur with the use of other ECT/RFEC applications.

BEM has primarily been used for condition assessment of water mains. The technology can only be used on ferrous pipes, but does work through thick coatings and linings. This technology can be used to detect a variety of pipe defects including cracks and anomalies in the pipe wall. Thomson et al. (2004) conducted field demonstrations of this method, and they state it is able to detect metal loss to 0.04 inch (1mm). BEM can also be used to measure wall thickness, quantify graphitization, and locate broken wires in PCCP.

BEM pipeline inspection can either be accomplished internally or externally. Internal pipeline inspection generally requires the pipeline to be taken out of service and emptied prior to deployment of the BEM device. As an alternative, the BEM device can be waterproofed. Internal inspection of pipelines can be accomplished in large diameter pipes by either pulling or pushing the device through the pipeline. A robotic version of the application is available for smaller pipelines (less than 36-in. in diameter). Results of pipeline inspections using BEM cannot be analyzed on-site; rather, results must be post processed.

Special software is used to create a topographic map of the pipeline which can then be analyzed to detect pipe defects.

Hydroscope – Hydroscope, Inc.

The Hydroscope was developed as a collaborative effort between Hydroscope, Canada and EPCOR Water Services (Edmonton, Canada’s privatized water utility). The application was first used in 1995 in Canada and became commercially available in the United States in 1996. However, the U.S. licensee for Hydroscope is currently in bankruptcy. Therefore, the technology may not be available in the U.S.

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Originally developed for inspection of waterlines, the technology has since been used for the inspection of sewer mains.

The Hydroscope consists of a series of stainless steel modules embedded with circuitry, creating a flexible probe which can travel through pipelines. The probe is connected to a computer in a service vehicle by a tether and data cable. Data cannot be analyzed in the field; rather, data are analyzed at the Hydroscope Analysis Center with a proprietary software package called HYDA or the more advanced HYREL.

Like all ECT/RFEC-based pipeline inspection applications, the Hydroscope can only be used in pipes composed of ferrous material. One advantage of the Hydroscope system is that it functions in both dry and submerged conditions. Probes are available for pipe diameters in the range of 6-in. to 15-in. The technology can detect pitting, corrosion, graphitization and wall thinning in pipes.

See Snake Tool – Russell NDE Systems, Inc.

Russell NDE System’s, Inc.’s See Snake is a small, flexible device which uses RFEC technology to detect corrosion and pitting in pipelines and to measure wall thickness and surface area. The tool can also detect areas of pipe under external stress such as movement of soil, poor support, rippling, bridging and denting.

This technology is primarily intended for inspection of pipes before purchase or after construction to ensure pipeline integrity, and after a pipeline failure to determine if there are additional defects in the vicinity of the break.

Unlike most RFEC devices, which pass signals through a data cable, signals from the See Snake are detected from above ground. This allows for tracking the tool as it passes through the pipeline. Another distinguishing feature of the See Snake is that data analysis can be performed on site during the inspection, unlike other technologies which require off-site analysis.

The See Snake is primarily used in the oil and gas industry. Currently, the tool is only available for small pipes, ranging in size from 2-in. to 8-in. in diameter. Given the small size of the device, and its ability to be pushed through pipelines by liquid, the See Snake is potentially viable for inspection of force mains.

P-Wave£ - Pure Technologies
Pure Technologies’ P-Wave3
system generates an electromagnetic field and detects changes induced in the field by broken wires in PCCP. Results of P-Wave inspection include an estimate of the number of broken wires, as well as their location. The technology allows for the evaluation of a pipe’s current condition and the identification of distressed areas. The system is available for use in sewer pipes; however, the pipe must be empty to use the product. P-Wave inspection is often followed up with the use of an acoustic monitoring technology, such as Soundprint“, also available from Pure Technologies.

Remote Field Eddy Current/Transformer Coupling (RFEC/TC) – Pressure Pipe Inspection Company Pressure Pipe Inspection Company’s patented RFEC/TC is specifically designed for use in pre-stressed concrete pipe, including embedded Concrete Pipe, lined cylinder pipe, and bar-wrapped pipe. Rather than detecting defects such as corrosion, pitting, and leaks, this technology is primarily used to detect and quantify broken wires within the concrete pipe to determine whether pipe segments need further monitoring, repair, or replacement. In this application, the electromagnetic field generated by the exciter is amplified by the pre-stressed wires within the pipe. Signals generated by broken wires can be differentiated from those generated by intact wires.

RFEC/TC is effective for inspecting pipes 25-in. in diameter and larger. The largest pipe inspected to date is 252-in. In addition to broken wires, RFEC/TC can detect manholes, blow-offs, short pipe lengths, 3 P-Wave stands for Polar Wave

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cylinder thickness, cylinder composition, wire pitch, diameter and wraps (Pressure Pipe Inspection Company, n.d.). RFEC/TC can be used for the investigation of both force mains and gravity sewers.

Emerging Technology
Due to the versatility of RFEC testing for the inspection of pipelines, several institutions are working on the development of new applications. The Gas Technology Institute is currently developing a tool for the inspection of gas pipelines of a variety of diameters, including ones with valve and bore restrictions and tight bends. The Southwest Research Institute has recently developed an inspection technology for 6-in. to 8-in. diameter gas pipelines that couples an RFEC system to a robotic transport tool, the Explorer II, developed by Carnegie Mellon University’s Robotics Engineering Consortium. Monash University in Australia has developed a RFEC tool called TESTAU. This instrument provides an improvement to the quality of visual data over other RFEC tools.

4.3.3 Magnetic Flux Leakage Detection
MFL is a widely used inspection technique for oil and gas pipelines. The MFL technique was first developed in the 1920s and 30s for materials testing. The Tuboscope, which became commercially available in 1965, was the first tool specifically developed for pipeline inspection.

MFL detection involves the placement of one or more magnets near a pipe wall, leading to the inducement of a direct current magnetic field in the pipe wall. The strength and direction of magnetic fields are represented by flux lines. When a magnet is near a conductive pipe wall, the majority of flux lines pass through the pipe wall. However, in areas of metal loss, less flux can be carried than the intact, full wall sections of pipe. This leads to leakage of flux from pipe areas which have undergone metal loss, as well as a change in the shape of the induced magnetic field. Flux leakage is detected by sensors; computer software is then used to determine the type and size of anomalies detected by the sensor.

MFL devices consist of several systems packaged into a single tool. At a minimum, an MFL tool contains a magnetizing element, sensor, data recording, and power systems. MFL tools are usually categorized as single piece or segmented. Single piece MFL tools contain all system components in a single rigid tool while segmented tools consist of multiple pieces joined to one another with flexible connectors.

Inspection of pipelines via MFL detection involves the deployment of an MFL device through the pipeline. As the device moves through the pipeline, usually pushed by the product flowing through the pipeline, the tool detects and records changes in magnetic flux. Traditional MFL devices, also called axial MFL, produce a magnetic field oriented along the axis of the pipe. More recently, circumferential MFL has been developed whereby the magnetic field is oriented around the pipe, allowing for better detection of axial defects such as cracks, seam weld defects, and groove corrosion.

MFL inspection only works on conductive cast iron or steel pipelines. Most MFL applications are large, and therefore only suited to larger diameter pipelines; however, some commercial applications have been developed for use in smaller diameter pipelines. Although MFL is most commonly used to detect metal loss, the technique can detect a variety of pipeline anomalies, including circumferential and longitudinal cracks. Newer, advanced MFL tools are additionally capable of producing accurate measurements of pipe defects.

Given the widespread use of MFL technology in the oil and gas industry, there are a variety of commercial MFL products available. However, the technology has yet to gain acceptance in condition assessment for wastewater collection systems. The majority of MFL tools operate on the basic principles outlined in the previous section. The primary distinction between them is whether they use axial or

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circumferential MFL, and the applicable diameter range. Table 4-11 provides basic specifications on available MFL tools.

Table 4-11: MFL Product Comparison

DEVICE VENDOR TYPE PIPE SIZE NOTE
AES 19 Advanced Engineering
Services
Circumferential 3-in. to 12-in.

AES ECAT Advanced Engineering
Services
Axial >12-in. Works externally
Axial Flaw Detection
(AFD) Tool
Rosen Inspection Circumferential 6-in. to 56-in.

Corrosion Detection
Pig (CDP)
Rosen Inspection Axial 6-in. to 56-in.

CPIG Baker Hughes Axial 4-in. to 48-in.

LINSCAN Lin Scan Axial 6-in. to 56-in.

MagneScan GE Energy Axial 6-in. to 56-in.

MAGPIE TDW Services, Inc. Axial 4-in. to 42-in.

MFL Inspection Tool NGKS Axial 8-in. to 56-in.

Pipesurvey MFL Pipesurvey
International
Axial Bidirectional
TranScan GE Energy Circumferential 12-in. to 36-in.

VECTRA BJ Services Company Circumferential Inertial navigation Vertiline /V-Line* Baker Hughes Axial 2-in. to 36-in. Bidirectional *According to Baker Hughes, the Vertiline/V-line system is applicable for use in sewer lines.

4.4 Laser Profiling
Laser profiling generates a profile of a pipe’s interior wall. The technique involves using a laser to create a line of light around the pipe wall. For this reason, it is also called the lightline method. The laser light highlights the shape of the sewer, allowing for the detection of changes to the pipe’s shape, which may be caused by deformation, corrosion, or siltation. Laser inspection can only be used to inspect dry portions of a pipe. To assess the entire internal surface of a pipeline requires the pipe to be taken out of service.

Lasers are often used in combination with other inspection methods, most commonly CCTV and/or sonar.

Table 4-12 provides a summary description of the laser profiling technology.

Table 4-12: Laser Profiling Summary

SUMMARY
Sewer type Gravity sewers, force mains.

Material Any
Pipe size Product dependent
Defects detected Deformations, siltation, corrosion,
Original application Earlier use in large diameter tunnels and caverns Status Commercially available
Advantages Provides better data quality then CCTV alone, can be used to create 3D models of pipelines.

Disadvantages Can only detect defects above the water line.

Specific examples of laser profiling technologies are presented in the following section.

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Active 3D Laser Scanning – Redzone Robotics
RedZone Robotics offers the Active 3D Laser Scanning Attachment for its Responder Robotic platform.

This attachment creates a three dimensional model of the pipe, which allows for visualization of features not visible by CCTV inspection. The attachment can be used to assess pipes ranging from 48-in. to 100- in. in diameter, and requires a minimum 24-in. diameter manhole for deployment. Inspections up to 5,500-ft. are standard while specialized configurations enable custom inspections of up to 14,000-ft.

Coolvision – Sima Environmental
Coolvision is an attachment for traditional CCTV systems. The laser system results in reports which detail pipe grade and deflection. The system allows for the detection and measurement of cracks, as well as the measurement of sediment, water depth, and service locations.

Laser Profiler – CUES
CUES offers the Laser Profiler as an attachment to the CUES CCTV system. The attachment easily snaps on to the system, and allows for the creation of reports which include measurements of sewer defects.

The attachment works by projecting a ring of light on the pipe’s surface. The light is recorded by the CCTV camera as the inspection is conducted. Software is used to analyze the laser ring and create a 3D digital profile of the pipe. This can be done either from live or recorded video. The profiler can be used to detect and measure pipe size, ovality and capacity, laterals, water levels, and off-set joints, as well as to collect survey data. The CUES laser attachment can be used to inspect pipes ranging from 6-in. to 72-in. in diameter.

Laser Profiling Tool - Envirosight
Envirosight provides a laser profiling tool which can be used with either the ROVVER or SuperVision crawlers and a CCTV camera. The device can detect corrosion, cracks, debris, pipe deformation, and incorrect installation of liner. The tool can be used individually, or in combination with a sonar profiler to inspect the pipe surface below the flow line. The tool can be used in pipes ranging from 4-in. to 160-in. in diameter. The tool is used with machine vision software, which uses data gathered from the CCTV video to create a variety of reports, statistical analyses, and 2D or 3D models of the pipe.

Laser Profiler – R&R Visual
R&R Visual offers the Laser Profiler for inspection of dry gravity sewers. The tool works on pipes ranging in sizes from 6-in. to 160-in. in diameter. The device allows for accurate pipeline measurement, measurement of sediment depth and volume. R&R Visual suggests utilizing this technology to assist in soliciting accurate price quotes for pipeline cleaning in order to create cost savings for the utility owner.

The system works with R&R Visual proprietary software and Clearline software for 3D modeling.

4.5 Flow Meters
Flow meters (area-velocity meters) typically operate by direct measurement of depth and velocity. Flow is then calculated based on the continuity equation. Metering devices referred to as “depth-only” or “primary” metering devices calculate flow using weirs or flumes based on flow discharge relationship equations. These metering devices are limited for pipe reaches that do not surcharge. Other “velocityonly” metering devices function by measuring velocity in pipe sections that continually operate under full flow conditions.

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Communication with a flow meter can be achieved in the following manners: direct connection by laptop in the field, telephone land lines, wireless digital telephone or internet technology, or radio frequency networks. This includes communication through such technologies as general packet radio service/enhanced data rates for global evolution (GPRS/EDGE); code division multiple access (CDMA); mobile digital radio technology, including CDMA-1XRTT and CDMA-EVDO (evolution data optimized). Although most meter data are collected with laptops in the field, wireless communication is becoming the most popular method for new meters. Most wireless communication uses internet technology. A major distinction between the communication approaches is whether each meter is assigned a fixed internet protocol (IP) address or a floating IP address. The floating IP address is the easiest and least costly to deploy, but it also allows only one-way communication from the meter to the host. Communication with a fixed IP address occurs only when initiated by the meter. Fixed IP addresses allow the user to communicate with the meter for altering set up features, changing alarm setup features and downloading new software. Many wireless carriers do not offer fixed IP addresses.

Real time communication is a very popular concept and is becoming widely used in wastewater treatment plants. Implementing real time communication in sewers is more difficult for two reasons. Most meters operate by battery and frequent communication uses more energy than data collection does. Energy use for communication is high both for operating a modem with land lines and operating the radio frequency equipment for wireless communication. Additionally, the term “real-time” in sewers is actually “near time”, because most meter measurements are in 5-minute or 15-minute collection frequencies, as many operators prefer lower collection frequencies to achieve longer battery life. Most metering technologies relying on wireless communication operate in a one-way mode from the meter to the host. This strategy is dictated primarily by the energy cost to “stay awake” for incoming communication.

The traditional view of real time data is from a Supervisory Control and Data Acquisition (SCADA) perspective in which data are collected at a high frequency from many “dumb” sensors and a central computer sorts and archives the data. This approach works well for process control. An operator is alerted to problems by the use of “set points”, such as a drop in dissolved oxygen level below a specified concentration. This may trigger an alarm condition requiring an operator response. Real time data in sewers have less value because there rarely are controllable processes in sewers, except for pump stations and perhaps diversion gates.

Software for collecting and reporting flow monitoring data has evolved along with improvements in communication protocols. Desk-top programs for analyzing flow data, performance monitoring, and project reporting are being replaced with web-based applications, which connect wirelessly to flow monitors. These software applications automate time-consuming tasks; making them more reliable and cost-effective than traditional software programs. Additionally, some of the programs incorporate GIS functionality, allowing users to integrate flow data with GIS models of the sewer system.

4.6 Innovative Technologies
Besides the range of commercially available technologies for evaluation of wastewater systems and other underground pipes, several other innovative technologies are currently under development. While the following technologies are not currently commercially available for condition assessment of wastewater systems, they may be feasible methods of sewer assessment in the future.

4.6.1 Gamma-Gamma Logging
Gamma-gamma logging is a technique used primarily to evaluate cast-in-place concrete pilings and for vertical borehole investigation in the mining and oil and gas industries. The technique involves the use of a gamma-gamma probe, which consists of a source of gamma radiation such as cesium-137 and one or

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more gamma detectors. The detectors are shielded from direct radiation by a heavy metal such as lead.

The gamma-gamma probe emits photons which react to surrounding material based on density. The photons are backscattered by the surrounding material, and data are recorded as a density log. Inspection using this technique is accomplished by raising and lowering the probe within a PVC inspection tube that is inserted into the concrete piling or borehole. Results of the inspection yield information on the average bulk density of the concrete. Properly constructed structures will have a consistent density. The technique can also be used to locate voids.

To date, gamma-gamma logging has not been used in pipeline inspection. However, researchers at Karlsruhe University in Germany performed laboratory tests that indicated a gamma-gamma probe could be used to locate lateral connections and locate and measure the size of cavities in the bedding surrounding a pipe. The technology may be applicable for evaluating the overall condition of concrete pipe or for detecting voids in bedding surrounding pipes. However, significant application issues would exist in terms of training requirements and the tracking of the nuclear materials. These issues are faced by the users of nuclear density gauges for soil compaction control.

4.6.2 Ground Penetrating Radar
The U.S. military originally developed ground penetrating radar (GPR) to locate underground tunnels and mines. GPR operates on the same principle as radar. A transmitting antenna emits high-frequency radio waves into the ground. The waves travel through the ground until they reach a material which has a different conductivity and dielectric constant than the earth. The signal is reflected and recorded by a separate receiving antenna. The amount of time it takes for the electromagnetic radio waves to be reflected by subsurface materials can be analyzed to determine the position and depth of features below the earth’s surface.

There are a number of commercially available GPR systems. While some are designed to be used to locate underground utilities, none is significantly used at present for pipeline inspection. GPR systems that have been used to date in North America for internal pipe inspection could be considered more in the prototype stage than in commercial use. However, since GPR can detect underground voids, it is potentially useful for examination of pipe bedding. GPR can also potentially be used to locate leaks, since saturated soil slows radio waves, resulting in a GPR profile showing a pipe deeper then would be expected. Research into using GPR for sewer and bedding condition inspections is ongoing. Research has already been conducted on its use for small diameter sewer lines and brick sewers.

4.6.3 Infrared Thermography
Infrared thermography (IRT) involves the use of an infrared camera to measure the temperature differential across the surface of an object. Software can then be used to create an image displaying different temperatures as different colors. This allows for the detection of the surface expression of thermal conditions beneath the surface. In this regard, it is a potential method of detecting sewer defects such as leaks and voids, both of which can result in surface temperature variations when a sufficient internal/external temperature difference exists.

Two basic methods of IRT are generally employed: passive IRT, which requires no external heat source; and active IRT, which requires the use of a heat source such as an infrared tube light. Research into the use of passive IRT to detect defects in and around subsurface pipelines has been conducted. The method has been demonstrated to be capable of detecting subsurface defects such as leaks, voids, and deteriorated insulation. Because the process is carried out from the surface, and the equipment used can scan a large area quickly, the technology can be an efficient method for detecting pipe defects. Active IRT has been proposed as a method for pipeline assessment, but has not yet been evaluated.

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4.6.4 Micro-Deflection
Micro-deflection is a nondestructive technology used to evaluate brick, concrete, and clay structures. The method involves the use of a load to create slight deformation, termed a micro-deflection, in the test material. The change in position of the structure is measured, and a graph of load versus deflection is created. Structurally sound test materials would be expected to have a consistent load versus deflection graph, while deteriorated sections of the material would have a different value on the graph.

Although not a widespread method of evaluating wastewater pipes, micro-deflection has been used to evaluate brick sewers. However, the usefulness of micro-deflection is limited, because the process can only give a general understanding of pipe condition, such as the integrity of joints, rather than identifying individual defects. In addition, plastics such as PVC and HDPE cannot be inspected using this method.

4.6.5 Impact Echo/Spectral Analysis of Surface Waves (SASW) Impact Echo and SASW are two related techniques for evaluation of concrete and masonry. Both work by subjecting a pipe to an elastic impact, produced by a device such as a pneumatic hammer, which then propagates through the pipe. The waves are reflected by internal flaws, as well as the surface of the material, and the reflected waves are detected by an acoustic transducer such as a geophone located on the exterior of the pipe. The technique can locate and measure cracks, delaminations, voids, and honeycombing.

Impact Echo testing services are provided by several companies and its applicability for pipelines has been researched. The Acoustic Impact Hammer, developed by the University of Karlsruhe in Germany, uses a hammer to tap the inner surface of a pipe; laboratory trials resulted in the detection of cracks and cavities around the pipe. A German technology which uses lasers to scan the response to impacts and analyze them via SASW is available for tunnels and large pipes; however, this system requires entry into the pipe and is therefore only suitable for very large pipes.

4.6.6 Ultrasonic Testing Systems
Several new ultrasonic-based testing systems are currently under development. Researchers at King’s College in London are developing a multi-sensor system termed the Ultrasonic-Based Inspection System that can be integrated into existing CCTV inspection systems. This system automatically classifies data based on an artificial neural network, and can detect very small cracks in the millimeter range. Research into use of ultrasonic pulse velocity for the evaluation of concrete is being carried out at the University of Waterloo in Canada. Researchers at Pennsylvania State University are working to develop a sensor using No-Contact Ultrasonic technology, which would be deployed into pipelines on a wheeled carriage.

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5.0 Technology Forum Summary

5.1 Background
A technology forum was held on September 11 and 12, 2008 in Edison, New Jersey to discuss the state of the science for condition assessment of wastewater collection systems and to identify critical gaps in current knowledge. The white paper was distributed to participants in advance of the meeting and served as a basis for forum discussions. The objective of the forum was to present the findings of the research and obtain direction for additional research and further evaluation during the field demonstration tasks. Figure 5-1 lists the presenters and attendees at the Technology Forum.

WERF and other research institutions expressed interest in collaboration and sharing of research findings. WERF has completed twelve research projects related to condition assessment and rehabilitation of wastewater infrastructure in the last ten years; these research reports can be found at www.werf.org. WERF’s Condition Assessment Protocols project, completed in 2007, provides guidance on developing and implementing a condition assessment program, and includes an inventory of condition assessment tools and techniques. On-going WERF research includes development of decision support tools and implementation guidance for risk analysis, costbenefit, and estimation of residual life. Virginia Tech is working on a WERF project to create the National Database for Sustainable Water Infrastructure Management, with the objective of creating a web-based model that can be used by utilities to determine information requirements for asset management decisions and support the formal specification of data requirements.

5.2 General Discussion
The primary components of any asset management program include the identification, location and condition of assets; the determination of their useful life, and their valuation. Condition assessment provides the critical information needed to determine the condition of each pipe within the system and its estimated time to failure or remaining useful life. Critical gaps in the use of condition assessment as an asset management tool include lack of consistent, standard condition assessment protocols; methods for the systematic collection of data; and formal risk assessment methods to prioritize resources for maintenance and or/rehabilitation activities.

Data needs for conducting condition assessment and making asset management decisions were discussed at the Forum. It is important to define data needs so resources are spent wisely. The level of data needed for day-to-day management is different than what is needed for making decisions on major rehabilitation. Some meeting participants suggested that simple rules of thumb are adequate for making rehabilitation decisions (i.e., three or more major defects per 250-300 foot pipe segment triggers rehab or replacement). It was agreed by the participants that very detailed information is needed for CMOM. Better data including historical information are required for modeling. There is a concern that creating large databases for condition assessment data would be overwhelming to utilities. There is added value from gathering extra data. Information from a variety of inspection tools should be used to make better decisions; CCTV is only one aspect of assessment and should not be used in isolation.

