**CONTENTS**

[**6.0** **online enforcement 6-1**](#online-enforcement)

[6.1 Enforcement Actions 6-1](#enforcement-actions)

[6.1.1 Model Changes for Enforcement Actions
6-1](#model-changes-for-enforcement-actions)

[6.1.2 Enforcement Action Page Flow 6-2](#enforcement-action-page-flow)

[6.2 Compliance Schedule 6-21](#compliance-schedule)

[6.2.1 Model Changes for Compliance Schedule
6-21](#model-changes-for-compliance-schedule)

[6.2.2 Compliance Schedule Page Flow
6-21](#compliance-schedule-page-flow)

[6.3 PN (Public Notice) Schedule 6-59](#pn-public-notice-schedule)

[6.3.1 Model Changes for PN Schedule
6-59](#model-changes-for-pn-schedule)

[6.3.2 PN Schedule Page Flow 6-59](#pn-schedule-page-flow)

[6.4 Assistance Actions 6-79](#assistance-actions)

[6.4.1 Model Changes for Assistance Actions
6-79](#model-changes-for-assistance-actions)

[6.4.2 Assistance Actions Page Flow 6-80](#assistance-actions-page-flow)

[6.5 Reports 6-92](#__RefHeading___Toc173637334)

[6.5.1 EBS Reports 6-92](#__RefHeading___Toc173637335)

[6.5.2 Annual Compliance Report 6-92](#__RefHeading___Toc173637337)

[6.5.3 Compliance Schedule Report 6-102](#__RefHeading___Toc173637338)

**EXHIBITS**

[**Exhibit 6-1.** SDWIS/STATE Home Page
6-1](#__RefHeading___Toc173637284)

[**Exhibit 6-2.** Enforcement Action Maintenance
6-2](#__RefHeading___Toc173637285)

[**Exhibit 6-3.** Enforcement Action Compliance Schedule Association
List 6-10](#__RefHeading___Toc173637286)

[**Exhibit 6-4.** Enforcement Action Search
6-13](#__RefHeading___Toc173637287)

[**Exhibit 6-5.** Enforcement Action Maintenance List
6-15](#__RefHeading___Toc173637288)

[**Exhibit 6-6.** Enforcement Action Association Delete Confirmation
6-20](#__RefHeading___Toc173637289)

[**Exhibit 6-7.** Enforcement Action Delete Confirmation
6-20](#__RefHeading___Toc173637290)

[**Exhibit 6-8.** Compliance Schedule Maintenance
6-23](#__RefHeading___Toc173637291)

[**Exhibit 6-9.** Close Compliance Schedule Advisory
6-28](#__RefHeading___Toc173637292)

[**Exhibit 6-10.** Scheduled Activity Delete Advisory
6-29](#__RefHeading___Toc173637293)

[**Exhibit 6-11.** Delete Compliance Schedule Activity
6-30](#__RefHeading___Toc173637294)

[**Exhibit 6-12.** Compliance Schedule Enforcement Action Association
6-33](#__RefHeading___Toc173637295)

[**Exhibit 6-13.** Copy Confirm 6-35](#__RefHeading___Toc173637296)

[**Exhibit 6-14.** Confirm Close Compliance Schedule
6-37](#__RefHeading___Toc173637297)

[**Exhibit 6-15.** Compliance Schedule Activity Maintenance
6-39](#__RefHeading___Toc173637298)

[**Exhibit 6-16.** Resolve Deficiency Advisory
6-44](#__RefHeading___Toc173637299)

[**Exhibit 6-17.** Overlapping Deficiency Warning
6-45](#__RefHeading___Toc173637300)

[**Exhibit 6-17a.** Create SOX/EOX & Supply Violation Period End Date
Advisory 6-45](#__RefHeading___Toc173637301)

[**Exhibit 6-18.** Compliance Schedule Maintenance List
6-48](#__RefHeading___Toc173637302)

[**Exhibit 6-19.** Delete Advisory -- Associated Violations and
Deficiencies 6-51](#__RefHeading___Toc173637303)