Flow monitoring is an important tool in asset management. In one case, pipes were going to be replaced at tremendous cost, but flow monitoring data showed a restriction at a stream crossing was causing a backup; the restriction was fixed, and overflows were reduced dramatically at a much lower cost. Flow assessment data can be used to assess sewer condition and long-term system performance and to help calibrate models. Flow metering data is traditionally used to generate hydrographs which provide information about water upstream of the meter.

Scattergraphs (displays of paired depth and velocity readings that look like a pipe curve under normal flow conditions), can reveal both upstream and downstream conditions, and can be used as verification of other inspection data. Flow metering data may not be useful for predicting pipe failure.

The development and implementation of condition assessment programs was a topic of discussion. Most condition assessment programs are currently focused on identifying and correcting I/I problems. A question was raised as to whether condition assessment should focus on other sewer defects in the future. Some utilities focus on coding defects, but may not spend enough time on identifying and correcting problems. The condition

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assessment program should have a system-wide focus and not be limited to one aspect of the collection system such as laterals or manholes.

An understanding of pipe failure mechanisms is needed to tailor a condition assessment program to the utility’s high priority needs and also to improve use of predictive models. The United Kingdom has developed a comprehensive database on wastewater utility assets and pipe failures that can be used to study pipe failure mechanisms. Pipe failure is dependent on many factors including the system design, installation, operation, maintenance and inspection. For example, system operating conditions (i.e. hydraulics, I/I) together with poor maintenance practices may cause accumulation of sediment and other debris, resulting in sewage blockages, overflows, increased hydrogen sulfide production and/or increased corrosion. The main cause of failure in ferrous force mains is internal corrosion whereas PCCP fails most often due to external corrosion. Rehabilitated pipe may fail at an accelerated rate depending on contractor experience, selection of rehab technology and the understanding of baseline conditions. Many failures can be traced to human error.

There are many tools and risk assessment models for decision making related to asset management, ranging from simple to complex. A question was raised as to whether utilities should use simple vs. complex tools. A one-size fits all approach does not seem appropriate. One tool that is needed is a branched decision-making tree based on defect coding that can help prioritize areas for inspection. Decision making models are used to assess the probability of failure and the consequences of failure. With accurate assessments of the probability of failure and the consequences of failure, cost-effective decisions can be made on risk mitigation. While the physical science is good, the decision sciences are lagging. Utilities often lack the input data for pipe failure prediction models.

There is a need for better decision making, and to improve on the general rules-of-thumb to make decision making more cost effective.

A number of models related to risk-based pipe performance and condition assessment were presented and discussed at the Forum:
x An on-going WERF project is developing a web-based model that can be used by utilities to determine information requirements for asset management decisions and support the formal specification of data requirements. The project is developing protocols and methods for predicting the remaining economic life of water and wastewater pipes, and developing a condition/performance index.
x Fuzzy logic can be used for modeling pipe deterioration and to help make decisions on pipe renewal.

Fuzzy mathematics provides an alternative in cases where pipe condition data are lacking. It analyzes possibilities rather than probabilities of failure. The method was applied to large water transmission mains as part of an AwwaRF project. Prototype software T-WARP is available on AwwaRF’s website (AwwaRF Project No. 2883).
x CARE-S, funded by the European Union, was designed as a proactive approach to develop methods and software that support efficient rehabilitation decisions. Failure codes developed as part of this project have been adopted by six European countries to date. CARE-S can be used for failure forecasting, assessments of hydraulic performance and environmental impacts, and selection of rehabilitation technologies.
x A simple approach for condition assessment presented at the Forum taps into the utility’s extensive knowledge of the piping network rather than a comprehensive database of pipe information. The approach uses the utility’s “beliefs” or observations about pipe condition to develop a criticality rating of likelihood and consequences of failure. The approach is user friendly and does not require expert input. It can be applied using a simple computer program by utilities and their consultants.

The approach was developed by a WERF-funded project, SCRAPS.

5.3 Critical Gaps Identified in State of the Science
Critical gaps in our knowledge of inspection technologies, and our ability to diagnose and predict infrastructure failures were identified at the Technology Forum and are summarized below.

1. Research is needed to further define the costs and benefits of pipe inspection and rehabilitation as part of a utility’s condition assessment program. Methods of determining the impact of deteriorating collection systems on municipal budgets are needed.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 111 of 126 1131

2. Inspection technologies need to be identified for the following applications:
a. Reduce use of confined space entry during sewer system inspections and investigations. b. Affordable inspection technology that utilizes multi-sensor devices on a small transportable package.
c. Inspecting pipes below the waterline.
d. Inspecting force mains that are in service.
e. Inspecting laterals.

3. Data management methods and models are available but a lack of standardization makes it difficult to compare historical data collected with different inspection technologies that have proprietary data structures.

4. Research is needed to improve how asset condition is tracked over time. Geospatial information (with a high degree of accuracy) needs to be collected along with pipe condition data in order to link historical inspection data with an exact physical location.

5. Information transfer to practitioners was identified as a critical industry need. Practitioners need training on topics such as infrastructure failure mechanisms; using historical inspection data for condition assessment applications; applying the PACP coding system to characterize pipe defects; developing a condition assessment program; and preparing accurate record drawings for new and rehabilitated pipe. Practitioners need simple condition assessment tools (i.e. scattergraphs for analyzing flow data, decision trees, and rules of thumb).

5.4 Recommended Next Steps
Based on the Technology Forum discussions and findings, the project team has identified the following technologies for possible inclusion in the project’s field demonstrations:

1. Focused Electrode Leak Location System FELLS 41.

2. Ultra-wide band (UWB).

3. Laser (2D/3D).

4. Autonomous crawler technology.

5. Zoom Camera.

6. Digital scanning vs. CCTV.

7. Flow metering analysis as input to decision making tools to prioritize need for inspection.

8. Embedded sensors to monitor deflection, corrosion potential, and pressure.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 112 of 126 1132

PROJECT TEAM
The Cadmus Group
*Katherine Martel
Ralph Jones
Chi Ho Sham
The Louis Berger Group
Lou Ragozzino
*Christopher Feeney
Samantha Hogan
ADS
Pat Stevens
Michael Bonomo
RedZone Robotics
*Scott Thayer
Brian Bannon
*John Fortin-Independent Consultant

TECHNOLOGY EXPERTS
*D. Thomas Iseley - Purdue University *Lucio Soibelman - Carnegie Mellon University Jeff Plymale – RJN Group *Raymond L. Sterling - Louisiana Tech *Dan Murray - USEPA ORD *Tony Urquhart – MWH Global
*Roy Ramani – WERF *James Thomson - Consultant
*Duncan Rose – GHD Consulting Inc. *Annie Vanrenterghem-Raven - NYU Polytechnic *Sunil K. Sinha - Virginia Tech *Zack Zhao - Ultraliner, Inc.

US EPA PARTICIPANTS
Steve Allbee *Dennis Lai Ari Selvakumar
Richard Field *Dan Murray Anthony Tafuri
Evelyn Huertas Michael Royer Carlos Villafañe

STAKEHOLDERS
Steve Allbee – USEPA Office of Water
*Yehuda Kleiner – NRC Canada
Troy Norris – ASCE Pipeline Division
*Roy Ramani - Water Environment Research Foundation (WERF) *Rod Thornhill – National Association of Sewer Service Companies (NASSCO) Marty Umberg - National Association of Clean Water Agencies (NACWA) Robert A. Villee – WEF Collection System Committee

ADDITIONAL ATTENDEES
Wendy Condit – Battelle
George Kurz - Barge Waggoner Sumner & Cannon
Robert Pennington - Camp Dresser & McKee Inc.

Lily Wang - Battelle
Dan Watts - New Jersey Institute of Technology
*Technology Forum Presenter
Figure 5-1: Technology Forum Attendees

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 113 of 126 1133

6.0 References
American Concrete Institute. (2000). Service-Life Prediction: State- of-the-Art Report. American Concrete Institute: Framington Hills, MI.

American Water Works Association Research Foundation (AwwaRF). (2005). Risk Management of Large-Diameter Water Transmission Mains. AwwaRF Project No. 2883. AwwaRF: Denver, CO.

Fleury, M.A. and Warner, J. (2007). Arizona’s Largest Condition Assessment. Proceedings of WEF Collection Systems Specialty Conference, May 13-16, Portland, OR.

Marlow, D., Heart, S., Burn, S., Urquhart, A., Gould, S., Anderson, M., Cook, S., Ambrose, M., Madin, B., and Fitzgerald, A. (2007). Condition Assessment Strategies and Protocols for Water and Wastewater Utility Assets. Water Environment Research Foundation (WERF): Alexandria, VA and IWA Publishing: London, United Kingdom.

McDonald, S.E. and Zhao, J.Q. 2001. Condition Assessment and Rehabilitation of Large Sewers. Report No. NRCC-44696. Institute for Research in Construction, National Research Council Canada:

Ottawa, Canada
Merrill, M.S., Lukas, A., Palmer, R.N., and Hahn, M.A. (2004). Development of a Tool to Prioritize Sewer Inspections. WERF: Alexandria, VA.

National Association of Sewer Service Companies (NAASCO). (2001). Pipeline Assessment And Certificate Program (PACP),v. 3.0. NASSCO: Owings Mills, MD.

Pressure Pipe Inspection Company, The. (n.d.). The Remote Field Eddy Current / Transformer Coupling Technology (RFEC/TC). Retrieved December 10, 2008 from
http://www.ppic.com/home/download.html
Rahman, S. and Vanier, D.J. (2004). Municipal Infrastructure Investment Planning. MIIP Report: An Evaluation of Condition Assessment Protocols for Sewer Management. Report No. B-5123.6, Institute for Research in Construction: Ottawa, Canada.

Thomson, J.C. (2008). The Value of Inspection. Presented at: STREAMS Task Order 59 Condition Assessment of Collection Systems Technology Forum. Sept. 11-12, 2008. Edison, NJ.

Thomson, J.C., Hayward, P., Hazelden, G. Morrison, R.S., Sangster, T., Williams, D.S., Kopchynkski, R.K. (2004). An Examination of Innovative Methods used in the Inspection of Wastewater Systems.

WERF: Alexandria, VA and IWA Publishing: London, United Kingdom.

U.S. Environmental Protection Agency (USEPA). (2002). Clean Water and Drinking Water Infrastructure Gap Analysis. Report No. USEPA-816-R-02-020, USEPA, Office of Water:

Washington, District of Columbia.

USEPA. (2005). Guide for Evaluating Capacity, Management, Operation, and Maintenance (CMOM) Programs at Sanitary Sewer Collection Systems. Report No. EPA-305-B-05-002, USEPA Office of Enforcement and Compliance Assurance: Washington, District of Columbia.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 114 of 126 1134
USEPA. (2007). Innovation and Research for Water Infrastructure for the 21st Century Research Plan.

Report No. EPA-ORD-NRMRL-CI-08-03-02, USEPA: Washington, District of Columbia.

Water Research Centre (WRc). (2003). Manual of Sewer Condition Assessment, 4th edition. WRc:

Swindon, Wiltshire, United Kingdom.

Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 115 of 126 1135
Appendix A
Technology Vendors
Page A-1
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 116 of 126 1136
Camera Technologies
Digital Camera Inspection
Product(s) Vendor/Address Phone/Fax/Email/URL
DigiSewer Envirosight
111 Canfield Ave.

Randolph, NJ 07869
Tel: (866) 936-8476
Fax: (973) 252-1176
Email: through website
URL: http://www.envirosight.com
Panoramo Rapidview-IBAK USA
1828 West Olson Road
Rochester, IN 46975
Tel: (800) 656-4225
Fax: (574) 224-5426
Email: [email protected]
URL: http://www.rapidview.com
Sewer Scanning
Evaluation
Technology (SSET)
Hydromax USA, LLC
1766 Brent Drive
Newburgh, IN 47630
Tel: (812) 925-3930
Fax: (812) 925-3911
Email: [email protected]
URL: http://www.hydromaxusa.com
Zoom Cameras
Product Vendor/Address Phone/Fax/Email/URL
AquaZoom Aquadata, Inc.
95 5th Avenue
Pincourt, Quebec
Canada J7V 5K8
Tel: (800) 567-9003
Fax: (514) 425-3506
Email: [email protected]
URL: http://www.aquadata.com
Aries HC3000 Zoom Aries Industries Tel: (800) 234-7205
Pole Camera 550 Elizabeth St.

Waukesha, WI 53186
Fax: (262) 896-7099
Email: through website
URL: http://www.ariesind.com
Ca-Zoom PTZ GE Sensing & Inspection
Technologies
Tel: (888) 332-3848
Fax: (866) 899-4184
Quickview 721 Visions Drive
Skaneateles, NY 13152
Email: through website
URL:
http://www.geinspectiontechnologies.com
CUES IMX Truck
Mounted Zoom
Camera
CUES IMX Corporate Office
3600 Rio Vista Ave.

Orlando, FL 32805
Tel: (800) 327-7791
Fax: (407) 425-1569
Email: [email protected]
URL: http://www.cuesinc.com
Page A-2
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PortaZoom CTZoom Technologies Tel: (888) 965-8987
2500 Boul. Des Enteprises #104
Terrebonne (Quebec)
Canada J6X 4J8
Fax: (450) 965-8987
Email: [email protected]
URL: http://www.ctzoom.com
Push Cameras
Product(s) Address Phone/Fax/Email/URL
Insight Vision Push
Camera
Insight Vision
600 Dekora Woods Boulevard
Saukville, WI 53080
Tel: (800) 488-8177
Fax: (262) 268-9952
URL: http://insightvisioncameras.com
CrystalCam Push
Camera
Inuktun Services Ltd.
2569 Kenworth Road, Ste. C
Nanaimo, BC
Canada, V9T 3M4
Tel: (877) 468-5886
Fax: (250) 729-8080
Email: [email protected]
URL: http://www.inuktun.com/headoffice.htm
Flexiprobe Pearpoint/RADIODETECTION
154 Portland Road
Bridgton, ME 04000
Tel: (877) 247-3797
Fax: (207) 647-9495
Email: [email protected]
URL: http://www.pearpoint.com
Hydrus, Orion,
Orion L
Rapidview-IBAK USA
1828 West Olson Road
Rochester, IN 46975
Tel: (800) 656-4225
Fax: (574) 224-5426
Email: [email protected]
URL: http://www.rapidview.com
Lateral Launchers
Product(s) Vendor/Address Phone/Fax/Email/URL
LAMP CUES IMX Corporate Office
3600 Rio Vista Ave.

Orlando, FL 32805
Tel: (800) 327-7791
Fax: (407) 425-1569
Email: [email protected]
URL: www.cuesinc.com
Lateral Evaluation
Television System
Aries Industries
550 Elizabeth St.

Waukesha, WI 53186
Tel: (800) 234-7205
Fax: (262) 896-7099
URL: http://www.ariesind.com
Lateral Inspection
System
RS Technical Services
1327 Clegg St.

Petaluma, CA 94954
Tel: (800) 767-1974
Fax: (707) 778-1974
URL: http://www.rstechserv.com
Page A-3
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IBAK LISY 150-M Rapidview-IBAK USA Tel: (800) 656-4225
1828 West Olson Road
Rochester, IN 46975
Fax: (574) 224-5426
Email: [email protected]
URL: http://www.rapidview.com
Small Diameter Tractors
Product(s) Address Phone/Fax/Email/URL
ELKT100 Mini Pearpoint/RADIODETECTION
154 Portland Road
Bridgton, ME 04000
Tel: (877) 247-3797
Fax: (207) 647-9495
Email: [email protected]
URL: http://www.pearpoint.com
KRA 65 Rapidview-IBAK USA
1828 West Olson Road
Rochester, IN 46975
Tel: (800) 656-4225
Fax: (574) 224-5426
Email: [email protected]
URL: http://www.rapidview.com
Mighty Mini
Transporter
RS Technical Services
1327 Clegg St.

Petaluma, CA 94954
Tel: (800) 767-1974
Fax: (707) 778-1974
URL: http://www.rstechserv.com
Rovver 100 Envirosight
111 Canfield Ave.

Randolph, NJ 07869
Tel: (866) 936-8476
Fax: (973) 252-1176
Email: through website
URL: http://www.envirosight.com
Versatrax 100 Inuktun Services Ltd.
2569 Kenworth Road, Ste. C
Nanaimo, BC
Canada, V9T 3M4
Tel: (877) 468-5886
Fax: (250) 729-8080
Email: [email protected]
URL: http://www.inuktun.com/headoffice.htm
Xpress Silver-Bullet
Crawler
Insight Vision
600 Dekora Woods Boulevard
Saukville, WI 53080
Tel: (800) 488-8177
Fax: (262) 268-9952
URL: http://insightvisioncameras.com
Long Range Tractors
Product Vendor/Address Phone/Fax/Email/URL
Versatrax 300 VLR Inuktun Services Ltd.
2569 Kenworth Road, Ste. C
Nanaimo, BC
Canada, V9T 3M4
Tel: (877) 468-5886
Fax: (250) 729-8080
Email: [email protected]
URL: http://www.inuktun.com/headoffice.htm
Page A-4
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 119 of 126 1139
Responder Redzone Robotics Fax: (412) 476-8981
91 43rd St., Ste.250 Email: through website
Pittsburgh, PA 15201 URL: http://www.redzone.com
Acoustic Technologies
In-Line Leak Detectors
Product Address Phone/Fax/Email/URL
LxSentry LxSix Photonics
520 McCaffrey St.

St-Laurent, Quebec
Canada H4T 1N1
Tel: (514) 599-5714
Fax: (514) 599-5729
Email: [email protected]
URL: http://www.lxsix.com
Sahara Pressure Pipe Inspection
Company
1930 West Qual Avenue, Suite
A
Phenix, AZ 85027
Tel: (866)-990-2466
Email: [email protected]
URL: http://www.ppic.com
Smartball Pure Technologies
Suite A, 9130 Red Branch Road
Columbia, Maryland 21045
Tel:1-800-537-2806
Fax: (443) 766-7877
Email: through website
URL: http://www.puretechnologiesltd.com
Acoustic Monitoring Systems
Product Address Phone/Fax/Email/URL
AET Pressure Pipe Inspection
Company
1930 West Qual Avenue, Suite
A
Phenix, AZ 85027
Tel: (866)-990-2466
Email: [email protected]
URL: http://www.ppic.com
Soundprint AFO Pure Technologies
Suite A, 9130 Red Branch Road
Columbia, Maryland 21045
Tel:1-800-537-2806
Fax: (443) 766-7877
Email: through website
URL: http://www.puretechnologiesltd.com
Sonar/Ultrasonic
Product Address Phone/Fax/Email/URL
Amtec Sonar
TISCIT
Amtec Surveying Inc.
3355 Lenox Rd. Ste. 750
Atlanta, GA 30326
Tel: (404) 504-7044
Fax: (404) 504-7004
Email: [email protected]
URL: http://www.amtecsurveying.com
Page A-5
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A-SIS AquaCoustic Remote Tel: (888) 3749-7601
AquaCoustic Technologies, Inc.
3339 West 8th Ave.

Vancouver, BC
V6R 1Y3 Canada
Fax: (604) 730-8771
Email: [email protected]
URL: http://www.aquacoustic.com
Envirosight Envirosight
111 Canfield Ave.

Randolph, NJ 07869
Tel: (866) 936-8476
Fax: (973) 252-1176
Email: through website
URL: http://www.envirosight.com
PipeEye PipeEye International
Unit 28 – 6275 Harrison Dr.,
Park 2000
Las Vegas, NV 89120
Tel: (888) 756-2033
Fax: (250) 753-2642
Email: [email protected]
URL: http://pipe-eye-int.com
RVS2 R&R Visual, Inc.
1828 West Olson Rd.

Rochester, In 46975
Tel: (800) 776-5653
Fax: (574)-223-7953
Email: [email protected]
URL: http://www.expipeinspection.com
Sonar Profiler System CUES Corporate Office Tel: (800) 327-7791 (submerged/semi- 3600 Rio Vista Ave. Fax: (407) 425-1569 submerged) Orlando, FL 32805 Email: [email protected] URL: www.cuesinc.com
Sonar Sewer Profiling
Attachment
Sonar Sweep
Attachment
Redzone Robotics
91 43rd St., Ste.250
Pittsburgh, PA 15201
Fax: (412) 476-8981
Email – through website
URL: http://www.redzone.com
Ultrascan CD GE Inspection Technologies Tel: (866) 243-2638 Ultrascan DUO 50 Industrial Park Road Fax: (717) 242-2606 Ultrascan WM Lewistown, PA 17044 URL:
http://www.geinspectiontecnologies.com
Inspector Systems
Ultrasonic Inspection
Robot
Aqua Drill International Inc.
1300 FM 545 East
Dickinson, TX 77539
Tel: (281) 337-0900
Fax: (281) 337-7270
URL: http://www.inspector-systtems.com
Wavemaker Guided Ultrasonics Ltd.
30 Saville Road
Chiswick, London
W4 5HG
United Kingdom
Tel: +44 (0) 20 8991 3771
Fax: +44 (0) 20 8987 0558
Email: [email protected]
URL: http://www.guided-ultrasonics.com
Page A-6
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Electrical and Electromagnetic Products
Electrical Leak Location Method
Product Address Phone/Fax/Email/URL
FELL-21
FELL-41
Metrotech Corporation
3251 Olcott St.

Santa Clara, CA 95054
Tel: (800) 446-3392
Fax: (408) 734-1415
Email: [email protected]
URL: http://www.fell21.com
Eddy Current and Remote Field Eddy Current
Product Vendor/Address Phone/Fax/Email/URL
BEM Rock Solid Pty, Ltd.
11 Evans Str.

Burwood Vic 3124
Australia
Tel: (+613) 9335-6122
Fax: (613) 9335-6733
Email: [email protected]
URL: http://www.rocksolidgroup.com.au
Hydroscope Hydroscope Canada, Inc
8170 50 St. NW Suite 260
Edmonton, AB, T6B 1E6
Tel: (780)-450-6224
Fax: (780) 450-6224
Email: [email protected]
URL: http://www.hydroscope.com
See Snake Tool CHECK IF VENDOR
Russel NDE Systems, Inc.
4909 75th Avenue
Edmonton, AB, Canada T6B
2S3
Tel: (780) 468-6800
Fax: (780) 462-9378
Email: [email protected]
URL: http://www.russeltech.com
P-Wave Pure Technologies
Suite A, 9130 Red Branch Road
Columbia, Maryland 21045
Tel:1-800-537-2806
Fax: (443) 766-7877
Email: through website
URL: http://www.puretechnologiesltd.com
RFEC/TC Pressure Pipe Investigation
Company
[email protected]
http://www.ppic.com/home/index.asp
Page A-7
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Magnetic Flux Leakage
Product Address Phone/Fax/Email/URL
AES 19

AES ECAT
Advanced Engineering
Solutions, LTD
South Nelson Road
South Nelson Industrial Estate
Cramlington, Northumberland
NE23 1WF
United Kingdom
Tel: +41 41 618 0 300
Fax: +41 41 618 0 319
Email: [email protected]
URL: http://www.aesengs.co.uk
Axial Flaw Detection
(AFD)
Corrosion Detection
Pig (CDP)
Rosen Inspection
Obere Spichermatt 14
6370 Stans
Switzerland
Tel: +41 41 618 0 300
Fax: +41 41 618 0 319
Email: [email protected]
URL: www.RosenInspection.net
CPIG
Vertiline/V-line, CPIG
Baker Hughes
12645 West Airport Blvd.

Sugar Land, TX 77478
Tel: (281) 276-5400
Email:

[email protected]
URL: http://www.bakerhughesdirect.com

LINSCAN LIN SCAN
205/206
Al Zahra Shopping Complex
U.A.E.

Tel: +9716-7473600
Fax: : +9716-7473800
Email: [email protected],
URL: http://www.linscan.biz
MagneScan
TranScan
GE Energy URL:
http://www.gepower.com/contact/index.ht
m
MAGPIE TDW Services, Inc
4220 World Houston Pkwy,
Ste. 100
Houston, Texas 77032
Tel: (832) 448-7221
Email: [email protected]
URL: http://www.magpiesystems.com
MFL Inspection Tool NGKS
7, Guilyarovsky St.

Moscow, Russia 129090
Tel: + 7 495 937 86 36/26
Fax: + 7 495 937 86 35/31
Email: [email protected]
URL: http://www.ngksint.com
Page A-8
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Pipesurvey MFL Pipesurvey International
Schrijnwerkersstraat 13
3334 KH Zwijndrecht
P.O. BOX 117
3330 AC Zwijndrecht
the Netherlands
Tel + 31 78 610 1428
Fax + 31 78 610 2128
Email: [email protected]
URL:
http://www.pipesurveyinternational.com
VECTRA BJ Services Company
414 Pinckney
Houston, TX 77009
Tel: (713) 224-1105
Fax: (713) 229-0541
URL: http://www.bjservices.com/
Laser Products
Product Address Phone/Fax/Email/URL
Active 3D Laser
Scanning
Redzone Robotics
91 43rd St., Ste.250
Pittsburgh, PA 15201
Fax: (412) 476-8981
Email: through website
URL: http://www.redzone.com
Coolvision Sima Environmental
1153 E Ogden, # 705-135
Naperville, IL 60563
Phone: (630) 327-8503
Email: [email protected]
URL: http://www.simaenvironmental.com
Laser Profiler CUES IMX Corporate Office
3600 Rio Vista Ave.

Orlando, FL 32805
Tel: (800) 327-7791
Fax: (407) 425-1569
Email: [email protected]
URL: http://www.cuesinc.com
Laser Profiling Tool Envirosight
111 Canfield Ave.

Randolph, NJ 07869
Tel: (866) 936-8476
Fax: (973) 252-1176
Email: through website
URL: http://www.envirosight.com
Laser Profiler R&R Visual, Inc.
1828 West Olson Rd.

Rochester, In 46975
Tel: (800) 776-5653
Fax: (574)-223-7953
Email: [email protected]
URL: http://www.expipeinspection.com
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ATTACHMENT F
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 125 of 126 1145
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WATER RESOURCERECOVERYDEPARTMENT
Case 3:05-cv-03829-MMC Document 57 Filed 06/04/18 Page 126 of 126 1146
1 STATE WATER RESOURCES CONTROL BOARD
1001 I Street, Sacramento, California 95814
ORDER WQ 2022-0103-DWQ

STATEWIDE WASTE DISCHARGE REQUIREMENTS

GENERAL ORDER FOR SANITARY SEWER SYSTEMS
This Order was adopted by the State Water Resources Control Board on December 6, 2022.

This Order shall become effective 180 days after the Adoption Date of this General Order, on June 5, 2023.

The Enrollee shall comply with the requirements of this Order upon the Effective Date of this General Order.

This General Order does not convey any property rights of any sort or any exclusive privileges.

The requirements prescribed herein do not authorize the commission of any act causing injury to persons or property, protect the Enrollee from liability under federal, state, or local laws, nor create a vested right for the Enrollee to continue the discharge of waste.

CERTIFICATION
I, Jeanine Townsend, Clerk to the Board, do hereby certify that this Order with all attachments is a full, true, and correct copy of the Order adopted by the State Water Board on December 6, 2022.

AYE: Chair E. Joaquin Esquivel
Vice Chair Dorene D’Adamo
Board Member Sean Maguire
Board Member Laurel Firestone
Board Member Nichole Morgan
NAY: None
ABSENT: None
ABSTAIN: None
for
Jeanine Townsend
Clerk to the Board
1147

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
2 Table of Contents

1. Introduction .................................................................................................................... 4

2. Regulatory Coverage and Application Requirements .................................................... 5

2.1. Requirements for Continuation of Existing Regulatory Coverage ....................... 5

2.2. Requirements for New Regulatory Coverage...................................................... 5

2.3. Regulatory Coverage Transfer............................................................................ 7

3. Findings ......................................................................................................................... 7

3.1. Legal Authorities ................................................................................................. 7

3.2. General ............................................................................................................. 11

3.3. Water Quality Control Plans, Policies and Resolutions ..................................... 14

3.4. California Environmental Quality Act................................................................. 16

3.5. State Water Board Funding Assistance for Compliance with Water Board Water Quality Orders ................................................................................................... 16

3.6. Notification to Interested Parties ....................................................................... 17

4. Prohibitions .................................................................................................................. 17

4.1 Discharge of Sewage from a Sanitary Sewer System....................................... 17

4.2. Discharge of Sewage to Waters of the State..................................................... 17

4.3. Discharge of Sewage Creating a Nuisance....................................................... 18

5. Specifications............................................................................................................... 18

5.1. Designation of a Legally Responsible Official ................................................... 18

5.2. Sewer System Management Plan Development and Implementation............... 18

5.3. Certification of Sewer System Management Plan and Plan Updates................ 19

5.4. Sewer System Management Plan Audits .......................................................... 19

5.5. Six-Year Sewer System Management Plan Update.......................................... 21

5.6. System Resilience............................................................................................. 22

5.7. Allocation of Resources .................................................................................... 22

5.8. Designation of Data Submitters......................................................................... 22

5.9. Reporting Certification....................................................................................... 22

5.10. System Capacity ............................................................................................... 23

5.11. System Performance Analysis .......................................................................... 23

5.12. Spill Emergency Response Plan and Remedial Actions ................................... 23

5.13. Notification, Monitoring, Reporting and Recordkeeping Requirements ............. 24

5.14. Electronic Sanitary Sewer System Service Area Boundary Map....................... 26

5.15. Voluntary Reporting of Spills from Privately-Owned Sewer Laterals and/or Private Sanitary Sewer Systems ................................................................................... 26

5.16. Voluntary Notification of Spills from Privately-Owned Laterals and/or Systems to the California Office of Emergency Services ..................................................... 27

5.17. Unintended Failure to Report ............................................................................ 27 1148

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
3 5.18. Duty to Report to Water Boards ........................................................................ 27

5.19. Operation and Maintenance............................................................................... 27

6. Provisions .................................................................................................................... 27

6.1. Enforcement Provisions .................................................................................... 27

6.2. Other Regional Water Board Orders ................................................................. 30

6.3. Sewer System Management Plan Availability ................................................... 31

6.4. Entry and Inspection ......................................................................................... 31 Table of Attachments
Attachment A – Definitions .....................................................................................................A-1 Attachment B – Application for Enrollment .............................................................................B-1 Attachment C - Notice of Termination.....................................................................................C-1 Attachment D – Sewer System Management Plan – Required Elements ..............................D-1 Attachment E1 – Notification, Monitoring, Reporting and Recordkeeping Requirements .....E1-1 Attachment E2 – Summary of Notification, Monitoring and Reporting Requirements...........E2-1 Attachment F – Regional Water Quality Control Board Contact Information ..........................F-1 1149

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
4 1. INTRODUCTION
This General Order regulates sanitary sewer systems designed to convey sewage. For the purpose of this Order, a sanitary sewer system includes, but is not limited to, pipes, valves, pump stations, manholes, siphons, wet wells, diversion structures and/or other pertinent infrastructure, upstream of a wastewater treatment plant headworks. A sanitary sewer system includes:
• Laterals owned and/or operated by the Enrollee;
• Satellite sewer systems; and/or
• Temporary conveyance and storage facilities, including but not limited to temporary piping, vaults, construction trenches, wet wells, impoundments, tanks and diversion structures.

Sewage is untreated or partially treated domestic, municipal, commercial and/or industrial waste (including sewage sludge), and any mixture of these wastes with inflow or infiltration of stormwater or groundwater, conveyed in a sanitary sewer system.

Sewage contains high levels of suspended solids, non-digested organic waste, pathogenic bacteria, viruses, toxic pollutants, nutrients, oxygen-demanding organic compounds, oils, grease, pharmaceuticals, and other harmful pollutants.

For the purpose of this General Order, a spill is a discharge of sewage from any portion of a sanitary sewer system due to a sanitary sewer system overflow, operational failure, and/or infrastructure failure. Sewage and its associated wastewater spilled from a sanitary sewer system may threaten public health, beneficial uses of waters of the State, and the environment.

This General Order serves as statewide waste discharge requirements and supersedes the previous State Water Resources Control Board (State Water Board) Order 2006-0003-DWQ and amendments thereafter. All sections and attachments of this General Order are enforceable by the State Water Board and Regional Water Quality Control Boards (Regional Water Boards). Through this General Order, the State Water Board requires an Enrollee to:
• Comply with federal and state prohibitions of discharge of sewage to waters of the State, including federal waters of the United States;
• Comply with specifications, and notification, monitoring, reporting and recordkeeping requirements in this General Order that implement the federal Clean Water Act, the California Water Code (Water Code), water quality control plans (including Regional Water Board Basin Plans) and policies;
• Proactively operate and maintain resilient sanitary sewer systems to prevent spills; • Eliminate discharges of sewage to waters of the State through effective implementation of a Sewer System Management Plan;
• Monitor, track, and analyze spills for ongoing system-specific performance improvements; and
• Report noncompliance with this General Order per reporting requirements. 1150

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
5 An Enrollee is a public, private, or other non-governmental entity that has obtained approval for regulatory coverage under this General Order, including:
• A state agency, municipality, special district, or other public entity that owns and/or operates one or more sanitary sewer systems:
o greater than one (1) mile in length (each individual sanitary sewer system); o one (1) mile or less in length where the State Water Board or a Regional Water Board requires regulatory coverage under this Order; or • A federal agency, private company, or other non-governmental entity that owns and/or operates a sanitary sewer system of any size where the State Water Board or a Regional Water Board requires regulatory coverage under this Order in response to a history of spills, proximity to surface water, or other factors supporting regulatory coverage.

For the purpose of this Order, a sanitary sewer system includes only systems owned and/or operated by the Enrollee.

2. REGULATORY COVERAGE AND APPLICATION REQUIREMENTS

2.1. Requirements for Continuation of Existing Regulatory Coverage To continue regulatory coverage from previous Order 2006-0003-DWQ under this General Order, within the 60-days-prior-to the Effective Date of this General Order, the Legally Responsible Official of an existing Enrollee shall electronically certify the Continuation of Existing Regulatory Coverage form in the online California Integrated Water Quality System (CIWQS) Sanitary Sewer System Database. The Legally Responsible Official will receive an automated CIWQS-issued Notice of Applicability email, confirming continuation of regulatory coverage under this General Order. All regulatory coverage under previous Order 2006-0003-DWQ will cease on the Effective Date of this Order.

An Enrollee continuing existing regulatory coverage is not required to submit a new application package or pay an application fee for enrollment under this General Order.

The annual fee due date for continued regulatory coverage from previous Order 2006-0003-DWQ to this General Order remains unchanged.

A previous Enrollee of Order 2006-0003-DWQ that fails to certify the Continuation of Existing Regulatory Coverage form in the online CIWQS database by the Effective Date of this Order is considered a New Applicant, and will not have regulatory coverage for its sanitary sewer system(s) until:
• A new application package for system(s) enrollment is submitted per section 2.2 (Requirements for New Regulatory Coverage) below; and
• The new application package is approved per section 2.2.2 (Approval of Application Package (For New Applicants Only)).

2.2. Requirements for New Regulatory Coverage
No later than 60 days prior to commencing and/or assuming operation and maintenance responsibilities of a sanitary sewer system, a duly authorized representative that 1151

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
6 maintains legal authority over the public or private sanitary sewer system is required to enroll under this General Order by submitting a complete application package as specified below and as provided in Attachment B (Application for Enrollment Form) of this General Order.

Unless required by a Regional Water Board, a public agency that owns a combined sewer system subject to the Combined Sewer Overflow Control Policy (33 U.S. Code § 1342(q)), is not required to enroll, under this Order, the portions of its sanitary sewer system(s) that collects combined sanitary wastewater and stormwater.

2.2.1. Application Package Requirements
The Application for Enrollment package for new applicants must include the following items:
• Application for Enrollment Form. The form in Attachment B of this General Order must be completed, signed, and certified by a Legally Responsible Official, in accordance with section 5.1 (Designation of a Legally Responsible Official) of this General Order. If an electronic Application for Enrollment form is available at the time of application, a new applicant shall submit its application form electronically; and
• Application Fee. A fee payable to the “State Water Resources Control Board” in accordance with the Fee Schedule in the California Code of Regulations, Title 23, section 2200, or subsequent fee regulations updates.

The application fee for this General Order is based on the sanitary sewer system’s threat to water quality and complexity designations of category 2C or 3C, which is assigned based on the population served by the system. The current Fee Schedule for sanitary sewer systems is listed under subdivision (a)(2) at the following website:

Fee Schedule (https://www.waterboards.ca.gov/resources/fees/water_quality/).

2.2.2. Approval of Application Package (For New Applicants Only) The Deputy Director of the State Water Board, Division of Water Quality (Deputy Director) will consider approval of each complete Application for Enrollment package.

The Deputy Director will issue a Notice of Applicability letter which serves as approved regulatory coverage for the new Enrollee.

If the submitted application package is not complete in accordance with section 2.2.1 (Application Package Requirements) of this General Order, the Deputy Director will send a response letter to the applicant outlining the application deficiencies. The applicant will have 60 days from the date of the response letter to correct the application deficiencies and submit the identified items necessary to complete the application package to the State Water Board.

2.2.3. Electronic Reporting Account for New Enrollee
Within 30 days after the date of the Approval of Complete Application Package for System Enrollment, a duly authorized representative for the Enrollee shall obtain a CIWQS Sanitary Sewer System Database user account by clicking the “User Registration” button and following the directions on the CIWQS Login Page 1152

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
7 (https://ciwqs.waterboards.ca.gov). If additional assistance is needed to establish an online CIWQS user account, contact State Water Board staff by email at [email protected]. The online user account will provide the Enrollee secure access to the online CIWQS database for electronic reporting.

2.3. Regulatory Coverage Transfer
Regulatory coverage under this General Order is not transferable to any person or party except after an existing Enrollee submits a written request for a regulatory coverage transfer to the Deputy Director, at least 60 days in advance of any proposed system ownership transfer. The written request must include a written agreement between the existing Enrollee and the new Enrollee containing:
• Acknowledgement that the transfer of ownership is solely of an existing system with an existing waste discharge identification (WDID) number; • The specific ownership transfer date in which the responsibility and regulatory coverage transfer between the existing Enrollee and the new Enrollee becomes effective; and
• Acknowledgement that the existing Enrollee is liable for violations occurring up to the ownership transfer date and that the new Enrollee is liable for violations occurring on and after the ownership transfer date.

The Deputy Director will consider approval of the written request. If approved, the Deputy Director will issue a Notice of Applicability letter which serves as an approved transfer of regulatory coverage to the new Enrollee.

3. FINDINGS

3.1. Legal Authorities

3.1.1. Federal and State Regulatory Authority
The objective of the Clean Water Act is to restore and maintain the chemical, physical, and biological integrity of the waters of the United States (33 U.S.C. 1251). The Water Code authorizes the State Water Board to implement the Clean Water Act in the State and to protect the quality of all waters of the State (Water Code sections 13000 and 13160).

3.1.2. Discharge of Sewage
A discharge of untreated or partially treated sewage is a discharge of waste as defined in Water Code section 13050(d) that could affect the quality of waters of the State and is subject to regulation by waste discharge requirements issued pursuant to Water Code section 13263 and Chapter 9, Division 3, Title 23 of the California Code of Regulations.

A discharge of sewage may pollute and alter the quality of the waters of the State to a degree that unreasonably affects the beneficial uses of the receiving water body or facilities that serve those beneficial uses (Water Code section 13050(l)(1)). 1153

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
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8 3.1.3 Water Boards Authority to Require Technical Reports, Monitoring, and Reporting Water Code sections 13267 and 13383 authorize the Regional Water Boards and the State Water Board to establish monitoring, inspection, entry, reporting, and recordkeeping requirements. Water Code section 13267(b), authorizes the Regional Water Boards to “require any person who has discharged, discharges, or is suspected of having discharged or discharging, or who proposes to discharge waste within its region… or is suspected of having discharged or discharging, or who proposes to discharge, waste outside of its region that could affect the quality of water within its region shall furnish, under penalty of perjury, technical or monitoring reports which the regional board requires…In requiring those reports, the regional board shall provide the person with a written explanation with regard to the need for the reports and shall identify the evidence that supports requiring that person to provide the reports.” Water Code section 13267(f) authorizes the State Water Board to require this information if it consults with the Regional Water Boards and determines that it will not duplicate the efforts of the Regional Water Boards. The State Water Board has consulted with the Regional Water Boards and made this determination.

The technical and monitoring reports required by this General Order and Attachment E (Notification, Monitoring, Reporting and Recordkeeping Requirements) are necessary to evaluate and ensure compliance with this General Order. The effort to develop required technical reports will vary depending on the system size and complexity and the needs of the specific technical report. The burden and cost of these reports are reasonable and consistent with the interest of the state in protecting water quality, which is the primary purpose of requiring the reports.

Water Code section 13383(a) authorizes the Water Boards to “establish monitoring, inspection, entry, reporting, and recordkeeping requirements… for any person who discharges, or proposes to discharge, to navigable waters, any person who introduces pollutants into a publicly owned treatment works, any person who owns or operates, or proposes to own or operate, a publicly owned treatment works or other treatment works treating domestic sewage, or any person who uses or disposes, or proposes to use or dispose, of sewage sludge.” Section 13383(b) continues, “the state board or the regional boards may require any person subject to this section to establish and maintain monitoring equipment or methods, including, where appropriate, biological monitoring methods, sample effluent as prescribed, and provide other information as may be reasonably required.”
Reporting of spills from privately owned sewer laterals and systems pursuant to section

5.15 (Voluntary Reporting of Spills from Privately-Owned Sewer Laterals and/or Private Sanitary Sewer Systems) of this General Order is authorized by Water Code section 13225(c) and encouraged by the State Water Board, wherein a local agency may investigate and report on any technical factors involved in water quality control provided the burden including costs of such reports bears a reasonable relationship to the need for the report and the benefits to be obtained therefrom. The burden of reporting private spills under section 5.15 (Voluntary Reporting of Spills from Privately-Owned Sewer Laterals and/or Private Sanitary Sewer Systems) is minimal and is outweighed by the benefit of providing Regional Water Boards an opportunity to respond to these spills 1154

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
9 when an Enrollee, which in many cases has a contractual relationship with the owner of the private system, has knowledge of the spills.

3.1.4. Water Board Authority to Prescribe General Waste Discharge Requirements Water Code section 13263(i) provides that the State Water Board may prescribe general waste discharge requirements for a category of discharges if the State Water Board finds or determines that:
• The discharges are produced by the same or similar operations; • The discharges involve the same or similar types of waste; • The discharges require the same or similar treatment standards; and • The discharges are more appropriately regulated under general waste discharge requirements than individual waste discharge requirements.

Since 2006, the State Water Board has been regulating over 1,100 publicly owned sanitary sewer systems (See section 3.1.5 (Previous Statewide General Waste Discharge Requirements) of this General Order). California also has a large unknown number of unregulated privately owned sanitary sewer systems. All waste conveyed in publicly owned and privately owned sanitary sewer systems (as defined in this General Order) is comprised of untreated or partially treated domestic waste and/or industrial waste. Generally, sanitary sewer systems are designed and operated to convey waste by gravity or under pressure; system-specific design elements and system-specific operations do not change the common nature of the waste, the common threat to public health, or the common impacts on water quality. Spills of waste from a sanitary sewer system prior to reaching the ultimate downstream treatment facility are unauthorized and enforceable by the State Water Board and/or a Regional Water Board. Therefore, spills from sanitary sewer systems are more appropriately regulated under general waste discharge requirements.

As specified in Water Code sections 13263(a) and 13241, the implementation of requirements set forth in this Order is for the reasonable protection of past, present, and probable future beneficial uses of water and the prevention of nuisance. The requirements implement the water quality control plans (Basin Plans) for each Regional Water Board and take into account the environmental characteristics of sewer service areas and hydrographic units within the state. Additionally, the State Water Board has considered water quality conditions that could reasonably be achieved through the coordinated control of all factors that affect water quality, costs associated with compliance with these requirements, the need for developing housing within California, and the need to protect sources of drinking water and other water supplies.

3.1.5. Previous Statewide General Waste Discharge Requirements On May 2, 2006, the State Water Board adopted Order 2006-0003-DWQ serving as Waste Discharge Requirements pursuant to Article 4, Chapter 4, Division 7 of the Water Code (commencing with section 13260) for inadvertent discharges to waters of the State. Order 2006-0003-DWQ prohibited discharges of untreated or partially treated sewage. Order 2006-0003-DWQ also required system-specific management, operation, and maintenance of publicly owned sewer systems greater than one mile in length. 1155

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
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10 To decrease the impacts on human health and the environment caused by sewage spills, the previous Order required enrollees to develop a rehabilitation and replacement plan that identifies system deficiencies and prioritizes short-term and long-term rehabilitation actions. The previous Order also required enrollees to:

1. Maintain information that can be used to establish and prioritize appropriate Sewer System Management Plan activities; and

2. Implement a proactive approach to reduce spills.

The previous Order required Sewer System Management Plan elements for “the proper and efficient management, operation, and maintenance of sanitary sewer systems, while taking into consideration risk management.”
On July 30, 2013, the State Water Board amended General Order 2006-0003-DWQ with Order WQ 2013-0058-EXEC, Amending Monitoring and Reporting Program for Statewide General Waste Discharge Requirements for Sanitary Sewer Systems.

Many enrollees of Order 2006-0003-DWQ have already implemented proactive measures to reduce sewage spills. Other enrollees, however, still need technical assistance and funding to improve sanitary sewer system operation and maintenance for the reduction of sewage spills.

3.1.6. Existing Memorandum of Agreement with California Water Environment Association
The California Water Environment Association is a nonprofit organization dedicated to providing water industry certifications, training, and networking opportunities. The Association’s Technical Certification Program provides accredited sanitary sewer system operator certification for collection system operators and maintenance workers.

On February 10, 2016, the State Water Board entered into a collaborative agreement with the Association titled Memorandum of Agreement Between the California State Water Resources Control Board and the California Water Environment Association - Training Regarding Requirements Set Forth in Statewide General Waste Discharge Requirements for Sanitary Sewer Systems. The Memorandum sets forth collaborative training necessary for regulated sanitary sewer system personnel to operate and maintain a well operating system and ensure full compliance with statewide sewer system regulations.

On March 15, 2018, the State Water Board and the California Water Environment Association amended the existing Memorandum of Agreement to include collaborative outreach and expand training needs associated with further updates to Water Board regulations for sanitary sewer systems. The State Water Board encourages further Agreement updates as necessary to support improved sewer system operations and the professionalism of collection system operators.
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11 3.2. General

3.2.1. Waters of the State
Waters of the State include any surface water or groundwater, including saline waters, within the boundaries of the state as defined in Water Code section 13050(e), and are inclusive of waters of the United States.