[**Exhibit 6-20.** Delete Compliance Schedule
6-52](#__RefHeading___Toc173637304)

[**Exhibit 6-21.** Compliance Schedule Search
6-54](#__RefHeading___Toc173637305)

[**Exhibit 6-22.** PN Schedule Search
6-60](#__RefHeading___Toc173637306)

[**Exhibit 6-23.** PN Schedule Maintenance
6-64](#__RefHeading___Toc173637307)

[**Exhibit 6-24.** PN Schedule Activity Maintenance List
6-67](#__RefHeading___Toc173637308)

[**Exhibit 6-25.** Delete PN Schedule Activity
6-70](#__RefHeading___Toc173637309)

[**Exhibit 6-26.** PN Schedule Activity Maintenance
6-71](#__RefHeading___Toc173637310)

[**Exhibit 6.27.** Create PN Violation Advisory
6-75](#__RefHeading___Toc173637311)

[**Exhibit 6-28.** Create SOX/EOX & Supply Violation Period End Date
Advisory 6-76](#__RefHeading___Toc173637312)

[**Exhibit 6-29.** Create SIF/EIF Advisory
6-78](#__RefHeading___Toc173637313)

[**Exhibit 6-30.** Assistance Action Search
6-80](#__RefHeading___Toc173637314)

[**Exhibit 6-31.** Assistance Action Maintenance List
6-84](#__RefHeading___Toc173637315)

[**Exhibit 6-32.** Confirm Deletion of Assistance Action with Associated
Water Systems 6-85](#__RefHeading___Toc173637316)

[**Exhibit 6-33.** Confirm Assistance Action Delete
6-86](#__RefHeading___Toc173637317)

[**Exhibit 6-34.** Assistance Action Maintenance
6-87](#__RefHeading___Toc173637318)

[**Exhibit 6-35.** Annual Compliance Reporting Interval
6-93](#__RefHeading___Toc173637319)

[**Exhibit 6-36.** Compliance Schedule Report Search
6-102](#__RefHeading___Toc173637320)

# online enforcement

## Enforcement Actions

The Enforcement Actions menu item on the SDWIS/STATE Home Page (Exhibit
6-1) will enable access to the following objects:

-   Enforcement Actions

-   Compliance Schedules

-   PN (Public Notification) Schedules

-   Assistance Actions

The Enforcement Reports are accessible from the client installation of
the Enforcement component and not from the web installation.

  ---------------------------------------------------- ----------------------------------------------------
  ![](media/image1.png){width="1.5972222222222223in"   ![](media/image2.png){width="4.723611111111111in"
  height="4.177083333333333in"}                        height="3.047222222222222in"}

  ---------------------------------------------------- ----------------------------------------------------

[]{#__RefHeading___Toc173637284 .anchor}**Exhibit 6-1.** SDWIS/STATE
Home Page

### Model Changes for Enforcement Actions

No model changes planned for this release.

### Enforcement Action Page Flow

When the user selects **Enforcement Action/Add** from the *Enforcement
Action* menu item on the *SDWIS/STATE Home Page*, the Enforcement Action
Maintenance page will be presented in add mode.

When the user selects **Enforcement Action/Maintain** from the
*Enforcement Action* menu item on the *SDWIS/STATE Home Page*, the
Enforcement Action Search page will be presented.

####  Enforcement Action Maintenance

Exhibit 6-2 depicts the Enforcement Action Maintenance page.

![](media/image3.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637285 .anchor}**Exhibit 6-2.** Enforcement
Action Maintenance

[Protected Fields:]{.underline}

*Water System Name* The name of the selected water system for which the
enforcement action is issued.

*\[Enforcement Action\] Name* The name of the enforcement action
determined by the action type.

*Use for Federal Reporting:* The action type code designated as the
override code for the state-defined action type.

*FedRep ID* The external system number generated when enforcement action
is created. This number is used for federal reporting.