3.2.2. Sanitary Sewer System Spill Threats to Public Health and Beneficial Uses Sewage contains high levels of suspended solids, pathogenic organisms, toxic pollutants, nutrients, oxygen-demanding organic compounds, oil and grease and other pollutants. Sewage spills may cause a public nuisance, particularly when sewage is discharged to areas with high public exposure such as streets and surface waters used for drinking, irrigation, fishing, recreation, or other public consumption or contact uses.

More specifically, sanitary sewer spills may:
• Adversely affect aquatic life and/or threaten water quality when reaching receiving waters;
• Inadvertently release trash, including plastics;
• Impair the recreational use and aesthetic enjoyment of surface waters by polluting surface water or groundwater;
• Threaten public health through direct public exposure to bacteria, viruses, intestinal parasites, and other microorganisms that can cause serious illness such as gastroenteritis, hepatitis, cryptosporidiosis, and giardiasis; • Negatively impact ecological receptors and biota within surface waters; and • Cause nuisance including odors, closure of beaches and recreational areas, and property damage.

Sanitary sewer system spills may pollute receiving waters and threaten beneficial uses of surface water and groundwater. Potentially threatened beneficial uses include, but are not limited to the following (with associated acronym representations as included in statewide water quality control plans and Regional Water Boards’ Basin Plans):
• Municipal and Domestic Supply (MUN)
• Water Contact Recreation (REC-1) and Non-Contact Water Recreation (REC-2) • Cold Freshwater Habitat (COLD)
• Warm Freshwater Habitat (WARM)
• Native American Culture (CUL)
• Wildlife Habitat (WILD)
• Rare, Threatened, or Endangered Species (RARE)
• Spawning, Reproduction, and/or Early Development (SPWN) • Wetland Habitat (WET)
• Agricultural Supply (AGR)
• Estuarine Habitat (EST)
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STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
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12 • Commercial and Sport Fishing (COMM)
• Subsistence Fishing (SUB)
• Tribal Tradition and Culture (CUL)
• Tribal Subsistence Fishing (T-SUB)
• Aquaculture (AQUA)
• Marine Habitat (MAR)
• Preservation of Biological Habitats of Special Significance (BIOL) • Migration of Aquatic Organisms (MIGR)
• Shellfish Harvesting (SHELL)
• Industrial Process Supply (PROC)
• Industrial Service Supply (IND)
• Hydropower Generation (POW)
• Navigation (NAV)
• Flood Peak Attenuation/Flood Water Storage (FLD)
• Water Quality Enhancement (WQE)
• Fresh Water Replenishment (FRSH)
• Groundwater Recharge (GWR)
• Inland Saline Water Habitat (SAL)

3.2.3. Proactive Sanitary Sewer System Management to Eliminate Spill Causes Finding 3 of the previous Order, 2006-0003-DWQ, states: “Sanitary sewer systems experience periodic failures resulting in discharges that may affect waters of the state.

There are many factors (including factors related to geology, design, construction methods and materials, age of the system, population growth, and system operation and maintenance), which affect the likelihood of an SSO [sanitary sewer overflow].

A proactive approach that requires Enrollees to ensure a system-wide operation, maintenance, and management plan is in place will reduce the number and frequency of SSOs within the state. This approach will in turn decrease the risk to human health and the environment caused by SSOs.”
Many spills are preventable through proactive attention on sanitary sewer system management using the best practices and technologies available to address major causes of spills, including but not limited to:
• Blockages from sources including but not limited to:
o Fats, oils and grease;
o Tree roots;
o Rags, wipes and other paper, cloth and plastic products; and o Sediment and debris.
• Sewer system damage and exceedance of sewer system hydraulic capacity from identified system-specific environmental, and climate-change impacts, including but not limited to:
1158

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
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13 o Sea level rise impacts including flooding, coastal erosion, seawater intrusion, tidal inundation and submerged lands;
o Increased surface water flows due to higher intensity rain events; o Flooding;
o Wildfires and wildfire induced impacts;
o Earthquake induced damage;
o Landslides; and
o Subsidence.
• Infrastructure deficiencies and failures, including but not limited to:
o Pump station mechanical failures;
o System age;
o Construction material failures;
o Manhole cover failures;
o Structural failures; and
o Lack of proper operation and maintenance.
• Insufficient system capacity (temporary or sustained), due to factors including but not limited to:
o Excessive and/or increased storm or groundwater inflow/infiltration; o Insufficient capacity due to population increase and/or new connections from industrial, commercial and other system users; and
o Stormwater capture projects utilizing a sanitary sewer system to convey stormwater to treatment facilities for reuse.
• Community impacts, including but not limited to:
o Power outages;
o Vandalism; and
o Contractor-caused or other third party-caused damages.

3.2.4. Underground Sanitary Sewer System Leakage
Portions of some sanitary sewer systems may leak, causing underground exfiltration (exiting) of sewage from the system. Exfiltrated sewage that remains in the underground infrastructure trench and/or the soil matrix, and that does not discharge into waters of the State (surface water or groundwater) may not threaten beneficial uses.

Underground exfiltrated sewage may threaten beneficial uses if discharged to waters of the State. Exfiltrated sewage that discharges to groundwater may impact beneficial uses of groundwater and pollute groundwater supply. Additionally, if in close proximity, exfiltrated sewage may enter into a compromised underground drainage conveyance system that discharges into a water of the United States, or into groundwater that is hydrologically connected to (feeds into) a water of the United States, thus potentially causing: (1) a Clean Water Act violation, (2) threat and impact to beneficial uses, and/or (3) surface water pollution.
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14 3.2.5. Proactive Sanitary Sewer System Management to Reduce Inflow and Infiltration Excessive inflow (stormwater entering) and infiltration (groundwater seepage entering) to sanitary sewer systems is preventable through proactive sewer system management using the best practices and technologies available. The efficiency of the downstream wastewater treatment processes is dependent on the performance of the sanitary sewer system. When the structural integrity of a sanitary sewer system deteriorates, high volumes of inflow and infiltration can enter the sewer system. High levels of inflow and infiltration increase the hydraulic load on the downstream treatment plant, which can reduce treatment efficiency, lead to bypassing a portion of the treatment process, cause illegal discharge of partially treated effluent, or in extreme situations make biological treatment facilities inoperable (e.g., wash out the biological organisms that treat the waste).

3.3. Water Quality Control Plans, Policies and Resolutions The nine Regional Water Boards have adopted region-specific water quality control plans (commonly referred to as Basin Plans) that designate beneficial uses, establish water quality objectives, and contain implementation programs and policies to achieve those objectives. The State Water Board has adopted statewide water quality control plans, policies and resolutions establishing statewide water quality objectives, implementation programs and initiatives.

3.3.1. State Water Board Antidegradation Policy
On October 28, 1968, the State Water Board adopted Resolution 68-16, titled Statement of Policy with Respect to Maintaining High Quality of Waters in California, which incorporates the federal antidegradation policy. Resolution 68-16 requires that existing water quality be maintained unless degradation is justified based on specific findings.

The continued prohibition of sewage discharges from sanitary sewer systems into waters of the State aligns with Resolution 68-16. A sewage discharge from sanitary sewers to waters of the State is prohibited by this Order. Therefore, this Order does not allow degradation of waters of the State. In addition, this Order: (1) further expands the existing prohibition of sewage discharges to include waters of the State, in addition to waters of the United States as provided in previous Order 2006-0003-DWQ, and (2) enhances the ability for Water Board enforcement of violations of the established prohibitions.

3.3.2. State Water Board Sources of Drinking Water Policy On May 19,1988, the State Water Board adopted Resolution 88-63 (amended on February 1, 2006), titled Sources of Drinking Water, establishing state policy that all waters of the State, with certain exceptions, are suitable or potentially suitable for municipal or domestic supply.

3.3.3. State Water Board Cost of Compliance Resolution
On September 24, 2013, the State Water Board adopted Resolution 2013-0029, titled Directing Actions in Response to Efforts by Stakeholders on Reducing Costs of 1160

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15 Compliance While Maintaining Water Quality Protection. Through this resolution, the State Water Board committed to continued stakeholder engagement in identifying and implementing measures to reduce costs of compliance with regulatory orders while maintaining water quality protection and improving regulatory program outcomes.

3.3.4. State Water Board Human Right to Water Resolution On February 16, 2016, the State Water Board adopted Resolution 2016-0010, titled Adopting the Human Right to Water as a Core Value and Directing its Implementation in Water Board Programs and Activities, addressing the human right to water as a core value and directing Water Board programs to implement requirements to support safe drinking water for all Californians.

On November 16, 2021, the State Water Board adopted Resolution 2021-0050 titled Condemning Racism, Xenophobia, Bigotry, and Racial Injustice, and Strengthening Commitment to Racial Equity, Diversity, Inclusion, Access, and Anti-racism. Among other actions, through Resolution 2021-0050, the State Water Board, in summary as corresponding to this General Order, reaffirms its commitment to its Human Right to Water resolution, upholding that every human being in California deserves safe, clean, affordable, and accessible water for human consumption, cooking, and sanitation purposes. Resolution 2021-0050 provides the State Water Board commitment to:
• Protect public health and beneficial uses of waterbodies in all communities, including communities disproportionately burdened by wastes discharge of waste to land and surface water;
• Restore impaired surface waterbodies and degraded aquifers; and • Promote multi-benefit water quality projects.

Through Resolution 2021-0050, the State Water Board also commits to expanding implementation of its Climate Change Resolution to address the disproportionate effects of extreme hydrologic conditions and sea-level rise on Black, Indigenous, and people of color communities, prioritizing:
• The right to safe, clean, affordable, and accessible drinking water and sanitation; • Sustainable management and protection of local groundwater resources; • Healthy watersheds; and
• Access to surface waterbodies that support subsistence fishing.

On June 7, 2022, the State Water Board adopted a Resolution, titled Authorizing the Executive Director or Designee to Enter into One or More Multi-Year Contracts Up to a Combined Sum of $4,000,000 for a Statewide Wastewater Needs Assessment, supporting the equitable access to sanitation for all Californians and implementation of Resolutions 2016-0010 and 2021-0050.

This General Order supports the State Water Board priority in collecting a comprehensive set of data for California’s wastewater systems, including sanitary sewer systems. Data reported per the requirements of this Order will be used with data from other Water Boards’ programs, to further develop criteria and create a statewide risk 1161

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16 framework to prioritize critical funding and infrastructure investments for California’s most vulnerable populations, including disadvantaged or severely disadvantaged communities with inadequate or failing sanitation systems and threatened access to healthy drinking water supplies.

3.3.5. State Water Board Open Data Resolution
On July 10, 2018, the State Water Board adopted Resolution 2018-0032, titled Adopting Principles of Open Data as a Core Value and Directing Programs and Activities to Implement Strategic Actions to Improve Data Accessibility and Associated Innovation, directing regulatory programs to assure all monitoring and reporting requirements support the State Water Boards’ Open Data Initiative.

3.3.6. State Water Board Response to Climate Change
On March 7, 2017, the State Water Board adopted Resolution 2017-0012, titled Comprehensive Response to Climate Change, requiring a proactive response to climate change in all California Water Board actions, with the intent to embed climate change consideration into all programs and activities.

3.4. California Environmental Quality Act
The adoption of this Order is an action to reissue general waste discharge requirements that is exempt from the California Environmental Quality Act (Public Resources Code section 21000 et seq.) because it is an action taken by a regulatory agency to assure the protection of the environment and the regulatory process involves procedures for protection of the environment (Cal. Code Regs., Title 14, section 15308). In addition, the action to adopt this Order is exempt from CEQA pursuant to Cal. Code Regs., Title 14, section 15301, to the extent that it applies to existing sanitary sewer collection systems that constitute “existing facilities” as that term is used in sections 15301 and 15302, to the extent that it results in the repair or replacement of existing systems involving negligible or no expansion of capacity.

3.5. State Water Board Funding Assistance for Compliance with Water Board Water Quality Orders
The State Water Board, Division of Financial Assistance administers the implementation of the State Water Board financial assistance programs, per Board-adopted funding policies. Among other funding areas, the Division administers loan and grant funding for the planning and construction of wastewater and water recycling facilities per funding program-specific policies and guidelines. Applicants may apply for Clean Water State Revolving Fund low-interest loan, Small Community Wastewater grant funding assistance, and other funding available at the time of application, for some of the costs associated with complying with this General Order.

Funding applicants may obtain further information regarding current funding opportunities, and Division of Financial Assistance staff contact information at the following website: Financial Assistance Funding - Grants and Loans | California State Water Resources Control Board.
(https://www.waterboards.ca.gov/water_issues/programs/grants_loans/) 1162

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17 Section 13477.6 of the Water Code authorizes the Small Community Grant Fund.

The Small Community Grant Fund allows the State Water Board to provide grant funding assistance to small, disadvantaged communities and small severely disadvantaged communities that may not otherwise be able to afford a loan or similar financing for projects to comply with requirements of this General Order. The State Water Board also considers loan forgiveness on a disadvantaged community-specific basis.

For disadvantaged communities’ wastewater needs, the State Water Board places priority on the funding of projects that address:
• Public health;
• Violations of waste discharge requirements and National Pollutant Discharge Elimination System (NPDES) permits;
• Providing sewer system service to existing septic tank owners; and • High priority public health and water quality concerns identified by a Regional Water Board.

3.6. Notification to Interested Parties
On January 31, 2022, the State Water Board notified interested parties and persons of its intent to reissue Sanitary Sewer Systems General Order 2006-0003-DWQ by issuing a draft General Order for a 60-day public comment period. State Water Board staff conducted extensive stakeholder outreach and encouraged public participation in the adoption process for this General Order. On March 15, 2022, the State Water Board held a public meeting to hear and consider oral public comments. The State Water Board considered all public comments prior to adopting this General Order.

THEREFORE, IT IS HEREBY ORDERED, that pursuant to Water Code sections 13263, 13267, and 13383 this General Order supersedes Order 2006-0003-DWQ, Order WQ 2013-0058-EXEC, and any amendments made to these Orders thereafter, except for enforcement purposes and to meet the provisions contained in Division 7 of the Water Code (commencing with section 13000) and regulations adopted thereunder, and the provisions of the Clean Water Act and regulations and guidelines adopted thereunder, the Enrollee shall comply with the requirements in this Order.

4. PROHIBITIONS

4.1 Discharge of Sewage from a Sanitary Sewer System
Any discharge from a sanitary sewer system that has the potential to discharge to surface waters of the State is prohibited unless it is promptly cleaned up and reported as required in this General Order.

4.2. Discharge of Sewage to Waters of the State
Any discharge from a sanitary sewer system, discharged directly or indirectly through a drainage conveyance system or other route, to waters of the State is prohibited. 1163

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18 4.3. Discharge of Sewage Creating a Nuisance
Any discharge from a sanitary sewer system that creates a nuisance or condition of pollution as defined in Water Code section 13050(m) is prohibited.

5. SPECIFICATIONS

5.1. Designation of a Legally Responsible Official
The Enrollee shall designate a Legally Responsible Official that has authority to ensure the enrolled sanitary sewer system(s) complies with this Order, and is authorized to serve as a duly authorized representative. The Legally Responsible Official must have responsibility over management of the Enrollee’s entire sanitary sewer system, and must be authorized to make managerial decisions that govern the operation of the sanitary sewer system, including having the explicit or implicit duty of making major capital improvement recommendations to ensure long-term environmental compliance.

The Legally Responsible Official must have or have direct authority over individuals that:
• Possess a recognized degree or certificate related to operations and maintenance of sanitary sewer systems, and/or
• Have professional training and experience related to the management of sanitary sewer systems, demonstrated through extensive knowledge, training and experience.

For example, a sewer system superintendent or manager, an operations manager, a public utilities manager or director, or a district engineer may be designated as a Legally Responsible Official.

The Legally Responsible Official shall complete the electronic CIWQS “User Registration” form (https://ciwqs.waterboards.ca.gov/ciwqs/newUser.jsp). A Legally Responsible Official that represents multiple enrolled systems shall complete the electronic CIWQS “User Registration” form for each system.

The Enrollee shall submit any change to its Legally Responsible Official, and/or change in contact information, to the State Water Board within 30 calendar days of the change by emailing [email protected] and copying the appropriate Regional Water Board as provided in Attachment F (Regional Water Quality Control Board Contact Information) of this General Order.

5.2. Sewer System Management Plan Development and Implementation To facilitate adequate local funding and management of its sanitary sewer system(s), the Enrollee shall develop and implement an updated Sewer System Management Plan.

The scale and complexity of the Sewer System Management Plan, and specific elements of the Plan, must match the size, scale and complexity of the Enrollee’s sanitary sewer system(s). The Sewer System Management Plan must address, at minimum, the required Plan elements in Attachment D (Sewer System Management Plan – Required Elements) of this General Order. To be effective, the Sewer System Management Plan must include procedures for the management, operation, and maintenance of the sanitary sewer system(s). The procedures must: (1) incorporate the 1164

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19 prioritization of system repairs and maintenance to proactively prevent spills, and (2) address the implementation of current standard industry practices through available equipment, technologies, and strategies.

For an existing Enrollee under Order 2006-0003-DWQ that has certified its Continuation of Existing Regulatory Coverage, per section 2.1 (Requirements for Continuation of Existing Regulatory Coverage) of this General Order:

Within six (6) months of the Adoption Date of this General Order:
• The Legally Responsible Official shall upload the Enrollee’s existing Sewer System Management Plan to the online CIWQS Sanitary Sewer System Database.

For a new Enrollee:

Within twelve (12) months of the Application for Enrollment approval date:
• The governing entity of the new Enrollee shall approve its Sewer System Management Plan; and
• The Legally Responsible Official shall certify and upload its Sewer System Management Plan to the online CIWQS Sanitary Sewer System Database.

5.3. Certification of Sewer System Management Plan and Plan Updates The Legally Responsible Official shall certify and upload its Sewer System Management Plan and all subsequent updates to the online CIWQS Sanitary Sewer System Database.

5.4. Sewer System Management Plan Audits
The Enrollee shall conduct an internal audit of its Sewer System Management Plan, and implementation of its Plan, at a minimum frequency of once every three years. The audit must be conducted for the period after the end of the Enrollee’s last required audit period. Within six months after the end of the required 3-year audit period, the Legally Responsible Official shall submit an audit report into the online CIWQS Sanitary Sewer System Database per the requirements in section 3.10 (Sewer System Management Plan Audit Reporting Requirements) of Attachment E1 of this General Order.

Audit reports submitted to the CIWQS Sanitary Sewer System Database will be viewable only to Water Boards staff.

The internal audit shall be appropriately scaled to the size of the system(s) and the number of spills. The Enrollee’s sewer system operators must be involved in completing the audit. At minimum, the audit must:
• Evaluate the implementation and effectiveness of the Enrollee’s Sewer System Management Plan in preventing spills;
• Evaluate the Enrollee’s compliance with this General Order; • Identify Sewer System Management Plan deficiencies in addressing ongoing spills and discharges to waters of the State; and
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20 • Identify necessary modifications to the Sewer System Management Plan to correct deficiencies.

The Enrollee shall submit a complete audit report that includes:
• Audit findings and recommended corrective actions;
• A statement that sewer system operators’ input on the audit findings has been considered; and
• A proposed schedule for the Enrollee to address the identified deficiencies.

A new Enrollee of this General Order (that did not have a sanitary sewer system enrolled in the previous State Water Board Order 2006-0003-DWQ) shall conduct its first internal Sewer System Management Plan audit for the time period between the date of submittal of its certified Sewer System Management Plan and the third subsequent December 31st date. The audit report must be submitted into the online CIWQS Sanitary Sewer System Database by July 1 of the following calendar year.

See the following tables for clarification:

Initial Audit Period and Audit Due Date for New Enrollees Audit Period Audit Due Date
New Enrollee
Certified Sewer System Management
Plan Submittal Date
through
the third subsequent December 31
st date
July 1
st date after
audit period
Example
Certified Sewer System Management
Plan Submittal Date of August 2, 2025
Audit Period of August 2, 2025 through
December 31, 2027
July 1, 2028
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21 Initial Audit Period for Transition from 2-Year Audit Required in Previous Order 2006-0003-DWQ to 3-Year Audit Required in this General Order Audit Period Audit Due Date
An Enrollee
previously
regulated by Order
2006-003-DWQ
A 3-year period starting from the end of
last required 2-year Audit Period
Within six months
after end of 3-year
Audit Period
Example
Last required Audit Period start date of
August 2, 2021;
Audit Period of August 2, 2021 through
August 1, 2024
February 1, 2025
Three-Year Ongoing Audit Period
Audit Period Audit Due Date
Each Enrollee A 3-year period starting from the end of
last required Audit Period
Within six months
after end of 3-year
Audit Period

5.5. Six-Year Sewer System Management Plan Update
At a minimum, the Enrollee shall update its Sewer System Management Plan every six (6) years after the date of its last Plan Update due date. (For an Enrollee previously regulated by Order 2006-0003-DWQ, the six-year period shall commence on the due date identified in section 3.11 of Attachment E1 (Notification, Monitoring, Reporting and Recordkeeping Requirements) of this Order. The Updated Sewer System Management Plan must include:
• Elements required in Attachment D (Sewer System Management Plan – Required Elements) of this Order;
• Summary of revisions included in the Plan update based on internal audit findings; and
• Other sewer system management-related changes.

The Enrollee’s governing entity shall approve the updated Plan. The Legally Responsible Official shall upload and certify the approved updated Plan in the online CIWQS Sanitary Sewer System Database in accordance with section 3.11 (Sewer System Management Plan Reporting Requirements) of Attachment E1 (Notification, Monitoring, Reporting and Recordkeeping Requirements) of this General Order. During the time period in between Plan updates, the Enrollee shall continuously document changes to its Sewer System Management Plan in a change log attached to the Plan. 1167

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22 5.6. System Resilience
The Enrollee shall include and implement system-specific procedures in its Sewer System Management Plan to proactively prioritize: (1) operation and maintenance, (2) condition assessments, and (3) repair and rehabilitation, to address ongoing system resilience, as specified in Attachment D (Sewer System Management Plan – Required Elements) of this General Order.

5.7. Allocation of Resources
The Enrollee shall:
• Establish and maintain a means to manage all necessary revenues and expenditures related to the sanitary sewer system; and
• Allocate the necessary resources to its sewer system management program for:
o Compliance with this General Order,
o Full implementation of its updated Sewer System Management Plan, o System operation, maintenance, and repair, and
o Spill responses.

5.8. Designation of Data Submitters
The Legally Responsible Official may designate one or more individuals as a Data Submitter for reporting of spill data. The Legally Responsible Official shall authorize the designation of Data Submitter(s) through the online CIWQS database (https://ciwqs.waterboards.ca.gov) prior to the individuals establishing a CIWQS user account (https://ciwqs.waterboards.ca.gov/ciwqs/newUser.jsp) and entering spill data into the online CIWQS Sanitary Sewer System Database.

The Legally Responsible Official shall submit any change to its Data Submitter(s), and/or change in Data Submitter contact information, to the State Water Board within 30 calendar days of the change, by emailing [email protected] and copying the appropriate Regional Water Board as provided in Attachment F (Regional Water Quality Control Board Contact Information) of this General Order.

5.9. Reporting Certification
The Legally Responsible Official shall electronically certify, on the Enrollee’s behalf, all applications, reports, the Sewer System Management Plan(s) and corresponding updates, and other information submitted electronically into the online CIWQS Sanitary Sewer System Database, as follows:
“I certify under penalty of perjury under the laws of the State of California that the electronically submitted information was prepared under my direction or supervision.

Based on my inquiry of the person(s) directly responsible for gathering the information, to the best of my knowledge and belief, the information submitted is true, accurate, and complete, and complies with the Statewide Sanitary Sewer Systems General Order.

I am aware that there are significant penalties for submitting false information.” 1168

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23 Hardcopy submittals to the State Water Board must be accompanied by the above certification statement.

5.10. System Capacity
The Enrollee shall maintain the system capacity necessary to convey: (1) base flows during dry weather conditions, and (2) wet weather peak flows consistent with designated local historic storms. Design storms must take into account system-specific stormwater contributions via inflow and infiltration, and location-specific depth of groundwater and storm frequencies. The Enrollee shall implement capital improvements to provide adequate hydraulic capacity to:
• Meet or exceed the design criteria as defined in the Enrollee’s System Evaluation and Capacity Assurance element of its Sewer System Management Plan; and • Prevent system capacity-related spills, and adverse impacts to the treatment efficiency of downstream wastewater treatment facilities.

5.11. System Performance Analysis
The Enrollee shall include a running 10-year system performance analysis in its Annual Report. The analysis must include two CIWQS-generated graphs presenting the following information:

Graph 1 – Total Spill Volume per Year:

X axis: A 10-year period which includes the current calendar year and the nine previous calendar years;
Y axis: The total spill volume, per Spill Category, for each calendar year.

Graph 2 – Total Number of Spills per Year:

X axis: A 10-year period which includes the current calendar year and the nine previous calendar years;
Y axis: The total number of spills, per Spill Category, for each calendar year.

The current calendar year is the calendar year covered in the Annual Report.

The Enrollee shall generate the graphs in CIWQS, using the existing data in the online CIWQS Sanitary Sewer System Database at the following graph generation link:
(https://ciwqs.waterboards.ca.gov/ciwqs/readOnly/PublicReportSSOServlet?reportActio n=criteria&reportId=sso_operation_report).

5.12. Spill Emergency Response Plan and Remedial Actions For Existing Enrollees (with regulatory coverage under Order 2006-0003-DWQ):

Within six (6) months of the Adoption Date of this General Order, the Enrollee shall update and implement its Spill Emergency Response Plan, per Attachment D, section 6 (Spill Emergency Response Plan) of this General Order. 1169

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24 For New Enrollees:

Within six (6) months of the Application for Enrollment approval date, the Enrollee shall develop and implement a Spill Emergency Response Plan, per Attachment D, section 6 (Spill Emergency Response Plan) of this General Order.

The Enrollee shall certify, in its Annual Report, that its Spill Emergency Response Plan is up to date.

The Spill Emergency Response Plan shall include measures to protect public health and the environment. The Enrollee shall respond to spills from its system(s) in a timely manner that minimizes water quality impacts and nuisance by:
• Immediately stopping the spill and preventing/minimizing a discharge to waters of the State;
• Intercepting sewage flows to prevent/minimize spill volume discharged into waters of the State;
• Thoroughly recovering, cleaning up and disposing of sewage and wash down water; and
• Cleaning publicly accessible areas while preventing toxic discharges to waters of the State.

5.13. Notification, Monitoring, Reporting and Recordkeeping Requirements The Enrollee shall comply with notification, monitoring, reporting, and recordkeeping requirements in Attachment E1 of this General Order.

5.13.1. Spill Categories
Individual spill notification, monitoring and reporting must be in accordance with the following spill categories:
• Category 1 Spill
A Category 1 spill is a spill of any volume of sewage from or caused by a sanitary sewer system regulated under this General Order that results in a discharge to:
o A surface water, including a surface water body that contains no flow or volume of water; or
o A drainage conveyance system that discharges to surface waters when the sewage is not fully captured and returned to the sanitary sewer system or disposed of properly.

Any spill volume not recovered from a drainage conveyance system is considered a discharge to surface water, unless the drainage conveyance system discharges to a dedicated stormwater infiltration basin or facility. 1170

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25 A spill from an Enrollee-owned and/or operated lateral that discharges to a surface water is a Category 1 spill; the Enrollee shall report all Category 1 spills per section

3.1 of Attachment E1 (Notification, Monitoring, Reporting and Recordkeeping Requirements) of this General Order.
• Category 2 Spill
A Category 2 spill is a spill of 1,000 gallons or greater, from or caused by a sanitary sewer system regulated under this General Order that does not discharge to a surface water.

A spill of 1,000 gallons or greater that spills out of a lateral and is caused by a failure or blockage in the sanitary sewer system, is a Category 2 spill. • Category 3 Spill
A Category 3 spill is a spill of equal to or greater than 50 gallons and less than 1,000 gallons, from or caused by a sanitary sewer system regulated under this General Order that does not discharge to a surface water.

A spill of equal to or greater than 50 gallons and less than 1,000 gallons, that spills out of a lateral and is caused by a failure or blockage in the sanitary sewer system is a Category 3 spill.
• Category 4 Spill
A Category 4 spill is a spill of less than 50 gallons, from or caused by a sanitary sewer system regulated under this General Order that does not discharge to a surface water.

A spill of less than 50 gallons that spills out of a lateral and is caused by a failure or blockage in the sanitary sewer system is a Category 4 spill.

5.13.2. Annual Report
The Enrollee shall submit an Annual Report (previously termed as Collection System Questionnaire in Order 2006-0003-DWQ) as specified in section 3.9 (Annual Report) of Attachment E1 (Notification, Monitoring, Reporting and Recordkeeping Requirements) of this General Order.

For new Enrollees: Within 30 days of obtaining a CIWQS account, a new Enrollee shall submit its initial Annual Report, as specified in section 3.9 (Annual Report) of Attachment E1 (Notification, Monitoring, Reporting and Recordkeeping Requirements) of this General Order.
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26 5.14. Electronic Sanitary Sewer System Service Area Boundary Map For continuing enrollees, starting on July 1, 2025, and no later than December 31, 2025:

For new enrollees – no earlier than July 1, 2025, or within 12 months of the Application for Enrollment approval date, whichever date is later:

The Legally Responsible Official shall submit, to the State Water Board, geospatial data detailing the locations of the Enrollee’s sanitary sewer system service area boundary, per the required content and specifications in section 3.8 (Electronic Sanitary Sewer System Service Area Boundary Map) of Attachment E1 of this General Order, for each system identified by a WDID number.

An Enrollee of a disadvantaged community that may need assistance developing an electronic map to comply with this requirement, may contact State Water Board staff for assistance at [email protected].

5.15. Voluntary Reporting of Spills from Privately-Owned Sewer Laterals and/or Private Sanitary Sewer Systems
Within 24 hours of becoming aware of a spill (as described below) from a private sewer lateral or private sanitary sewer system that is not owned/operated by the Enrollee, the Enrollee is encouraged to report the following observations to the online CIWQS Sanitary Sewer System Database at the following link:
https://ciwqs.waterboards.ca.gov:
• A spill equal or greater than 1,000 gallons that discharges (or has a potential to discharge) to a water of the State, or a drainage conveyance system that discharges to waters of the State; or
• Any volume of sewage that discharges (or has a potential to discharge) to surface waters.

In the CIWQS module, the Enrollee is encouraged to identify:
• Time of observation;
• Description of general spill location (for example, street name and cross street names);
• Estimated volume of spill;
• If known, general description of spill destination (for example, flowing into drainage channel, flowing directly into a creek, etc.); and
• If known, name of private system owner/operator.

The CIWQS database will make the name and contact information of the entity voluntarily reporting a private spill, accessible to State and Regional Water Board staff only. The CIWQS database will only make information regarding the actual spill, accessible to the public.
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27 5.16. Voluntary Notification of Spills from Privately-Owned Laterals and/or Systems to the California Office of Emergency Services
Upon observing or acquiring knowledge of any of the following from a private sewer lateral or private sanitary sewer system that is not owned/operated by the Enrollee, the Enrollee is encouraged to notify the California Office of Emergency Services (as provided by Health and Safety Code section 5410 et. seq. and Water Code section 13271), or inform the responsible party that State law requires such notification to the Office of Emergency Services by any person that causes or allows a sewage discharge to waters of the State:
• A spill equal to 1,000 gallons or more that discharges (or has a potential to discharge) to waters of the State, or a drainage conveyance system that discharges to waters of the State; or
• A spill of any volume to surface waters.

5.17. Unintended Failure to Report
If an Enrollee becomes aware that they unintentionally failed to submit relevant facts in any report required in this General Order, the Enrollee shall promptly notify Regional Water Board and State Water Board staff. Regional Water Board contact information is included in Attachment F of this Order. State Water Board staff shall be contacted by email at [email protected] for assistance in formally amending the corresponding report(s) in the online CIWQS Sanitary Sewer System Database.

5.18. Duty to Report to Water Boards
In accordance with Water Code section 13267 and/or section 13383, upon request by the State Water Board Executive Director (or designee) or a Regional Water Board Executive Officer (or designee), the Enrollee shall provide the requested information which the State or Regional Water Board deems necessary to determine compliance with this General Order.

5.19. Operation and Maintenance
To prevent discharges to the environment, the Enrollee shall maintain in good working order, and operate as designed, any facility or treatment and control system designed to contain sewage and convey it to a treatment plant.

6. PROVISIONS

6.1. Enforcement Provisions
The following enforcement provisions are based on existing federal and state regulations, laws and policies, including the federal Clean Water Act, the state Water Code and the State Water Board Enforcement Policy.

6.1.1. Enforceability of Clean Water Act and Water Code Violations Noncompliance with requirements of this General Order or discharging sewage without enrolling in this General Order constitutes a violation of the Water Code and a potential 1173

STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
28 violation of the Clean Water Act and is grounds for an enforcement action by the State Water Board or the applicable Regional Water Board. Failure to comply with the notification, monitoring, inspection, entry, reporting, and recordkeeping requirements may subject the Enrollee to administrative civil liabilities of up to $10,000 a day per violation pursuant to Water Code section 13385; up to $1,000 a day per violation pursuant to Water Code section 13268; or referral to the Attorney General for judicial civil enforcement. Discharging waste not in compliance with the requirements of this General Order or the Clean Water Act may subject the Enrollee to administrative civil liabilities up to $10,000 a day per violation and additional liability up to $10 per gallon of discharge not cleaned up after the first 1,000 gallons of discharge; up to $5,000 a day per violation pursuant to Water Code section 13350 or up to $20 per gallon of waste discharged; or referral to the Attorney General for judicial civil enforcement.

6.1.2. Monetary Penalties
The Water Code provides the State and Regional Water Boards the authority to pursue formal enforcement actions, including imposing administrative liability and civil monetary penalties, for non-compliance with the requirements of this General Order and violations of the Clean Water Act.

6.1.3. Falsifying or Failure to Report
The Water Code provides that any person failing or refusing to furnish technical or monitoring program reports, as required under this General Order, or falsifying any information provided in the technical or monitoring reports is subject to administrative liability and civil monetary penalties. Any person who knowingly fails or refuses to furnish technical or monitoring program reports or falsifies any information provided in reports required by this General Order is subject to criminal penalties.

6.1.4. Severability of General Order
The provisions of this General Order are severable; if any provision of this Order, or the application of any provision of this Order to any circumstance, is held invalid, the application of such provision to other circumstances and the remainder of this Order shall not be affected thereby.

6.1.5. Indirect Discharges
In the event that a spill enters into a drainage conveyance system, the Enrollee shall take all feasible steps to prevent discharge of sewage into waters of the State by blocking or redirecting the flow in the drainage conveyance system, removing the sewage from the drainage conveyance system, and cleaning the system in a manner that does not inadvertently impact beneficial uses of the receiving water body.

6.1.6. Water Boards’ Considerations for Discretionary Enforcement Consistent with the State Water Board Enforcement Policy, when considering Water Code section 13327 factors, the State Water Board or a Regional Water Board may consider the Enrollee’s efforts to contain, control, clean up, and mitigate spills. In assessing the factors, the State Water Board or the applicable Regional Water Board will consider:
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STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
29 • The Enrollee’s compliance with this General Order with a focus on compliance with reporting requirements;
• The Enrollee’s provision of adequate funding to implement the requirements of this General Order;
• The Enrollee’s compliance with providing a complete and updated Sewer System Management Plan;
• The Enrollee’s compliance with implementing its Sewer System Management Plan; • The overall effectiveness of the Enrollee’s Sewer System Management Plan with respect to:
o System management, operation, and maintenance,
o Adequate treatment facilities, sanitary sewer system facilities, and/or components with an appropriate design capacity, to reasonably prevent spills (e.g. adequately enlarging treatment or collection facilities to accommodate growth, infiltration and inflow, etc.),
o Preventive maintenance (including cleaning, root grinding, and fats, oils, and grease control) and source control measures,
o Implementation of backup equipment,
o Inflow and infiltration prevention and control,
o Appropriate sanitary sewer system capacity to prevent spills, and o The Enrollee’s responsiveness to stop and mitigate the impact of the discharge; • The Enrollee’s compliance with identifying the cause of the spill; • The Enrollee’s use of available information and observations to accurately estimate the spill volume and identify the affected or potentially affected receiving waters; • The Enrollee’s thoroughness of cleaning up sewage in drainage conveyance systems after the spill(s);
• The Enrollee’s use of water quality and biological monitoring and assessment to determine the short-term and long-term impacts to beneficial uses and the environment;
• The Enrollee’s follow up actions to improve system performance; • The Enrollee’s implementation of feasible alternatives to prevent spills, such as:
o Use of temporary storage or waste retention,
o Reduction of system inflow and infiltration,
o Collection and hauling of waste to a treatment facility, o Prevention of and/ or containment of spills due to a design storm event identified in the Enrollee’s Sewer System Management Plan,
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STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
30 o Implementation of available equipment, technologies, strategies, and recommended industry practices for maintaining and managing sewer systems to prevent spills, and contain and eliminate discharges to waters of the State; and • The spill duration and factors beyond the reasonable control of the Enrollee causing the event.

6.1.7. Enforcement Discretion Based on Reporting Compliance Consistent with the State Water Board Enforcement Policy, the State Water Board or a Regional Water Board may consider the Enrollee’s efforts to comply with spill reporting requirements when determining compliance with Water Code section 13267 and section 13383. When assessing Water Code section 13227 factors, the State Water Board or the applicable Regional Water Board will consider:
• The Enrollee’s diligence to comply with all reporting requirements in this General Order;
• The use of best available information for the Enrollee’s reporting of spill start date and start time in which the release of sewage from the sanitary sewer system initiated;
• The Enrollee’s reporting of spill end date, and end time to be the date and time in which the release of sewage from the sanitary sewer system was stopped; • The Enrollee’s diligence to accurately estimate and report spill volumes; • The Enrollee’s subsequent verification and/or updates to initial Draft Spill Reports in accordance with this General Order; and
• The Enrollee’s timely certification of required spill reports.

Consistent with Water Code section 13267 and section 13383, the State Water Board or a Regional Water Board may require an Enrollee to report the results of a condition assessment of a specified portion of the Enrollee’s sanitary sewer system.

6.2. Other Regional Water Board Orders
It is the intent of the State Water Board that sanitary sewer systems be regulated in a manner consistent with federal and state regulations. This Order will not be interpreted or applied:
• In a manner inconsistent with the federal Clean Water Act; • To authorize a spill or discharge that is illegal under either the Clean Water Act, the Water Code, and/or an applicable Basin Plan prohibition or water quality standard; • To prohibit a Regional Water Board from issuing an individual National Pollutant Discharge Elimination System (NPDES) permit or individual waste discharge requirements superseding an Enrollee’s regulatory coverage under this General Order for a sanitary sewer system authorized under the Clean Water Act or Water Code;
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STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER
ORDER 2022-0103-DWQ December 6, 2022
31 • To supersede any more specific or more stringent waste discharge requirements or enforcement orders issued by a Regional Water Board; or • To supersede any more specific or more stringent state or federal requirements in existing regulation, an administrative/judicial order, or Consent Decree.

6.3. Sewer System Management Plan Availability
The Enrollee’s updated Sewer System Management Plan must be maintained for public inspection at the Enrollee’s offices and facilities and must be available to the public through CIWQS and/or on the Enrollee’s website, in accordance with section 3.8 (Sewer System Management Plan Reporting Requirements) of Attachment E1 (Notification, Monitoring, Reporting and Recordkeeping Requirements) of this General Order.

6.4. Entry and Inspection

6.4.1. Entry and Availability of Information
The Enrollee shall allow State and Regional Water Board staff, upon presentation of credentials and other documents as may be required by law, to:
• Enter upon the Enrollee’s premises where a regulated facility or activity is located or conducted, or where records are kept under the requirements of this General Order; • Have access to and reproduce any records required to be maintained by this General Order;
• Inspect any facility and/or equipment (including monitoring and control equipment), practices, or operations required in this General Order; and • Sample or monitor substances or parameters for assuring compliance with this General Order, or as otherwise authorized by the Water Code.

6.4.2. Pre-Inspection Questionnaire
The Enrollee shall provide pre-inspection information to State and Regional Water Board staff through the completion of a Pre-Inspection Questionnaire provided by Water Board staff.
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ATTACHMENT A - DEFINITIONS
Annual Report
An Annual Report (previously termed as Collection System Questionnaire in Order 2006-0003-DWQ) is a mandatory report in which the Enrollee provides a calendar-year update of its efforts to prevent spills.

Basin Plan
A Basin Plan is a water quality control plan specific to a Regional Water Quality Control Board (Regional Water Board), that serves as regulations to: (1) define and designate beneficial uses of surface and groundwaters, (2) establish water quality objectives for protection of beneficial uses, and (3) provide implementation measures.

Beneficial Uses
The term “Beneficial Uses” is a Water Code term, defined as the uses of the waters of the State that may be protected against water quality degradation. Examples of beneficial uses include but are not limited to, municipal, domestic, agricultural and industrial supply; power generation; recreation; aesthetic enjoyment; navigation; and preservation and enhancement of fish, wildlife, and other aquatic resources or preserves.

California Integrated Water Quality System (CIWQS)
CIWQS is the statewide database that provides for mandatory electronic reporting as required in State and Regional Water Board-issued waste discharge requirements.

Data Submitter
A Data Submitter is an individual designated and authorized by the Enrollee’s Legally Responsible Official to enter spill data into the online CIWQS Sanitary Sewer System Database. A Data Submitter does not have the authority of a Legally Responsible Official to certify reporting entered into the online CIWQS Sanitary Sewer System Database.

Disadvantaged Community
A disadvantaged community is a community with a median household income of less than eighty percent (80%) of the statewide annual median household income.

For the purpose of this General Order, there is no differentiation between a small and large disadvantaged community.

Drainage Conveyance System
A drainage conveyance system is a publicly- or privately-owned separate storm sewer system, including but not limited to drainage canals, channels, pipelines, pump stations, detention basins, infiltration basins/facilities, or other facilities constructed to transport stormwater and non-stormwater flows.
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Enrollee
An Enrollee is a public, private, or other non-governmental entity that has obtained approval for regulatory coverage under this General Order, including:
• A state agency, municipality, special district, or other public entity that owns and/or operates one or more sanitary sewer systems:
• greater than one (1) mile in length (each individual sanitary sewer system); • one mile or less in length where the State Water Resources Control Board or a Regional Water Quality Control Board requires regulatory coverage under this Order, or • A federal agency, private company, or other non-governmental entity that owns and/or operates a sanitary sewer system of any size where the State Water Resources Control Board or a Regional Water Quality Control Board requires regulatory coverage under this Order in response to a history of spills, proximity to surface water, or other factors supporting regulatory coverage.

Environmentally Sensitive Area
An environmentally sensitive area is a designated agricultural and/or wildlife area identified to need special natural landscape protection due to its wildlife or historical value.

Exfiltration
Exfiltration is the underground exiting of sewage from a sanitary sewer system through cracks, offset or separated joints, or failed infrastructure due to corrosion or other factors.

Flood Control Channel
A flood control channel is a channel used to convey stormwater and non-stormwater flows through and from areas for flood management purposes.

Governing Entity
A governing entity includes but is not limited to the following:
• A publicly elected governing board, council, or commission of a municipal agency; • A Department or Division director of a federal or state agency that is not governed by a board;
• A governing board or commission of an organization or association; and • A private system owner/manager that is not governed by a board.

Hydrologically Connected
Two waterbodies are hydrologically connected when one waterbody flows, or has the potential to flow, into the other waterbody. For the purpose of this General Order, groundwater is hydrologically connected to a surface water when the
groundwater feeds into the surface water. (The surface
waterbody in this example is termed a gaining stream as it gains flow from surrounding groundwater.)
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Lateral (including Lower and Upper Lateral)
A lateral is an underground segment of smaller diameter pipe that transports sewage from a customer’s building or property (residential, commercial, or industrial) to the Enrollee’s main sewer line in a street or easement. Upper and lower lateral boundary definitions are subject to local jurisdictional codes and ordinances, or private system ownership.

A lower lateral is the portion of the lateral located between the sanitary sewer system main, and either the property line, sewer clean out, curb line, established utility easement boundary, or other jurisdictional locations.

An upper lateral is the portion of the lateral from the property line, sewer clean out, curb line, established utility easement boundary, or other jurisdictional locations, to the building or property.

Legally Responsible Official
A Legally Responsible Official is an official representative, designated by the Enrollee, with authority to sign and certify submitted information and documents required by this General Order.

Nuisance
For the purpose of this General Order, a nuisance, as defined in Water Code section 13050(m), is anything that meets all of the following requirements:
• Is injurious to health, or is indecent or offensive to the senses, or an obstruction to the free use of property, so as to interfere with the comfortable enjoyment of life or property; • Affects at the same time an entire community or neighborhood, or any considerable number of persons, although the extent of the annoyance or damage inflicted upon individuals may be unequal; and
• Occurs during, or as a result of, the treatment or disposal of wastes.

Private Sewer Lateral
A private sewer lateral is the privately-owned lateral that transports sewage from private property(ies) into a sanitary sewer system.

Private Sanitary Sewer System
A private sanitary sewer system is a sanitary sewer system of any size that is owned and/or operated by a private individual, company, corporation, or organization. A private sanitary sewer system may or may not connect into a publicly owned sanitary sewer system.

Potential to Discharge, Potential Discharge
Potential to Discharge, or Potential Discharge, means any exiting of sewage from a sanitary sewer system which can reasonably be expected to discharge into a water of the State based on the size of the sewage spill, proximity to a drainage conveyance system, and the nature of the surrounding environment.
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Receiving Water
A receiving water is a water of the State that receives a discharge of waste.

Resilience
Resilience is the ability to recover from or adjust to adversity or change, and grow from disruptions. Resilience can be built through planning, preparing for, mitigating, and adapting to changing conditions.