[Entry Fields:]{.underline}

*Water System No.* The number of the selected water system for which the
enforcement action is issued. This field will be protected in change
mode.

In add-mode, if the water system number was provided as search criteria
to the Enforcement Action Maintenance List, it will be passed forward
into this page, but can be changed prior to the **OK** button being
selected.

The state-code portion of the water system number will be pre-filled
with the default installation state code value.

*Action Type* A three-character code that identifies the kind of
enforcement action taken against a water system. These include the 69
follow-up actions that EPA has defined as well as any action types that
have been added by the SDWIS/STATE Administrator.

This is a required field. If left blank, the error message will be **An
Action Type must be specified.** This field will be protected from
modification in change-mode.

*Enforcement Action Year* The input field represents the year, which is
determined via the status date.

This is a required field. If left blank, the error message will be
**Year is a required field**.

Since the year is no longer utilized as an identifying component in
federal reporting, the field can be changed without advisory.

*State Asgn ID No.* The state assigned identification number of the
enforcement action. This field is used strictly for state tracking
purposes.

This is an optional field.

*Regulating Agency* The government agency that took the enforcement
action. This field will default to the state primacy agency.

This is a required field and if left blank, the message will be
**Regulating Agency must be specified.** If a value is specified that is
not a valid value, the Legal Entity Maintenance List will be presented
in single-select mode.

*Status* The status of the enforcement action. The valid selections are:

Potential

Taken (the default value)

Rejected

This is a required field. The error message will be **Status and Status
Date must be entered.**

*Compliance Officer* The name of the compliance officer presented as
lastname, firstname. If the supplied value is not a valid INDIVIDUAL
LEGAL_ENTITY, the Legal Entity Maintenance page will be presented in
single-select mode. The list will contain only legal_entities of
type-code "IN."

This is an optional field.

*Status Date* The date that the enforcement action entered the status
designated in the Status Code field. The field will default to current
date in add mode.

This is a required field. The error message will be **Status and Status
Date must be entered.**

*Comments* A text field where comments can be entered about the
enforcement action.

This is an optional field.

*Data Origin* This code indicates if the enforcement action originated
from a region, state, or headquarters. If the Primacy Agency is defined
as type Regional (RG), the origin will default to Region. If the primacy
agency is defined as type State (ST), the origin will default to State.
The valid selections are:

> Headquarters
>
> Region
>
> State

This is a required field and cannot be left blank.

[Associated Violations List Box:]{.underline}

This list box allows for the association of violations that are the
cause for the enforcement action to be taken. Violations are associated
and disassociated using the buttons.

*\[Violation\] Year* The year of the violation assigned to the
enforcement action.

*\[Violation\] FedRep ID* The external system number of the violation
assigned to the enforcement action.

*Status* The status of the violation assigned to the enforcement action.

*Vio. Type* The violation type number of the violation assigned to the
enforcement action.

*Analyte Code* The analyte (or analyte group) four-digit code of the
analyte for which the violation was generated.

*Analyte Name* The name of the analyte (or analyte group).

*State Period*

*Begin Date* The begin date of the state violation period for which the
association violation was issued.

*State Period*

*End Date* The end date of the state violation period for which the
associated violation was issued.

*Federal Period*

*Begin Date* The begin date of the federal violation period for which
the association violation was issued.

*Federal Period*

*End Date* The end date of the federal violation period for which the
associated violation was issued.

*Analyte Result/UM* The analyte result measurement that caused the
violation to be issued.

*Determination Date* The date the violation was identified.

[Buttons:]{.underline}

\[Water System\]

**Go To** Will present the Water System Maintenance List in
single-select mode where a water system may be selected and returned to
the input field. Only water systems that are part of the current group
assignment will be listed. The name of the selection will also be
updated on the page.

\[Action Type\]

**Go To** Will present the Action Type Maintenance List in single-select
mode where an action type may be selected and returned to the input
field.

\[Regulating Agency\]

**Go To** Will present the Legal Entity Maintenance List in
single-select mode where a regulating agency may be selected and
returned to the input field. The list will contain only legal_entities
of type-code "GA" which have the regulating_agency_indicator set to "Y."

\[Compliance Officer\]

**Go To** Will present the Legal Entity Maintenance List in
single-select mode where a compliance officer name may be selected and
returned to the input field. The list will contain only legal_entities
of type-code "IN."