Sanitary Sewer System
A sanitary sewer system is a system that is designed to convey sewage, including but not limited to, pipes, manholes, pump stations, siphons, wet wells, diversion structures and/or other pertinent infrastructure, upstream of a wastewater treatment plant headworks, including:
• Laterals owned and/or operated by the Enrollee;
• Satellite sewer systems; and/or
• Temporary conveyance and storage facilities, including but not limited to temporary piping, vaults, construction trenches, wet wells, impoundments, tanks and diversion structures.

For purpose of this Order, sanitary sewer systems include only systems owned and/or operated by the Enrollee.

Satellite Sewer System
A satellite sewer system is a portion of a sanitary sewer system owned or operated by a different owner than the owner of the downstream wastewater treatment facility ultimately treating the sewage.

Sewer System Management Plan
A sewer system management plan is a living document an Enrollee develops and implements to effectively manage its sanitary sewer system(s) in accordance with this General Order.

Sewage
Sewage, and its associated wastewater, is untreated or partially treated domestic, municipal, commercial and/or industrial waste (including sewage sludge), and any mixture of these wastes with inflow or infiltration of stormwater or groundwater, conveyed in a sanitary sewer system.

Spill
A spill is a discharge of sewage from any portion of a sanitary sewer system due to a sanitary sewer system overflow, operational failure, and/or infrastructure failure. Exfiltration of sewage is not considered to be a spill under this General Order if the exfiltrated sewage remains in the subsurface and does not reach a surface water of the State.

Training
Training is in-house or external education and guidance needed that provides the knowledge, skills, and abilities to comply with this General Order. 1181
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Wash Down Water
Wash down water is water used to clean a spill area.

Waste
Waste, as defined in Water Code section 13050(d), includes sewage and any and all other waste substances, liquid, solid, gaseous, or radioactive, associated with human habitation, or of human or animal origin, or from any producing, manufacturing, or processing operation, including waste placed within containers of whatever nature prior to, and for purposes of, disposal.

Waste Discharge Identification Number (WDID)
A waste discharge identification number (WDID) identifies each individual sanitary sewer system enrolled under this General Order. A WDID number is assigned to each enrolled system upon an Enrollee’s approved regulatory coverage.

Waters of the State
Waters of the State are surface waters or groundwater within boundaries of the state as defined in Water Code section 13050(e), in which the State and Regional Water Boards have authority to protect beneficial uses. Waters of the State include, but are not limited to, groundwater aquifers, surface waters, saline waters, natural washes and pools, wetlands, sloughs, and estuaries, regardless of flow or whether water exists during dry conditions.

Waters of the State include waters of the United States.

Waters of the United States
Waters of the United States are surface waters or waterbodies that are subject to federal jurisdiction in accordance with the Clean Water Act.

Water Quality Objective
A water quality objective is the limit or maximum amount of pollutant, waste constituent or characteristic, or parameter level established in statewide water quality control plans and Regional Water Boards’ Basin Plans, for the reasonable protection of beneficial uses of surface waters and groundwater and the prevention of nuisance. 1182
STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER 2022-0103-DWQ ATTACHMENT B – APPLICATION FOR ENROLLMENT December 6, 2022 B - 1
ATTACHMENT B – APPLICATION FOR ENROLLMENT

1. Enrollment Status: (Mark only one item)
☐ New Enrollee
☐ New Enrollee with previous regulatory coverage under Order 2006-0003-DWQ (that failed to certify continuation of coverage in CIWQS per Order 2022-XXXX-DWQ) Existing WDID Number: __________________________________________________

2. Applicant Information:

Legally Responsible Official Submitting Application
First and Last Name: ____________________________________________________ Title: _________________________________________________________________ Phone: _______________________________________________________________ Email: ________________________________________________________________ System Owner/Operator Name: ______________________________________________ Mailing Address:________________________________________________________ City, State, Zip:_________________________________________________________ County: _______________________________________________________________ Sanitary Sewer System Name: ____________________________________________ Regional Water Quality Control Board(s): ____________________________________ Signature and Date: _____________________________________________________

3. Applicant Type (Check one):
☐ City ☐ County ☐ State ☐ Federal ☐ Special District
☐ Government Combination ☐ Private ☐ Other Non-governmental Entity

4. Wastewater Treatment Plant Receiving Sanitary Sewer System Waste:

Wastewater Treatment Plant Permittee:________________________________________ WDID No.: ______________________________________________________________ 1183
STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER 2022-0103-DWQ ATTACHMENT B – APPLICATION FOR ENROLLMENT December 6, 2022 B - 2

5. Billing Information
Billing Address: ___________________________________________________________ City, State, Zip: ___________________________________________________________ Billing Contact Person and Title: ______________________________________________ Phone and Email Address: __________________________________________________

6. Application Fee:

The application fee, as required by Water Code section 13260, is based on the daily population served by the sanitary sewer system. See updated Fee Schedule. (https://www.waterboards.ca.gov/resources/fees/water_quality/) Check one of the following and enter fee amount:
☐ Population Served < 50,000 – Total Fee submitted: $ ___________ ☐ Population Served ≥ 50,000 – Total Fee submitted: $ ___________ Make the fee payment payable to the State Water Resources Control Board and mail the complete application package to:

State Water Resources Control Board, Accounting Office
P. O. Box 1888
Sacramento, CA 95812-1888
Attention: Statewide Sanitary Sewer System Program

7. Application Submittal Certification
I certify under penalty of perjury under the laws of the State of California that to the best of my knowledge and belief, the information in the submitted application package is true, accurate and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fines and imprisonment.

Print Name: ______________________________________________________________ Title: ___________________________________________________________________ Signature: __________________________________________Date: ________________ 1184
STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER 2022-0103-DWQ ATTACHMENT C – NOTICE OF TERMINATION December 6, 2022
C - 1

ATTACHMENT C - NOTICE OF TERMINATION

1. Enrollee Information
Enrollee Name: ___________________________________________________________ WDID No:________________________________________________________________ Legally Responsible Official Requesting Termination of Coverage: ___________________ First and Last Name: ____________________________________________________ Title: _________________________________________________________________ Phone: _______________________________________________________________ Email: ________________________________________________________________ Mailing Address: __________________________________________________________ City, State, Zip: ___________________________________________________________ County: _________________________________________________________________ Sanitary Sewer System Name(s) or Unique Identifier(s): ___________________________ Regional Water Quality Control Board(s): _______________________________________ Signature and Date:________________________________________________________

2. Basis of Termination
Explanation of termination, including subsequent regulatory coverage and subsequent owner/operator of enrolled sanitary sewer system, as applicable:
________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 1185
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3. Regulatory Coverage Termination Certification
I certify under penalty of perjury under the laws of the State of California that to the best of my knowledge: 1) the sanitary sewer system I officially represent is not required to be regulated under the Statewide Waste Discharge Requirements for Sanitary Sewer Systems Order 2022-XXXX-DWQ, and 2) the information submitted in this Notice of Termination is true, accurate and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine or imprisonment. Additionally, I understand that the submittal of this Notice of Termination does not release sanitary sewer system agencies from liability for any violations of the Clean Water Act.

Print Name: ______________________________________________________________ Title: ___________________________________________________________________ Signature: __________________________________________Date: ________________ For State Water Board Use Only
☐ Approved for Termination ☐ Denied and Returned to Enrollee Deputy Director of Water Quality Signature: _____________________________________ Date: ____________________Notice of Termination Effective Date: __________________ 1186
STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER 2022-0103-DWQ ATTACHMENT D – SEWER SYSTEM MANAGEMENT PLAN
REQUIRED ELEMENTS December 6, 2022
D - 1
ATTACHMENT D – SEWER SYSTEM MANAGEMENT PLAN – REQUIRED ELEMENTS Table of Contents

1. Sewer System Management Plan Goal And Introduction ............................................D-2

1.1. Regulatory Context ...........................................................................................D-2

1.2. Sewer System Management Plan Update Schedule.........................................D-3

1.3. Sewer System Asset Overview .........................................................................D-3

2. Organization ................................................................................................................D-3

3. Legal Authority.............................................................................................................D-4

4. Operation And Maintenance Program..........................................................................D-4

4.1. Updated Map of Sanitary Sewer System ..........................................................D-4

4.2. Preventive Operation and Maintenance Activities .............................................D-4

4.3. Training .............................................................................................................D-5

4.4. Equipment Inventory .........................................................................................D-5

5. Design And Performance Provisions ...........................................................................D-5

5.1. Updated Design Criteria and Construction Standards and Specifications.........D-5

5.2. Procedures and Standards................................................................................D-5

6. Spill Emergency Response Plan..................................................................................D-6

7. Sewer Pipe Blockage Control Program........................................................................D-7

8. System Evaluation, Capacity Assurance and Capital Improvements...........................D-7

8.1 System Evaluation and Condition Assessment.................................................D-7

8.2. Capacity Assessment and Design Criteria ........................................................D-8

8.3. Prioritization of Corrective Action ......................................................................D-9

8.4. Capital Improvement Plan.................................................................................D-9

9. Monitoring, Measurement and Program Modifications.................................................D-9

10. Internal Audits............................................................................................................D-10

11. Communication Program ...........................................................................................D-10 1187
STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER 2022-0103-DWQ ATTACHMENT D – SEWER SYSTEM MANAGEMENT PLAN
REQUIRED ELEMENTS December 6, 2022
D - 2
ATTACHMENT D – SEWER SYSTEM MANAGEMENT PLAN – REQUIRED ELEMENTS A Sewer System Management Plan (Plan) is a living planning document that documents ongoing local sewer system management program activities, procedures, and decision-making – at the scale necessary to address the size and complexity of the subject sanitary sewer system(s). This Plan may incorporate other programs and other plans by reference, to address short-term and long-term system resilience through:
• Proactive planning and decision-making;
• Local government ordinances;
• Updated operations and maintenance activities and procedures; • Implementation of capital improvements;
• Sufficient local budget to support staff resources, contractors, equipment, and training; and • Updated training of staff and contractors.

The Enrollee’s development, update, and implementation of a Sewer System Management Plan addressing the requirements of this Attachment is an enforceable component of this General Order. As specified in Provision 6.1 (Enforcement Provisions) of this General Order, consistent with the Water Code and the State Water Board Enforcement Policy, the State Water Board or a Regional Water Board may consider the Enrollee’s efforts in implementing an effective Sewer System Management Plan to prevent, contain, control, and mitigate spills when considering Water Code section 13327 factors to determine necessary enforcement of this General Order.

This Attachment includes the following required elements that the Enrollee shall address in its Plan and subsequent updates. The Enrollee shall identify any requirement in this Attachment that is not applicable to the Enrollee’s sewer system and shall explain in its Plan why the requirement is not applicable.

1. SEWER SYSTEM MANAGEMENT PLAN GOAL AND INTRODUCTION
The goal of the Sewer System Management Plan (Plan) is to provide a plan and schedule to: (1) properly manage, operate, and maintain all parts of the Enrollee’s sanitary sewer system(s), (2) reduce and prevent spills, and (3) contain and mitigate spills that do occur.

The Plan must include a narrative Introduction section that discusses the following items:

1.1. Regulatory Context
The Plan Introduction section must provide a general description of the local sewer system management program and discuss Plan implementation and updates. 1188
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1.2. Sewer System Management Plan Update Schedule
The Plan Introduction section must include a schedule for the Enrollee to update the Plan, including the schedule for conducting internal audits. The schedule must include milestones for incorporation of activities addressing prevention of sewer spills.

1.3. Sewer System Asset Overview
The Plan Introduction section must provide a description of the Enrollee-owned assets and service area, including but not limited to:
• Location, including county(ies);
• Service area boundary;
• Population and community served;
• System size, including total length in miles, length of gravity mainlines, length of pressurized (force) mains, and number of pump stations and siphons; • Structures diverting stormwater to the sewer system;
• Data management systems;
• Sewer system ownership and operation responsibilities between Enrollee and private entities for upper and lower sewer laterals;
• Estimated number or percent of residential, commercial, and industrial service connections; and
• Unique service boundary conditions and challenge(s).

Additionally, the Plan Introduction section must provide reference to the Enrollee’s upto-date map of its sanitary sewer system, as required in section 4.1 (Updated Map of Sanitary Sewer System) of this Attachment.

2. ORGANIZATION
The Plan must identify organizational staffing responsible and integral for implementing the local Sewer System Management Plan through an organization chart or similar narrative documentation that includes:
• The name of the Legally Responsible Official as required in section 5.1 (Designation of a Legally Responsible Official) of this General Order; • The position titles, telephone numbers, and email addresses for management, administrative, and maintenance positions responsible for implementing specific Sewer System Management Plan elements;
• Organizational lines of authority; and
• Chain of communication for reporting spills from receipt of complaint or other information, including the person responsible for reporting spills to the State and Regional Water Boards and other agencies, as applicable. (For example, county 1189
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REQUIRED ELEMENTS December 6, 2022
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health officer, county environmental health agency, and State Office of Emergency Services.)

3. LEGAL AUTHORITY
The Plan must include copies or an electronic link to the Enrollee’s current sewer system use ordinances, service agreements and/or other legally binding procedures to demonstrate the Enrollee possesses the necessary legal authority to:
• Prevent illicit discharges into its sanitary sewer system from inflow and infiltration (I&I); unauthorized stormwater; chemical dumping; unauthorized debris; roots; fats, oils, and grease; and trash, including rags and other debris that may cause blockages;
• Collaborate with storm sewer agencies to coordinate emergency spill responses, ensure access to storm sewer systems during spill events, and prevent unintentional cross connections of sanitary sewer infrastructure to storm sewer infrastructure; • Require that sewer system components and connections be properly designed and constructed;
• Ensure access for maintenance, inspection, and/or repairs for portions of the service lateral owned and/or operated by the Enrollee;
• Enforce any violation of its sewer ordinances, service agreements, or other legally binding procedures; and
• Obtain easement accessibility agreements for locations requiring sewer system operations and maintenance, as applicable.

4. OPERATION AND MAINTENANCE PROGRAM
The Plan must include the items listed below that are appropriate and applicable to the Enrollee’s system.

4.1. Updated Map of Sanitary Sewer System
An up-to-date map(s) of the sanitary sewer system, and procedures for maintaining and providing State and Regional Water Board staff access to the map(s). The map(s) must show gravity line segments and manholes, pumping facilities, pressure pipes and valves, and applicable stormwater conveyance facilities within the sewer system service area boundaries.

4.2. Preventive Operation and Maintenance Activities
A scheduling system and a data collection system for preventive operation and maintenance activities conducted by staff and contractors.

The scheduling system must include:
• Inspection and maintenance activities;
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REQUIRED ELEMENTS December 6, 2022
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• Higher-frequency inspections and maintenance of known problem areas, including areas with tree root problems;
• Regular visual and closed-circuit television (CCTV) inspections of manholes and sewer pipes.

The data collection system must document data from system inspection and maintenance activities, including system areas/components prone to root-intrusion potentially resulting in system backup and/or failure.

4.3. Training
In-house and external training provided on a regular basis for sanitary sewer system operations and maintenance staff and contractors. The training must cover:
• The requirements of this General Order;
• The Enrollee’s Spill Emergency Response Plan procedures and practice drills; • Skilled estimation of spill volume for field operators; and • Electronic CIWQS reporting procedures for staff submitting data.

4.4. Equipment Inventory
An inventory of sewer system equipment, including the identification of critical replacement and spare parts.

5. DESIGN AND PERFORMANCE PROVISIONS
The Plan must include the following items as appropriate and applicable to the Enrollee’s system:

5.1. Updated Design Criteria and Construction Standards and Specifications Updated design criteria, and construction standards and specifications, for the construction, installation, repair, and rehabilitation of existing and proposed system infrastructure components, including but not limited to pipelines, pump stations, and other system appurtenances. If existing design criteria and construction standards are deficient to address the necessary component-specific hydraulic capacity as specified in section 8 (System Evaluation, Capacity Assurance and Capital Improvements) of this Attachment, the procedures must include component-specific evaluation of the design criteria.

5.2. Procedures and Standards
Procedures, and standards for the inspection and testing of newly constructed, newly installed, repaired, and rehabilitated system pipelines, pumps, and other equipment and appurtenances.
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6. SPILL EMERGENCY RESPONSE PLAN
The Plan must include an up to date Spill Emergency Response Plan to ensure prompt detection and response to spills to reduce spill volumes and collect information for prevention of future spills. The Spill Emergency Response Plan must include procedures to:
• Notify primary responders, appropriate local officials, and appropriate regulatory agencies of a spill in a timely manner;
• Notify other potentially affected entities (for example, health agencies, water suppliers, etc.) of spills that potentially affect public health or reach waters of the State;
• Comply with the notification, monitoring and reporting requirements of this General Order, State law and regulations, and applicable Regional Water Board Orders; • Ensure that appropriate staff and contractors implement the Spill Emergency Response Plan and are appropriately trained;
• Address emergency system operations, traffic control and other necessary response activities;
• Contain a spill and prevent/minimize discharge to waters of the State or any drainage conveyance system;
• Minimize and remediate public health impacts and adverse impacts on beneficial uses of waters of the State;
• Remove sewage from the drainage conveyance system;
• Clean the spill area and drainage conveyance system in a manner that does not inadvertently impact beneficial uses in the receiving waters; • Implement technologies, practices, equipment, and interagency coordination to expedite spill containment and recovery;
• Implement pre-planned coordination and collaboration with storm drain agencies and other utility agencies/departments prior, during, and after a spill event; • Conduct post-spill assessments of spill response activities; • Document and report spill events as required in this General Order; and • Annually, review and assess effectiveness of the Spill Emergency Response Plan, and update the Plan as needed.
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7. SEWER PIPE BLOCKAGE CONTROL PROGRAM
The Sewer System Management Plan must include procedures for the evaluation of the Enrollee’s service area to determine whether a sewer pipe blockage control program is needed to control fats, oils, grease, rags and debris. If the Enrollee determines that a program is not needed, the Enrollee shall provide justification in its Plan for why a program is not needed.

The procedures must include, at minimum:
• An implementation plan and schedule for a public education and outreach program that promotes proper disposal of pipe-blocking substances; • A plan and schedule for the disposal of pipe-blocking substances generated within the sanitary sewer system service area. This may include a list of acceptable disposal facilities and/or additional facilities needed to adequately dispose of substances generated within a sanitary sewer system service area; • The legal authority to prohibit discharges to the system and identify measures to prevent spills and blockages;
• Requirements to install grease removal devices (such as traps or interceptors), design standards for the removal devices, maintenance requirements, best management practices requirements, recordkeeping and reporting requirements; • Authority to inspect grease producing facilities, enforcement authorities, and whether the Enrollee has sufficient staff to inspect and enforce the fats, oils, and grease ordinance;
• An identification of sanitary sewer system sections subject to fats, oils, and grease blockages and establishment of a cleaning schedule for each section; and • Implementation of source control measures for all sources of fats, oils, and grease reaching the sanitary sewer system for each section identified above.

8. SYSTEM EVALUATION, CAPACITY ASSURANCE AND CAPITAL IMPROVEMENTS The Plan must include procedures and activities for:
• Routine evaluation and assessment of system conditions; • Capacity assessment and design criteria;
• Prioritization of corrective actions; and
• A capital improvement plan.

8.1 System Evaluation and Condition Assessment
The Plan must include procedures to:
• Evaluate the sanitary sewer system assets utilizing the best practices and technologies available;
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• Identify and justify the amount (percentage) of its system for its condition to be assessed each year;
• Prioritize the condition assessment of system areas that:
o Hold a high level of environmental consequences if vulnerable to collapse, failure, blockage, capacity issues, or other system deficiencies; o Are located in or within the vicinity of surface waters, steep terrain, high groundwater elevations, and environmentally sensitive areas; o Are within the vicinity of a receiving water with a bacterial-related impairment on the most current Clean Water Act section 303(d) List;
• Assess the system conditions using visual observations, video surveillance and/or other comparable system inspection methods;
• Utilize observations/evidence of system conditions that may contribute to exiting of sewage from the system which can reasonably be expected to discharge into a water of the State;
• Maintain documents and recordkeeping of system evaluation and condition assessment inspections and activities; and
• Identify system assets vulnerable to direct and indirect impacts of climate change, including but not limited to: sea level rise; flooding and/or erosion due to increased storm volumes, frequency, and/or intensity; wildfires; and increased power disruptions.

8.2. Capacity Assessment and Design Criteria
The Plan must include procedures to identify system components that are experiencing or contributing to spills caused by hydraulic deficiency and/or limited capacity, including procedures to identify the appropriate hydraulic capacity of key system elements for:
• Dry-weather peak flow conditions that cause or contributes to spill events; • The appropriate design storm(s) or wet weather events that causes or contributes to spill events;
• The capacity of key system components; and
• Identify the major sources that contribute to the peak flows associated with sewer spills.

The capacity assessment must consider:
• Data from existing system condition assessments, system inspections, system audits, spill history, and other available information; • Capacity of flood-prone systems subject to increased infiltration and inflow, under normal local and regional storm conditions;
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• Capacity of systems subject to increased infiltration and inflow due to larger and/or higher-intensity storm events as a result of climate change; • Increases of erosive forces in canyons and streams near underground and aboveground system components due to larger and/or higher-intensity storm events; • Capacity of major system elements to accommodate dry weather peak flow conditions, and updated design storm and wet weather events; and • Necessary redundancy in pumping and storage capacities.

8.3. Prioritization of Corrective Action
The findings of the condition assessments and capacity assessments must be used to prioritize corrective actions. Prioritization must consider the severity of the consequences of potential spills.

8.4. Capital Improvement Plan
The capital improvement plan must include the following items:
• Project schedules including completion dates for all portions of the capital improvement program;
• Internal and external project funding sources for each project; and • Joint coordination between operation and maintenance staff, and engineering staff/consultants during planning, design, and construction of capital improvement projects; and Interagency coordination with other impacted utility agencies.

9. MONITORING, MEASUREMENT AND PROGRAM MODIFICATIONS
The Plan must include an Adaptive Management section that addresses Planimplementation effectiveness and the steps for necessary Plan improvement, including:
• Maintaining relevant information, including audit findings, to establish and prioritize appropriate Plan activities;
• Monitoring the implementation and measuring the effectiveness of each Plan Element;
• Assessing the success of the preventive operation and maintenance activities; • Updating Plan procedures and activities, as appropriate, based on results of monitoring and performance evaluations; and
• Identifying and illustrating spill trends, including spill frequency, locations and estimated volumes.
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10. INTERNAL AUDITS
The Plan shall include internal audit procedures, appropriate to the size and performance of the system, for the Enrollee to comply with section 5.4 (Sewer System Management Plan Audits) of this General Order.