**Associate** Will present the Violation Maintenance List where a
violation may be selected and returned to the list box. The violation
will not be associated to the enforcement action until the **OK** button
is pressed.

If a desired violation is not in the list, it may be added using the
**Edit/Add** menu selection.

This button will only be available when a valid Action Type, Regulating
Agency, Status, and Data Origin have been provided.

**Disassociate** Will mark the highlighted violation as being
disassociated from the enforcement action. The violation will be removed
from the list area display. The disassociation will not actually occur
until the **OK** button is pressed.

This button will only be available when a violation has been highlighted
in the list area.

**Schedule** For action types of SIE or EIE, this button will present
the PN Schedule Activity Maintenance List where a Public Notice Activity
can be assigned to the enforcement action.

> For all other action types, this button will present the Enforcement
> Action Compliance Schedule Association List where a compliance
> schedule can be assigned to the enforcement action.

This button will only be available in add mode when the Action Type
field contains a value other than SIE or EIE. This button is always
available in change mode.

**OK** If the action type is one of (SOX, EOX, SO6, EO6, SO0, EO0) and
the enforcement action status is "Taken," the assigned violations will
be evaluated to see if there are any associated violations that are in
validated status and have a populated federal period begin date prior
(less than or equal) to the enforcement action status date, and a
federal violation period end date = nulls. (B.6.1.2.1.a) If any are
found, the following advisory will be presented, providing an
opportunity to update the violation(s) federal period end date and/or
state period end date with the status date of the enforcement action.
The advisory says:

> **This Enforcement Action was found to be associated to one or more
> validated violations that have a Federal Period Begin Date prior to
> the Enforcement Action Status date and no Federal Period End date. **
>
> **Would you like to update the violation's Federal Violation Period
> End date (and State Violation Period End Date if also absent) to the
> Enforcement Action Status Date?** **(B.6.1.2.1.b)**
>
> [Buttons]{.underline} (B.6.1.2.1.c)
>
> **YES** Will update the association violation's federal violation
> period end date from null to the enforcement action status date. For
> the same violation, if the state period end date is null and the state
> period begin date is less than or equal to the enforcement action
> status date, update the state period end date to the enforcement
> action status date. Proceed with **OK** button processing.
>
> **NO** Proceed with **OK** button processing.
>
> Add-mode Will edit the water system number as follows:

-   If the water system number is not provided, the error message will
    be **Water System No. must not be blank.**

-   If the water system number is found but is not a part of the current
    water system group assignment, the error message will be **WS is not
    part of current group/agency. Change group/agency to access this
    WS.**

-   If the water system number is not found, the Water System
    Maintenance List will be presented in single-select mode where a
    water system may be selected and returned to the input field. Only
    water systems that are part of the current group assignment will be
    listed. The name of the selection will also be updated on the page.

> Will perform the following database activities:

-   Create the enforcement action and associate it to the water system,
    action type, and regulating agency.

-   If a valid compliance officer was supplied, associate it to the
    legal entity. If it was not found, no associate will be made nor
    will an error message be displayed.

-   For each violation in the list, a violation_enf_action_asgmt will be
    created and associated to the enforcement action and violation.

-   If the violation advisory was presented and yes was selected, the
    federal violation period end date will be updated with the
    enforcement action status date if it is null.

-   If the violation advisory was presented and yes was selected, the
    state violation period end date will be updated with the enforcement
    action status date if it is null.

-   If compliance schedules were assigned, each will be associated to
    the enforcement action.

> Change-mode Will perform the following database activities:

-   Update the enforcement action.

-   Change the regulating agency.

-   Add, Change, or Remove the compliance officer.

-   Add or Remove associated violations.