11. COMMUNICATION PROGRAM
The Plan must include procedures for the Enrollee to communicate with:
• The public for:
o Spills and discharges resulting in closures of public areas, or that enter a source of drinking water, and
o The development, implementation, and update of its Plan, including opportunities for public input to Plan implementation and updates.
• Owners/operators of systems that connect into the Enrollee’s system, including satellite systems, for:
o System operation, maintenance, and capital improvement-related activities. 1196
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ATTACHMENT E1 – NOTIFICATION, MONITORING, REPORTING AND

RECORDKEEPING REQUIREMENTS
Table of Contents

1. Notification Requirements......................................................................................... E1-3

1.1. Notification of Spills of 1,000 Gallons or Greater to the California Office of Emergency Services ...................................................................................... E1-3

1.2. Spill Notification Information........................................................................... E1-4

1.3. Notification of Spill Report Updates................................................................ E1-4

2. Spill-Specific Monitoring Requirements .................................................................... E1-5

2.1 Spill Location and Spread .............................................................................. E1-5

2.2 Spill Volume Estimation.................................................................................. E1-5

2.3. Receiving Water Monitoring ............................................................................E1-5

2.4. Safety and Access Exceptions ........................................................................E1-8

3. Reporting Requirements ............................................................................................E1-8

3.1. Reporting Requirements for Individual Category 1 Spill Reporting .................E1-8

3.2. Reporting Requirements for Individual Category 2 Spill Reporting ...............E1-12

3.3. Monthly Certified Spill Reporting for Category 3 Spills..................................E1-14

3.4. Monthly Certified Spill Reporting for Category 4 Spills..................................E1-16

3.5. Amended Certified Spill Reports for Category 3 Spills ..................................E1-16

3.6. Annual Certified Spill Reporting of Category 4 and/or Lateral Spills .............E1-16

3.7. Monthly Certification of “No-Spills” or “Category 4 Spills” and/or “Non-Category 1 Lateral Spills” ................................................................................................E1-16

3.8. Electronic Sanitary Sewer System Service Area Boundary Map...................E1-17

3.9. Annual Report (Previously termed as Collection System Questionnaire in General Order 2006-0003-DWQ)..................................................................E1-17

3.10. Sewer System Management Plan Audit Reporting Requirements ................E1-19

3.11. Sewer System Management Plan Reporting Requirements .........................E1-19

4. Recordkeeping Requirements .................................................................................E1-20

4.1. Recordkeeping Time Period..........................................................................E1-20

4.2. Availability of Documents ..............................................................................E1-20

4.3. Spill Reports..................................................................................................E1-20

4.4. Recordkeeping of Category 4 Spills and Non-Category 1 Lateral Spills .......E1-21

4.5. Sewer System Telemetry Records................................................................E1-22

4.6. Sewer System Management Plan Implementation Records .........................E1-22

4.7. Audit Records................................................................................................E1-23 1197
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4.8. Equipment Records.......................................................................................E1-23

4.9. Work Orders..................................................................................................E1-23 1198
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ATTACHMENT E1– NOTIFICATION, MONITORING, REPORTING AND RECORDKEEPING

REQUIREMENTS
The Notification Requirements (section 1), Spill-specific Monitoring Requirements (section 2), Reporting Requirements (section 3) and Recordkeeping Requirements (section 4) in this Attachment are pursuant to Water Code section 13267 and section 13383, and are an enforceable component of this General Order. For the purpose of this General Order, the term:
• Notification means the notifying of appropriate parties of a spill event or other activity. • Spill-specific Monitoring means the gathering of information and data for a specific spill event to be reported or kept as records.
• Reporting means the reporting of information and data into the online California Integrated Water Quality System (CIWQS) Sanitary Sewer System Database. • Recordkeeping means the maintaining of information and data in an official records storage system.

Failure to comply with the notification, monitoring, reporting and recordkeeping requirements in this General Order may subject the Enrollee to civil liabilities of up to $10,000 a day per violation pursuant to Water Code section 13385; up to $1,000 a day per violation pursuant to Water Code section 13268; or referral to the Attorney General for judicial civil enforcement.

Water Code section 13193 et seq. requires the Regional Water Quality Control Boards (Regional Water Boards) and the State Water Resources Control Board (State Water Board) to collect sanitary sewer spill information for each spill event and make this information available to the public. Sanitary sewer spill information for each spill event includes but is not limited to: Enrollee contact information for each spill event, spill cause, estimated spill volume and factors used for estimation, location, date, time, duration, amount discharged to waters of the State, response and corrective action(s) taken.

1. NOTIFICATION REQUIREMENTS

1.1. Notification of Spills of 1,000 Gallons or Greater to the California Office of Emergency Services
Per Water Code section 13271, for a spill that discharges in or on any waters of the State, or discharges or is deposited where it is, or probably will be, discharged in or on any waters of the State, the Enrollee shall notify the California Office of Emergency Services and obtain a California Office of Emergency Services Control Number as soon as possible but no later than two (2) hours after:
• The Enrollee has knowledge of the spill; and
• Notification can be provided without substantially impeding cleanup or other emergency measures.

The notification requirements in this section apply to individual spills of 1,000 gallons or greater, from an Enrollee-owned and/or operated laterals, to a water of the State. 1199
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1.2. Spill Notification Information
The Enrollee shall provide the following spill information to the California Office of Emergency Services before receiving a Control Number, as applicable:
• Name and phone number of the person notifying the California Office of Emergency Services;
• Estimated spill volume (gallons);
• Estimated spill rate from the system (gallons per minute); • Estimated discharge rate (gallons per minute) directly into waters of the State or indirectly into a drainage conveyance system;
• Spill incident description:
o Brief narrative of the spill event, and
o Spill incident location (address, city, and zip code) and closest cross streets and/or landmarks;
• Name and phone number of contact person on-scene;
• Date and time the Enrollee was informed of the spill event; • Name of sanitary sewer system causing the spill;
• Spill cause or suspected cause (if known);
• Amount of spill contained;
• Name of receiving water body receiving or potentially receiving discharge; and • Description of water body impact and/ or potential impact to beneficial uses.

1.3. Notification of Spill Report Updates
Following the initial notification to the California Office of Emergency Services and until such time that the Enrollee certifies the spill report in the online CIWQS Sanitary Sewer System Database, the Enrollee shall provide updates to the California Office of Emergency Services regarding substantial changes to:
• Estimated spill volume (increase or decrease in gallons initially estimated); • Estimated discharge volume discharged directly into waters of the State or indirectly into a drainage conveyance system (increase or decrease in gallons initially estimated); and
• Additional impact(s) to the receiving water(s) and beneficial uses. 1200
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2. SPILL-SPECIFIC MONITORING REQUIREMENTS

2.1 Spill Location and Spread
The Enrollee shall visually assess the spill location(s) and spread using photography, global positioning system (GPS), and other best available tools. The Enrollee shall document the critical spill locations, including:
• Photography and GPS coordinates for:
o The system location where spill originated.

For multiple appearance points of a single spill event, the points closest to the spill origin.
• Photography for:
o Drainage conveyance system entry locations,
o The location(s) of discharge into surface waters, as applicable, o Extent of spill spread, and
o The location(s) of clean up.

2.2 Spill Volume Estimation
To assess the approximate spill magnitude and spread, the Enrollee shall estimate the total spill volume using updated volume estimation techniques, calculations, and documentation for electronic reporting. The Enrollee shall update its notification and reporting of estimated spill volume (which includes spill volume recovered) as further information is gathered during and after a spill event.

2.3. Receiving Water Monitoring

2.3.1. Receiving Water Visual Observations
Through visual observations and use of best available spill volume-estimating techniques and field calculation techniques, the Enrollee shall gather and document the following information for spills discharging to surface waters:
• Estimated spill travel time to the receiving water;
• For spills entering a drainage conveyance system, estimated spill travel time from the point of entry into the drainage conveyance system to the point of discharge into the receiving water;
• Estimated spill volume entering the receiving water; and • Photography of:
o Waterbody bank erosion,
o Floating matter,
o Water surface sheen (potentially from oil and grease), 1201
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o Discoloration of receiving water, and
o Impact to the receiving water.

2.3.2. Receiving Water – Water Quality Sampling and Analysis For sewage spills in which an estimated 50,000 gallons or greater are discharged into a surface water, the Enrollee shall conduct the following water quality sampling no later than 18 hours after the Enrollee’s knowledge of a potential discharge to a surface water:
• Collect one water sample, each day of the duration of the spill, at:
o The DCS-001 location as described in section 2.3.4 (Receiving Water Sampling Locations) of this Attachment, if sewage discharges to a surface water via a drainage conveyance system; and/or
o Each of the three receiving water sampling locations in section 2.3.4 (Receiving Water Sampling Locations) of this Attachment;
If the receiving water has no flow during the duration of the spill, the Enrollee must report “No Sampling Due To No Flow” for its receiving water sampling locations.

The Enrollee shall analyze the collected receiving water samples for the following constituents per section 2.3.3 (Water Quality Analysis Specifications) of this Attachment:
• Ammonia, and
• Appropriate bacterial indicator(s) per the applicable Basin Plan water quality objectives, including one or more of the following, unless directed otherwise by the Regional Water Board:
o Total Coliform Bacteria
o Fecal Coliform Bacteria
o E-coli
o Enterococcus
Dependent on the receiving water(s), sampling of bacterial indicators shall be sufficient to determine post-spill (after the spill) compliance with the water quality objectives and bacterial standards of the California Ocean Plan or the California Inland Surface Water Enclosed Bays, and Estuaries Plan, including the frequency and/or number of post-spill receiving water samples as may be specified in the applicable plans.

The Enrollee shall collect and analyze additional samples as required by the applicable Regional Water Board Executive Officer or designee.
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2.3.3. Water Quality Analysis Specifications
Spill monitoring must be representative of the monitored activity (40 Code of Federal Regulations section 122.41(j)(1)).

Sufficiently Sensitive Methods
Sample analysis must be conducted according to sufficiently sensitive test methods approved under 40 Code of Federal Regulations Part 136 for the sample analysis of pollutants. For the purposes of this General Order, a method is sufficiently sensitive when the minimum level of the analytical method approved under 40 Code of Federal Regulations Part 136 is at or below the receiving water pollutant criteria.

Environmental Laboratory Accreditation Program-Accredited Laboratories The analysis of water quality samples required per this General Order must be performed by a laboratory that has accreditation pursuant to Article 3 (commencing with section 100825) of Chapter 4 of Part 1 of Division 101 of the Health and Safety Code. (Water Code section 13176(a).) The State Water Board accredits laboratories through its Environmental Laboratory Accreditation Program (ELAP).

2.3.4. Receiving Water Sampling Locations
The Enrollee shall collect receiving water samples at the following locations.

Sampling of Flow in Drainage Conveyance System (DCS) Prior to Discharge Sampling
Location Sampling Location Description
DCS-001 A point in a drainage conveyance system before the drainage conveyance system flow discharges into a receiving water.

Receiving Surface Water Sampling (RSW)1
Sampling
Location Sampling Location Description
RSW-001
Point of Discharge
A point in the receiving water where sewage initially enters the receiving water.

RSW-001U:

Upstream of Point
of Discharge
A point in the receiving water, upstream of the point of sewage discharge, to capture ambient conditions absent of sewage discharge impacts.
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Sampling
Location Sampling Location Description
RSW-001D:

Downstream of
Point of Discharge
A point in the receiving water, downstream of the point of sewage discharge, where the spill material is fully mixed with the receiving water.
1 The Enrollee must use its best professional judgment to determine the upstream and downstream distances based on receiving water flow, accessibility to upstream/downstream waterbody banks, and size of visible sewage plume.

2.4. Safety and Access Exceptions
If the Enrollee encounters access restrictions or unsafe conditions that prevents its compliance with spill response requirements or monitoring requirements in this General Order, the Enrollee shall provide documentation of access restrictions and/or safety hazards in the corresponding required report.

3. REPORTING REQUIREMENTS
All reporting required in this General Order must be submitted electronically to the online CIWQS Sanitary Sewer System Database (https://ciwqs.waterboards.ca.gov), unless specified otherwise in this General Order. Electronic reporting may solely be conducted by a Legally Responsible Official or Data Submitter(s) previously designated by the Legally Responsible Official, as required in section 5.8 (Designation of Data Submitters) of this General Order.

The Enrollee shall report any information that is protected by the Homeland Security Act, by email to [email protected], with a brief explanation of the protection provided by the Homeland Security Act for the subject report to be protected from unauthorized disclosure and/or public access, and for official Water Board regulatory purposes only.

3.1. Reporting Requirements for Individual Category 1 Spill Reporting

3.1.1. Draft Spill Report for Category 1 Spills
Within three (3) business days of the Enrollee’s knowledge of a Category 1 spill, the Enrollee shall submit a Draft Spill Report to the online CIWQS Sanitary Sewer System Database.

The Draft Spill Report must, at minimum, include the following items:

1. Contact information: Name and telephone number of Enrollee contact person to respond to spill-specific questions;

2. Spill location name;

3. Date and time the Enrollee was notified of, or self-discovered, the spill;

4. Operator arrival time;
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5. Estimated spill start date and time;

6. Date and time the Enrollee notified the California Office of Emergency Services, and the assigned control number;

7. Description, photographs, and GPS coordinates of the system location where the spill originated;
o If a single spill event results in multiple appearance points, provide GPS coordinates for the appearance point closest to the failure point and describe each additional appearance point in the spill appearance point explanation field;

8. Estimated total spill volume exiting the system;

9. Description and photographs of the extent of the spill and spill boundaries;

10. Did the spill reach a drainage conveyance system? If Yes:
o Description of the drainage conveyance system transporting the spill; o Photographs of the drainage conveyance system entry location(s); o Estimated spill volume fully recovered from the drainage conveyance system; o Estimated spill volume remaining within the drainage conveyance system;

11. Description and photographs of all discharge point(s) into the surface water;

12. Estimated spill volume that discharged to surface waters; and

13. Estimated total spill volume recovered.

3.1.2. Certified Spill Report for Category 1 Spills
Within 15 calendar days of the spill end date, the Enrollee shall submit a Certified Spill Report for Category 1 spills, to the online CIWQS Sanitary Sewer System Database.

Upon completion of the Certified Spill Report, the online CIWQS Sanitary Sewer System Database will issue a final spill event identification number.

The Certified Spill Report must, at minimum, include the following mandatory information in addition to all information in the Draft Spill Report per section 3.1.1 (Draft Spill Report for Category 1 Spills) above:

1. Description of the spill event destination(s), including GPS coordinates if available, that represent the full spread and reach of the spill;

2. Spill end date and time;

3. Description of how the spill volume estimations were calculated, including at a minimum:
o The methodology, assumptions and type of data relied upon, such as supervisory control and data acquisition (SCADA) records, flow monitoring or other telemetry information used to estimate the volume of the spill discharged, and the volume of the spill recovered (if any volume of the spill was recovered), and o The methodology(ies), assumptions and type of data relied upon for estimations of the spill start time and the spill end time;
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4. Spill cause(s) (for example, root intrusion, grease deposition, etc.);

5. System failure location (for example, main, lateral, pump station, etc.);

6. Description of the pipe material, and estimated age of the pipe material, at the failure location;

7. Description of the impact of the spill;

8. Whether or not the spill was associated with a storm event;

9. Description of spill response activities including description of immediate spill containment and cleanup efforts;

10. Description of spill corrective action, including steps planned or taken to reduce, eliminate, and prevent reoccurrence of the spill, and a schedule of major milestones for those steps;

11. Spill response completion date;

12. Detailed narrative of investigation and investigation findings of cause of spill;

13. Reasons for an ongoing investigation (as applicable) and the expected date of completion;

14. Name and type of receiving water body(s);

15.Description of the water body(s), including but not limited to:
o Observed impacts on aquatic life,
o Public closure, restricted public access, temporary restricted use, and/or posted health warnings due to spill,
o Responsible entity for closing/restricting use of water body, and o Number of days closed/restricted as a result of the spill.

16.Whether or not the spill was located within 1,000 feet of a municipal surface water intake; and

17. If water quality samples were collected, identify sample locations and the parameters the water quality samples were analyzed for. If no samples were taken, Not Applicable shall be selected.

3.1.3. Spill Technical Report for Individual Category 1 Spill in which 50,000 Gallons or Greater Discharged into a Surface Water
For any spill in which 50,000 gallons or greater discharged into a surface water, within 45 calendar days of the spill end date, the Enrollee shall submit a Spill Technical Report to the online CIWQS Sanitary Sewer System Database. The Spill Technical Report, at minimum, must include the following information:

1. Spill causes and circumstances, including at minimum:
o Complete and detailed explanation of how and when the spill was discovered; 1206
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o Photographs illustrating the spill origin, the extent and reach of the spill, drainage conveyance system entrance and exit, receiving water, and post-cleanup site conditions;
o Diagram showing the spill failure point, appearance point(s), the spill flow path, and ultimate destinations;
o Detailed description of the methodology employed, and available data used to calculate the discharge volume and, if applicable, the recovered spill volume; o Detailed description of the spill cause(s);
o Description of the pipe material, and estimated age of the pipe material, at the failure location;
o Description of the impact of the spill;
o Copy of original field crew records used to document the spill; and o Historical maintenance records for the failure location.

2. Enrollee’s response to the spill:
o Chronological narrative description of all actions taken by the Enrollee to terminate the spill;
o Explanation of how the Sewer System Management Plan Spill Emergency Response Plan was implemented to respond to and mitigate the spill; and o Final corrective action(s) completed and a schedule for planned corrective actions, including:
▪ Local regulatory enforcement action taken against an illicit discharge in response to this spill, as applicable,
▪ Identifiable system modifications, and operation and maintenance program modifications needed to prevent repeated spill occurrences, and ▪ Necessary modifications to the Emergency Spill Response Plan to incorporate lessons learned in responding to and mitigating the spill.

3. Water Quality Monitoring, including at minimum:
o Description of all water quality sampling activities conducted; o List of pollutant and parameters monitored, sampled and analyzed; as required in section 2.3 (Receiving Water Monitoring) of this Attachment; o Laboratory results, including laboratory reports;
o Detailed location map illustrating all water quality sampling points; and o Other regulatory agencies receiving sample results (if applicable).

4. Evaluation of spill impact(s), including a description of short-term and long-term impact(s) to beneficial uses of the surface water.
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3.1.4. Amended Certified Spill Reports for Individual Category 1 Spills The Enrollee shall update or add additional information to a Certified Spill Report within 90 calendar days of the spill end date by amending the report or by adding an attachment to the Spill Report in the online CIWQS Sanitary Sewer System Database.

The Enrollee shall certify the amended report.

After 90 calendar days, the Enrollee shall contact the State Water Board at [email protected] to request to amend a Spill Report. The Legally Responsible Official shall submit justification for why the additional information was not reported within the Amended Spill Report due date.

3.2. Reporting Requirements for Individual Category 2 Spill Reporting

3.2.1. Draft Spill Report for Category 2 Spills
Within three (3) business days of the Enrollee’s knowledge of a Category 2 spill, the Enrollee shall submit a Draft Spill Report to the online CIWQS Sanitary Sewer System Database.

The Draft Spill Report must, at minimum, include the following items:

1. Contact information: Name and telephone number of Enrollee contact person to respond to spill-specific questions;

2. Spill location name;

3. Date and time the Enrollee was notified of, or self-discovered, the spill;

4. Operator arrival time;

5. Estimated spill start date and time;

6. Date and time the Enrollee notified the California Office of Emergency Services, and the assigned control number;

7. Description, photographs, and GPS coordinates of the system location where the spill originated;
If a single spill event results in multiple appearance points, provide GPS coordinates for the appearance point closest to the failure point and describe each additional appearance point in the spill appearance point explanation field;

8. Estimated total spill volume exiting the system;

9. Description and photographs of the extent of the spill and spill boundaries;

10. Did the spill reach a drainage conveyance system? If Yes:
o Description of the drainage conveyance system transporting the spill; o Photographs of the drainage conveyance system entry location(s); o Estimated spill volume fully recovered from the drainage conveyance system; o Estimated spill volume remaining within the drainage conveyance system; 1208
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o Estimated spill volume discharged to a groundwater infiltration basin or facility, if applicable; and

11. Estimated total spill volume recovered.

3.2.2. Certified Spill Report for Category 2 Spills
Within 15 calendar days of the spill end date, the Enrollee shall submit a Certified Spill Report for the Category 2 spill, to the online CIWQS Sanitary Sewer System Database (https://ciwqs.waterboards.ca.gov). Upon completion of the Certified Spill Report, the online CIWQS Sanitary Sewer System Database will issue a final spill event identification number.

The Certified Spill Report must, at minimum, include the following mandatory information in addition to all information in the Draft Spill Report per section 3.2.1 (Draft Spill Report for Category 2 Spills) above:

1. Description of the spill event destination(s), including GPS coordinates if available, that represent the full spread and reach of the spill;

2. Spill end date and time;

3. Description of how the spill volume estimations were calculated, including at a minimum:
o The methodology, assumptions and type of data relied upon, such as supervisory control and data acquisition (SCADA) records, flow monitoring or other telemetry information used to estimate the volume of the spill discharged, and the volume of the spill recovered (if any volume of the spill was recovered), and o The methodology(ies), assumptions and type of data relied upon for estimations of the spill start time and the spill end time;

4. Spill cause(s) (for example, root intrusion, grease deposition, etc.);

5. System failure location (for example, main, pump station, etc.);

6. Description of the pipe/infrastructure material, and estimated age of the pipe material, at the failure location;

7. Description of the impact of the spill;

8. Whether or not the spill was associated with a storm event;

9. Description of spill response activities including description of immediate spill containment and cleanup efforts;

10. Description of spill corrective action, including steps planned or taken to reduce, eliminate, and prevent reoccurrence of the spill, and a schedule of major milestones for those steps;

11. Spill response completion date;

12. Detailed narrative of investigation and investigation findings of cause of spill;

13. Reasons for an ongoing investigation (as applicable) and the expected date of completion; and
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14. Whether or not the spill was located within 1,000 feet of a municipal surface water intake.

3.2.3. Amended Certified Spill Reports for Individual Category 2 Spills The Enrollee shall update or add additional information to a Certified Spill Report within 90 calendar days of the spill end date by amending the report or by adding an attachment to the Spill Report in the online CIWQS Sanitary Sewer System Database.

The Enrollee shall certify the amended report.

After 90 calendar days, the Enrollee shall contact the State Water Board at [email protected] to request to amend a Spill Report. The Legally Responsible Official shall submit justification for why the additional information was not reported within the Amended Spill Report due date.

3.3. Monthly Certified Spill Reporting for Category 3 Spills The Enrollee shall report and certify all Category 3 spills to the online CIWQS Sanitary Sewer System Database within 30 calendar days after the end of the month in which the spills occurred. (For example, all Category 3 spills occurring in the month of February shall be reported and certified by March 30th). After the Legally Responsible Official certifies the spills, the online CIWQS Sanitary Sewer System Database will issue a spill event identification number for each spill.

The monthly reporting of all Category 3 spills must include the following items for each spill:

1. Contact information: Name and telephone number of Enrollee contact person to respond to spill-specific questions;

2. Spill location name;

3. Date and time the Enrollee was notified of, or self-discovered, the spill;

4. Operator arrival time;

5. Estimated spill start date and time;

6. Description, photographs, and GPS coordinates where the spill originated:
o If a single spill event results in multiple appearance points, provide GPS coordinates for the appearance point closest to the failure point and describe each additional appearance point in the spill appearance point explanation field;

7. Estimated total spill volume exiting the system;

8. Description and photographs of the extent of the spill and spill boundaries;

9. Did the spill reach a drainage conveyance system? If Yes:
o Description of the drainage conveyance system transporting the spill; o Photographs of the drainage conveyance system entry locations(s); o Estimated spill volume fully recovered from the drainage conveyance system; and 1210
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o Estimated spill volume discharged to a groundwater infiltration basis or facility, if applicable.

10. Estimated total spill volume recovered;

11. Description of the spill event destination(s), including GPS coordinates, if available, that represent the full spread and reaches of the spill;

12. Spill end date and time;

13. Description of how the spill volume estimations were calculated, including, at minimum:
o The methodology and type of data relied upon, including supervisory control and data acquisition (SCADA) records, flow monitoring or other telemetry information used to estimate the volume of the spill discharged, and the volume of the spill recovered (if any volume of the spill was recovered), and o The methodology and type of data relied upon to estimate the spill start time, on-going spill rate at time of arrival (if applicable), and the spill end time;

14. Spill cause(s) (for example, root intrusion, grease deposition, etc.);

15. System failure location (for example, main, pump station, etc.);

16. Description of the pipe/infrastructure material, and estimated age of the pipe/infrastructure material, at the failure location;

17. Description of the impact of the spill;

18. Whether or not the spill was associated with a storm event;

19. Description of spill response activities including description of immediate spill containment and cleanup efforts;

20. Description of spill corrective actions, including steps planned or taken to reduce, eliminate, and prevent reoccurrence of the spill, and a schedule of the major milestones for those steps; including, at minimum:
o Local regulatory enforcement action taken against an illicit discharge in response to this spill, as applicable, and
o Identifiable system modifications, and operation and maintenance program modifications needed to prevent repeated spill occurrences at the same spill event location, including:
▪ Adjusted schedule/method of preventive maintenance,
▪ Planned rehabilitation or replacement of sanitary sewer asset, ▪ Inspected, repaired asset(s), or replaced defective asset(s), ▪ Capital improvements,
▪ Documentation verifying immediately implemented system modifications and operating/maintenance modifications,
▪ Description of spill response activities,
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▪ Spill response completion date, and
▪ Ongoing investigation efforts, and expected completion date of investigation to determine the full cause of spill;

21. Detailed narrative of investigation and investigation findings of cause of spill.

3.4. Monthly Certified Spill Reporting for Category 4 Spills The Enrollee shall report and certify the estimated total spill volume exiting the sanitary sewer system, and the total number of all Category 4 spills to the online CIWQS Sanitary Sewer System Database, within 30 calendar days after the end of the month in which the spills occurred.

3.5. Amended Certified Spill Reports for Category 3 Spills Within 90 calendar days of the certified Spill Report due date, the Enrollee may update or add additional information to a certified Spill Report by amending the report or by adding an attachment to the Spill Report in the online CIWQS Sanitary Sewer System Database. The Enrollee shall certify the amended report.

After 90 calendar days, the Legally Responsible Official shall contact the State Water Board at [email protected] to request to amend a certified Spill Report. The Legally Responsible Official shall submit justification for why the additional information was not reported within the 90-day timeframe for amending the certified Spill Report, as provided above.

3.6. Annual Certified Spill Reporting of Category 4 and/or Lateral Spills For all Category 4 spills and spills from its owned and/or operated laterals that are caused by a failure or blockage in the lateral and that do not discharge to a surface water, the Enrollee shall:
• Maintain records per section 4.4. of this Attachment; The Enrollee shall provide records upon request by State Water Board or Regional Water Board staff.
• Annually upload and certify a report, in an appropriate digital format, of all recordkeeping of spills to the online CIWQS Sanitary Sewer System Database, by February 1st after the end of the calendar year in which the spills occurred.

A spill from an Enrollee-owned and/or operated lateral that discharges to a surface water is a Category 1 spill; the Enrollee shall report all Category 1 spills per section 3.1 of Attachment E1 (Notification, Monitoring, Reporting and Recordkeeping Requirements) of this General Order.

3.7. Monthly Certification of “No-Spills” or “Category 4 Spills” and/or “Non-Category 1 Lateral Spills”
If either (1) no spills occur during a calendar month or (2) only Category 4, and/or Enrollee-owned and/or operated lateral spills (that do not discharge to a surface water) occur during a calendar month, the Enrollee shall certify, within 30 calendar days after 1212
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the end of each calendar month, either a “No-Spill” certification statement, or a “Category 4 Spills” and/or “Non-Category 1 Lateral Spills” certification statement, in the online CIWQS Sanitary Sewer System Database, certifying that there were either no spills, or Category 4 and/or Non-Category 1 Lateral Spills that will be reported annually (per section 3.6 of this Attachment) for the designated month.

If a spill starts in one calendar month and ends in a subsequent calendar month, and the Enrollee has no further spills of any category, in the subsequent calendar month, the Enrollee shall certify “no-spills” for the subsequent calendar month.

If the Enrollee has no spills from its systems during a calendar month, but the Enrollee voluntarily reported a spill from a private lateral or a private system, the Enrollee shall certify “no-spills” for that calendar month.

If the Enrollees has spills from its owned and/or operated laterals during a calendar month, the Enrollee shall not certify “no spills” for that calendar month.

3.8. Electronic Sanitary Sewer System Service Area Boundary Map The Legally Responsible Official shall submit, to the State Water Board, an up-to-date electronic spatial map of its sewer system service area boundaries. The map must be in accordance with section 5.14 (Electronic Sanitary Sewer System Service Area Boundary Map) of this General Order and the specification provided on the statewide Sanitary Sewer Systems program website. The map must include the location of wastewater treatment facility(ies) that treats the sewer system waste, if in the same sewer service boundary.

By the Effective Date of this General Order, specifications for the electronic sanitary sewer service area boundary map format will be provided on the statewide Sanitary Sewer Systems Order program website.

3.9. Annual Report (Previously termed as Collection System Questionnaire in General Order 2006-0003-DWQ)
A new Enrollee shall complete and submit its first certified Annual Report into the online CIWQS Sanitary Sewer System Database, within 30 days of obtaining a CIWQS account; Subsequent Annual Reports are due by April 1 of each year.

All enrollees shall update their previous year’s Annual Report, by April 1 of each year after the Effective Date of this General Order, for each calendar year (January 1 through December 31).

The Annual Report must be entered directly into the online CIWQS Sanitary Sewer System Database. The Enrollee’s Legally Responsible Official shall certify the Annual Report as instructed in CIWQS;
The Annual Report must address, and update as applicable, the following items:
• Population served;
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• Updated sewer system service area boundary map, if service area boundary has changed from original map submitted per section 5.14 (Electronic Sanitary Sewer System Service Area Boundary Map) of this General Order; • Number of system operation and maintenance staff:
o Entry level (less than two years of experience),
o Journey level (greater than two years of experience), o Supervisory level, and
o Managerial level;
• Number of operation and maintenance staff certified as a certified collection system operator by the California Water Environmental Association (CWEA), with:
o Corresponding number of certified collection system operator grade levels (Grade I, II, III, IV, and V);
• System information:
o Miles of system gravity and force mains,
o Number of upper and lower service laterals connected to system, o Estimated number of upper and lower laterals owned and/or operated by the Enrollee,
o Portion of laterals that is Enrollee’s responsibility, o Average age the major components of system infrastructure, o Number and age of pump stations, and
o Estimated total miles of the system pipeline not accessible for maintenance; • Name and location of the treatment plant(s) receiving sanitary sewer system’s waste;
• Name of satellite sewer system tributaries;
• Number of system’s gravity sewer above or underground crossings of water bodies throughout system;
• Number of force main (pressurized pipe) above or underground crossings of water bodies throughout system;
• Number of siphons used to convey waste throughout the sewer system; • Miles of sewer system cleaned;
• Miles of sewer system video inspected, or comparable (i.e., video closed-circuit television or alternative inspection methods);
• System Performance Evaluation as specified in section 5.11 (System Performance Analysis) of this General Order;
• Major spill causes (for example, root intrusion, grease deposition); 1214
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• System infrastructure failure points (for example, main, pump station, lateral, etc.); • Ongoing spill investigations; and
• Actions taken to address system deficiencies.

3.10. Sewer System Management Plan Audit Reporting Requirements The Enrollee shall submit its Sewer System Management Plan Audit and other pertinent audit information, in accordance with section 5.4 (Sewer System Management Plan Audits) of this General Order, to the online CIWQS Sanitary Sewer System Database by six (6) months after the end of the 3-year audit period.

If a Sewer System Management Plan Audit is not conducted as required: the Enrollee shall:
• Update the online CIWQS Sanitary Sewer System Database and select the justification for not conducting the Audit; and
• Notify its corresponding Regional Water Board (see Attachment F (Regional Water Quality Control Board Contact Information)) of the justification for the lapsed requirements.

The Enrollee’s reporting of a justification for not conducting a timely Audit does not justify non-compliance with this General Order. The Enrollee shall:
• Submit the late Audit as required in this General Order; and • Comply with subsequent Audit requirements and due dates corresponding with the original audit cycle.

3.11. Sewer System Management Plan Reporting Requirements For an Existing Enrollee previously regulated by Order 2006-0003-DWQ: Within every six (6) years after the required due date of its last Plan Update, the Legally Responsible Official shall upload and certify a local governing entity-approved Sewer System Management Plan Update to the online CIWQS Sanitary Sewer System Database. If the electronic document format or size capacity prevents the electronic upload of the Plan, the Legally Responsible Official shall report an electronic link to its updated Sewer System Management Plan posted on its own website.

Order 2006-0003-DWQ required each enrollee to develop its initial Sewer System Management Plan per the following schedule, with required Plan updates at a frequency of 5-years thereafter:

Systems serving populations: Greater than 100,000: May 2, 2009 Between 100,000 and 10,000: August 2, 2009
Between 10,000 and 2,500: May 2, 2010
Less than 2,500: August 2, 2010
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This Order carries forth the previously-required Plan Update schedule per Order 2006-0003-DWQ. Per the six-year Plan Update frequency required in this Order, the Enrollee shall upload and certify its first Plan Update, to the online CIWQS Sanitary Sewer System Database by the following due dates, with subsequent Plan Updates at the frequency of six years thereafter:

Systems serving populations: Greater than 100,000: May 2, 2025 Between 100,000 and 10,000: August 2, 2025
Between 10,000 and 2,500: May 2, 2026
Less than 2,500: August 2, 2026
For a New Enrollee: Within twelve (12) months of its Application for Enrollment Approval date, the Legally Responsible Official of a new Enrollee shall upload and certify a local governing entity-approved Sewer System Management Plan to the online CIWQS Sanitary Sewer System Database. If electronic document format or size capacity prevents the electronic upload of the Plan, the Legally Responsible Official shall report an electronic link to its Sewer System Management Plan posted on its own website. The due date for subsequent 6-year Plan updates, is six (6) years from the submittal due date of the new Enrollee’s first Sewer System Management Plan.

4. RECORDKEEPING REQUIREMENTS
The Enrollee shall maintain records to document compliance with the provisions of this General Order, and previous General Order 2006-0003-DWQ as applicable, for each sanitary sewer system owned, including any required records generated by an Enrollee’s contractor(s).

4.1. Recordkeeping Time Period
The Enrollee shall maintain records of documents required in this Attachment, including records collected for compliance with this General Order, and records collected in accordance with previous General Order 2006-0003-DWQ, for five (5) years.

4.2. Availability of Documents
The Enrollee shall make the records required in this General Order readily available, either electronic or hard copies, for review by Water Board staff during onsite inspections or through an information request.

4.3. Spill Reports
The Enrollee shall maintain records for each of the following spill-related events and activities:
• Spill event complaint, including but not limited to records documenting how the Enrollee responded to notifications of spills. Each complaint record must, at a minimum, include the following information:
o Date, time, and method of notification,
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o Date and time the complainant first noticed the spill, if available, o Narrative description of the complaint, including any information the caller provided regarding whether the spill has reached surface waters or a drainage conveyance system, if available,
o Complainant’s contact information, if available, and
o Final resolution of the complaint;
• Records documenting the steps and/or remedial action(s) undertaken by the Enrollee, using all available information, to comply with this General Order, and previous General Order 2006-0003-DWQ as applicable;
• Records documenting how estimate(s) of volume(s) and, if applicable, volume(s) of spill recovered were calculated;
• All California Office of Emergency Services notification records, as applicable; and • Records, in accordance with the Monitoring Requirements in this Attachment.

4.4. Recordkeeping of Category 4 Spills and Non-Category 1 Lateral Spills An Enrollee must maintain the following records for each individual Category 4 spill and for each individual non-Category 1 Enrollee-owned and/or operated lateral spill, and report in accordance to section 3.6 (Annual Certified Spill Reporting of Category 4 and/or Lateral Spills) of this Attachment.

Recordkeeping of Individual Category 4 Spill Information:

1. Contact information: Name and telephone number of Enrollee contact person to respond to spill-specific questions;

2. Spill location name;

3. Description and GPS coordinates for the system location where the spill originated;

4. Did the spill reach a drainage conveyance system? If Yes:
o Description of drainage conveyance system location,
o Estimated spill volume fully recovered within the drainage conveyance system, and
o Estimated spill volume remaining within the drainage conveyance system;

5. Estimated total spill volume exiting the sanitary sewer system;

6. Spill date and start time;

7. Spill cause(s) (for example, root intrusion, grease deposition, etc.);

8. System failure location (for example, main, pump station, etc.);

9. Description of spill response activities including description of immediate spill containment and cleanup efforts;

10. Description of how the volume estimation was calculated, including, at minimum:
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o The methodology and type of data relied upon, including supervisory control and data acquisition (SCADA) records, flow monitoring or other telemetry information used to estimate the volume of the spill discharged, and the volume of the spill recovered (if any volume of the spill was recovered), and o The methodology and type of data relied upon to estimate the spill start time, ongoing spill rate at time of arrival (if applicable), and the spill end time;

11. Description of implemented system modifications and operating/maintenance modifications.

Recordkeeping of Individual Lateral Spill Information:

1. Date and time the Enrollee was notified of, or self-discovered, the spill;

2. Location of individual spill;

3. Estimated individual spill volume;

4. Spill cause(s) (for example, root intrusion, grease deposition, etc.); and

5. Description of how the volume estimations were calculated.

Total Annual Spill Information:

1. Estimated total annual spill volume;

2. Description of spill corrective actions, including at minimum:
o Local regulatory enforcement action taken against the sewer lateral owner in response to a spill, as applicable, and
o System operation, maintenance and program modifications implemented to prevent repeated spill occurrences at the same spill location.

4.5. Sewer System Telemetry Records
The Enrollee shall maintain the following sewer system telemetry records if used to document compliance with this General Order, and previous General Order 2006-0003-DWQ as applicable, including spill volume estimates:
• Supervisory control and data acquisition (SCADA) system(s); • Alarm system(s);
• Flow monitoring device(s) or other instrument(s) used to estimate sewage flow rates, and/or volumes;
• Computerized maintenance management system records; and • Asset management-related records.

4.6. Sewer System Management Plan Implementation Records The Enrollee shall maintain records documenting the Enrollee’s implementation of its Sewer System Management Plan, including documents supporting its Sewer System Management Plan audits, corrections, modifications, and updates to the Sewer System Management Plan.
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4.7. Audit Records
The Enrollee shall maintain, at minimum, the following records pertaining to its Sewer System Management Plan audits, and other internal audits:
• Completed audit documents and findings;
• Name and contact information of staff and/or consultants that conducted or involved in the audit; and
• Follow-up actions based on audit findings.

4.8. Equipment Records
The Enrollee shall maintain a log of all owned and leased sewer system cleaning, operational, maintenance, construction, and rehabilitation equipment.

4.9. Work Orders
The Enrollee shall maintain record of work orders for operations and maintenance projects.
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MONITORING AND REPORTING REQUIREMENTS
E2 - 1
ATTACHMENT E2 – SUMMARY OF NOTIFICATION, MONITORING AND REPORTING

REQUIREMENTS
This Attachment provides a summary of notification, monitoring and reporting requirements, by spill category, and for Enrollee-owned and/or operated laterals as required in Attachment E1 of this General Order, for quick reference purposes only.

Table E2-1
Spill Category 1: Spills to Surface Waters
Spill
Requirement Due Method
Notification
Within two (2) hours of the Enrollee’s knowledge of
a Category 1 spill of 1,000 gallons or greater,
discharging or threatening to discharge to surface
waters:

Notify the California Office of Emergency Services
and obtain a notification control number.

California Office
of Emergency
Services at:
(800) 852-7550
(Section 1 of
Attachment E1)
Monitoring
• Conduct spill-specific monitoring;
• Conduct water quality sampling of the receiving
water within 18 hours of initial knowledge of spill of
50,000 gallons or greater to surface waters.
(Section 2 of
Attachment E1)
Reporting
• Submit Draft Spill Report within three (3)
business days of the Enrollee’s knowledge of the
spill;
• Submit Certified Spill Report within 15 calendar
days of the spill end date;
• Submit Technical Report within 45 calendar days
after the spill end date for a Category 1 spill in
which 50,000 gallons or greater discharged to
surface waters; and
• Submit Amended Spill Report within 90 calendar
days after the spill end date.
(Section 3.1 of
Attachment E1)
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E2 - 2
Table E2-2
Spill Category 2: Spills of 1,000 Gallons or Greater That Do Not Discharge to Surface Waters
Spill
Requirements Due Method
Notification
Within two (2) hours of the Enrollee’s knowledge of
a Category 2 spill of 1,000 gallons or greater,
discharging or threatening to discharge to waters of
the State:

Notify California Office of Emergency Services and
obtain a notification control number.

California Office of
Emergency
Services at: (800)
852-7550
(Section 1 of
Attachment E1)
Monitoring Conduct spill-specific monitoring.
(Section 2 of
Attachment E1)
Reporting
• Submit Draft Spill Report within three (3)
business days of the Enrollee’s knowledge of the
spill;
• Submit Certified Spill Report within 15 calendar
days of the spill end date; and
• Submit Amended Spill Report within 90 calendar
days after the spill end date.
(Section 3.2 of
Attachment E1)
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E2 - 3
Table E2-3
Spill Category 3: Spills of Equal or Greater than 50 Gallons and Less than 1,000 Gallons That Does Not Discharge to Surface Waters
Spill
Requirements Due Method
Notification Not Applicable Not Applicable
Monitoring Conduct spill-specific monitoring. (Section 2 of Attachment E1)
Reporting
• Submit monthly Certified Spill Report to the online
CIWQS Sanitary Sewer System Database within
30 calendars days after the end of the month in
which the spills occur; and
• Submit Amended Spill Reports within 90 calendar
days after the Certified Spill Report due date.
(Section 3.3 and 3.5 of
Attachment E1)
Table E2-4
Spill Category 4: Spills Less Than 50 Gallons That Do Not Discharge to Surface Waters Spill
Requirements Due Method
Notification Not Applicable Not Applicable
Monitoring Conduct spill-specific monitoring.
(Section 2 of Attachment
E1)
Reporting
• If, during any calendar month, Category 4 spills
occur, certify monthly, the estimated total spill
volume exiting the sanitary sewer system, and the
total number of all Category 4 spills into the online
CIWQS Sanitary Sewer System Database, within
30 days after the end of the calendar month in
which the spills occurred.
• Upload and certify a report, in an acceptable digital format, of all Category 4 spills to the online CIWQS
Sanitary Sewer System Database, by February 1st
after the end of the calendar year in which the
spills occur.
(Section 3.4, 3.6, 3.7
and 4.4 of Attachment
E1)
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E2 - 4
Table E2-5
Enrollee Owned and/or Operated Lateral Spills That Do Not Discharge to Surface Waters Spill
Requirements Due Method
Notification
Within two (2) hours of the Enrollee’s knowledge of a
spill of 1,000 gallons or greater, from an enrolleeowned and/or operated lateral, discharging or threatening to discharge to waters of the State:

Notify California Office of Emergency Services and
obtain a notification control number.

Not applicable to a spill of less than 1,000 gallons.

California Office of
Emergency Services
at: (800) 852-7550
(Section 1 of Attachment
E1)
Monitoring Conduct visual monitoring. (Section 2 of Attachment E1)
Reporting
• Upload and certify a report, in an acceptable digital format, of all lateral spills (that do not discharge to a surface water) to the online CIWQS Sanitary
Sewer System Database, by February 1st after the
end of the calendar year in which the spills occur.
• Report a lateral spill of any volume that discharges
to a surface water as a Category 1 spill.
(Sections 3.6, 3.7 and

4.4 of Attachment E1)
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STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER 2022-0103-DWQ ATTACHMENT F – REGIONAL WATER QUALITY CONTROL December 6, 2022

BOARD CONTACT INFORMATION
F - 1
ATTACHMENT F – REGIONAL WATER QUALITY CONTROL BOARD CONTACT

INFORMATION
This Attachment provides a map, list of counties, and contact information to assist the Enrollee in identifying the corresponding Regional Water Quality Control Board office, for all Regional Water Board notification requirements in this General Order.

Region 1 -- North Coast Regional Water Quality Control Board:

Del Norte, Glenn, Humboldt, Lake, Marin, Mendocino, Modoc, Siskiyou, Sonoma, and Trinity counties.

[email protected] or (707) 576-2220
Region 2 -- San Francisco Bay Regional Water Quality Control Board:

Alameda, Contra Costa, San Francisco, Santa Clara (Northern most part of Morgan Hill), San Mateo, Marin, Sonoma, Napa, Solano counties.

[email protected] or (510) 622-2369
Region 3 -- Central Coast Regional Water Quality Control Board:

Santa Clara (most of Morgan Hill), San Mateo (Southern portion), Santa Cruz, San Benito, Monterey, Kern (small portions), San Luis Obispo, Santa Barbara, Ventura (Northern portion) counties.

[email protected] or (805) 549-3147
Region 4 -- Los Angeles Regional Water Quality Control Board:

Los Angeles, Ventura counties (small portions of Kern and Santa Barbara counties). [email protected] or (213) 576-6600
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STATEWIDE SANITARY SEWER SYSTEMS GENERAL ORDER 2022-0103-DWQ ATTACHMENT F – REGIONAL WATER QUALITY CONTROL December 6, 2022

BOARD CONTACT INFORMATION
F - 2
Region 5 -- Central Valley Regional Water Quality Control Board:

Rancho Cordova (Sacramento) Office: Colusa, Lake, Sutter, Yuba, Sierra, Nevada, Placer, Yolo, Napa, (North East), Solano (West), Sacramento, El Dorado, Amador, Calaveras, San Joaquin, Contra Costa (East), Stanislaus, Tuolumne counties.

[email protected] or (916) 464-3291 Fresno Office: Fresno, Kern, Kings, Madera, Mariposa, Merced, and Tulare counties, and small portions of San Benito and San Luis Obispo counties.

[email protected] or (559) 445-5116 Redding Office: Butte, Glen, Lassen, Modoc, Plumas, Shasta, Siskiyou, and Tehama counties.

[email protected] or (530) 224-4845 Region 6 -- Lahontan Regional Water Quality Control Board:

Lake Tahoe Office: Alpine, Modoc (East), Lassen (East side and Eagle Lake), Sierra, Nevada, Placer, El Dorado counties.

[email protected] or (530) 542-5400 Victorville Office: Mono, Inyo, Kern (East), San Bernardino, Los Angeles (North East corner) counties.

[email protected] or (760) 241-6583 Region 7 -- Colorado River Basin Regional Water Quality Control Board:

Imperial county and portions of San Bernardino, Riverside, San Diego counties.

[email protected] or (760) 346-7491
Region 8 -- Santa Ana Regional Water Quality Control Board:

Orange, Riverside, San Bernardino counties.

[email protected] or (951) 782-4130
Region 9 -- San Diego Regional Water Quality Control Board:

San Diego county and portions of Orange and Riverside counties.

[email protected] or (619) 516-1990
End of Order 2022-0103-DWQ
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