-   Update the federal violation period end date if requested.

-   Update the state violation period end date if requested.

-   Add or Remove associated compliance schedules.

-   Assign PN schedule activities.

> Upon successful completion, the Enforcement Action Maintenance List
> will be presented.

**Cancel** Will present the standard cancel confirmation page in add
mode or if data has been updated in change mode.

**Help** Will invoke the system online Help facility for this page.

**Scroll Buttons** Will scroll the list box in the direction of the
arrow displayed on the button.

####  Enforcement Action Compliance Schedule Association List

Exhibit 6-3 depicts the Enforcement Action Compliance Schedule
Association List page.

[Protected Fields:]{.underline}

*Enforcement Action* Contains information about the enforcement action
for which compliance schedules may be linked.

*Water System No.*

*and Name* The number and name of the water system to which the
enforcement action was taken.

*Enforcement Action Year* The year of the enforcement action.

*FedRep ID* The external system number of the enforcement action.

![](media/image4.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637286 .anchor}**Exhibit 6-3.** Enforcement
Action Compliance Schedule Association List

*Action Type* The three-character code indicating the type of
enforcement action.

*Status and Status Date* The current status of the enforcement action
and the date the enforcement action entered that status.

*Use for Federal Reporting:* The override code that will be used for
Federal in place of the state's action type.

[List Items:]{.underline} Lists compliance schedules associated to the
enforcement action in descending order by the compliance schedule's
sequence number.

*Schedule No* The compliance schedule number.

*Status* The current status of the compliance schedule.

*Status Date* The date the compliance schedule entered the current
status.

*Effective Date* The effective date of the compliance schedule.

*Closed Date* The date the compliance schedule closed.

*Type* The compliance schedule type.

[Buttons:]{.underline}

**Associate** Will present the Compliance Schedule Maintenance List. The
list will be presented with a message when no compliance schedules
qualify so that a new compliance schedule could be added. Compliance
Schedules selected will be displayed in the list area and marked for
association. Associations will not occur until the **OK** button is
pressed on the Enforcement Maintenance Page. If **Cancel** is pressed,
the association will be aborted and the compliance schedule will not be
associated to the enforcement action.

**Disassociate** Will remove the highlighted compliance schedule from
the list area and mark it to be disassociated from the enforcement
action. The actual disassociation will not occur until the **OK** button
is pressed on the Enforcement Maintenance Page. If **Cancel** is
pressed, the disassociate will be aborted and the compliance schedule
will remain associated to the enforcement action.

**OK** Will return to the Enforcement Action Maintenance page. Any
compliance schedules marked for association or disassociation will be
processed with the **OK** button on the Enforcement Action Maintenance
Page.

**Cancel** Will close the page and return to the Enforcement Action
Maintenance page. If changes have been made to the maintenance
information, the standard cancel confirmation dialog will be presented.

**Help** Will invoke the system online Help facility.

**Scroll Buttons** Will scroll the list box in the direction of the
arrow displayed on the button.

####  Enforcement Action Search

Exhibit 6-4 depicts the Enforcement Action Search page.

[Protected Fields:]{.underline}

*Reg Agency Used* The regulating government agency set as the user's
current group.

OR

*WS Group Used* The water system group name set as the user's current
group.

[Entry Fields:]{.underline}

*Water System No.* The specific Water System No., which consists of the
two-character state code plus the seven-character number field.

> The state code portion will default to the state_identification_code
> in the SYSTEM_VARIABLE entity view.
>
> The cursor should be located in the first position of the numeric
> portion of the Water System No.
>
> The supplied number must be a member of the current group. If it is
> not, the error message will be **WS is not part of current
> group/agency. Change group/agency to access this WS.**

This is an optional field. When a value is supplied, only enforcement
actions for the supplied water system will be listed.

![](media/image5.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637287 .anchor}**Exhibit 6-4.** Enforcement
Action Search

*Enforcement Action Year* The enforcement action year.

This is an optional field.

> When a value is supplied, only enforcement actions for that
> enforcement action year will be listed.

*FedRep ID* The external system number.

This is an optional field.

> When a value is supplied, only enforcement actions for that external
> system number will be listed.

*Action Type* The three-character action type code for the enforcement
action. The input value must be a valid type. If it is not, the Action
Type Maintenance List will be presented in single-select mode.

*Enforcement Action Status* The status of the listed enforcement
actions. The valid selections via the dropdown list are:

Potential

Rejected

Taken (the default value)

The resulting list will contain only enforcement actions of the status
selected.

*Status Date Range Between*

*\[begin date\] AND \[end date\]* A date range that is used to select
enforcement actions with a status date within (and inclusive of) the
dates provided.

The default begin date is calculated as 6 months before the current
date. The default end date is the current date.

The begin date must be prior to the end date when it is provided. If it
is not, the error message will be **Status To Date must be greater or
equal to Status From Date.**

[Buttons:]{.underline}

\[Water System No\]

**Go To** Will present the Water System Maintenance List in
single-select mode. The list will only display water systems that are
part of the current group.

\[Action Type\]

**Go To** Will present the Action Type Maintenance List in single-select
mode.

**Search** Will utilize the input provided and return the resulting
enforcement actions on the Enforcement Action Maintenance List.

**Clear** Will clear all values from the entry fields, including the
enforcement action status and the status date range.

**Cancel** Will close the search page and return to the prior page where
the search was invoked.

**Help** Will invoke the system online Help facility.

####  Enforcement Action Maintenance List

Exhibit 6-5 depicts the Enforcement Action Maintenance List page.

[Toolbar Icons:]{.underline}

![](media/image6.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Water System Information page, which will display basic inventory
information for the given Water System.

![](media/image7.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Historical Sampling Information page, which will display protected
information on samples collected for the given water system.

![](media/image8.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Related POC Maintenance List page, which will display a list of legal
entities and individuals (e.g., operators, engineers) associated with
the given Water System.

These icons are enabled once and Enforcement Action has been highlighted
in the list area.

![](media/image9.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637288 .anchor}**Exhibit 6-5.** Enforcement
Action Maintenance List

[Enforcement Actions List Box]{.underline}

Default Sort Order: Status Date descending, Water System No. ascending,
Year descending, FedRep ID ascending.

*Year* The year of the enforcement action.

*FedRep ID* The external system number of the enforcement action used
for federal reporting.

*Water System No.* The Water System No. to which the enforcement action
was taken.

*Status/Date* The status code of the enforcement action and date that
the enforcement action entered that status. Status Codes are:

> T = Taken
>
> P = Potential
>
> R = Rejected

*Action Type* The action type code that describes the enforcement
action.

*Water System Name* The name of the water system.

[Associated Compliance Schedules List Box]{.underline}

When an enforcement action is highlighted in the Enforcement Actions
list box, the Compliance Schedules list box will display any compliance
schedules that have been associated to the highlighted enforcement
action. When no enforcement action is highlighted, the list box should
be empty. When the enforcement action changes, the contents of the list
box will be updated.

Default Sort Order: Effective date descending.

*No.* The number of the compliance schedule.

*Status* The status of the compliance schedule.

*Status Date* The date that the compliance schedule entered the current
status.

*Effective Date* The date that the compliance schedule became effective.

*Closed Date* The date that the compliance schedule was closed.

*Schedule Type* The type code that describes the compliance schedule.

*Number of rows displayed:* The number of compliance schedules displayed
in the list box associated to the highlighted enforcement action.

[Associated Violations List Box]{.underline}

When an enforcement action is highlighted in the Enforcement Actions
list box, the Violations list box will display any violations that have
been associated to the highlighted enforcement action. When no
enforcement action is highlighted, the list box should be empty. When
the enforcement action changes, the contents of the list box should be
updated.

Default Sort Order: Year descending, FedRep ID descending.

*Year* The year of the violation.

*FedRep ID* This number is represented by the system external system
number and is used for federal reporting.

*Vio Type* The violation's type that describes why the violation was
issued.

*Status* The status of the violation.

*Analyte Code* The analyte (or analyte group) code for which the
violation was issued.

*State Period Begin Date* The start date of the state period in which
the violation occurred.

*State Period. End Date* The end date of the state period in which the
violation occurred.

*Federal Period. Begin Date* The start date of the federal period in
which the violation occurred.

*Federal Period. End Date* The end date of the federal period in which
the violation occurred.

*Number of rows displayed:* The number of violations displayed in the
list box associated to the highlighted enforcement action.

[Protected Fields:]{.underline}

*WS Group Used* OR

*Reg Agency Used* The regulating agency or water system group that is
set as the user's current assignment.

*Number of rows resulting from*

*the search criteria entered:* The number of enforcement actions in the
database that met the search criteria. The list box will display the
first 1000.

*Number of rows displayed:* The number of enforcement actions displayed
in the list box. This number will vary from the number resulting when
the resulting rows is greater than 1000 or when the filter menu option
has been used.

[Menu Items:]{.underline}

**File**

*Exit* Will return to the prior page or home page.

**Edit**

*Add* Will present the Enforcement Action Maintenance page where a new
enforcement action can be created. This menu item will be available
regardless of a selection having been made in the list box.

*Change* Will present the Enforcement Action Maintenance page where the
selected enforcement action can be modified. This menu item will only be
available when an enforcement action has been highlighted in the
enforcement action list box.

A double-click on an enforcement action row will function as a change
request.

*Delete* If the enforcement action is found to have associations to
Public Notification Activities and those Public Notification Activities
have associated violations, the error message will be **Associated PN
Activity has violations that must be removed in order to proceed.**

> If the enforcement action is found to have associations to either
> violations or compliance schedules, a confirmation will be presented
> (Exhibit 6-6) warning of the associations and providing an opportunity
> to stop the delete. When choosing to continue with the delete via the
> **Yes** button, the delete confirmation dialog will be presented.
>
> ![](media/image10.png){width="4.645833333333333in"
> height="3.0416666666666665in"}

[]{#__RefHeading___Toc173637289 .anchor}**Exhibit 6-6.** Enforcement
Action Association Delete Confirmation

> If none of the above conflicting associations are found, the delete
> confirmation (Exhibit 6-7) dialog will be presented requiring
> confirmation that the displayed enforcement action should be deleted.
>
> ![](media/image11.png){width="5.997222222222222in"
> height="2.1881944444444446in"}

[]{#__RefHeading___Toc173637290 .anchor}**Exhibit 6-7.** Enforcement
Action Delete Confirmation

[Buttons:]{.underline}

> **Yes** The ENFORCEMENT_ACTION will be deleted. If it was associated
> to a violation, the VIOLATION_ENF_ACTION_ASGMT will also be deleted.
> If it was associated to a Public Notification Activity without
> violations, the Public Notification Activity will be deleted. The
> Compliance Schedules will be disassociated.
>
> **No** Will abort the delete request and return to the Enforcement
> Action Maintenance List.

**View**

> *Filter By* Will invoke the filter options where the list area may be
> filtered by a specific enforcement number, Water System No. status,
> status date, action type, or water system name.
>
> *Refresh* Will remove any filter criteria and return an unfiltered
> list. This item will only be available if the list is currently
> filtered.
>
> *Search* Will present the Enforcement Action Search page where prior
> criteria will be present.
>
> *Sort* Will present the standard sort dialog where the list area can
> be sorted by enforcement number, Water System No., status, status
> date, action type, and water system name. Three levels of sorting will
> be supported.

**Help** Will invoke the online system Help.

[Buttons:]{.underline}

**Menu Items** Will present the standard menu items dialog box.

**Scroll Buttons** Will scroll the list box in the direction of the
arrow displayed on the button.

## Compliance Schedule

### Model Changes for Compliance Schedule

No model changes planned for this release.

### Compliance Schedule Page Flow

When the user selects **Compliance Schedule/Add** from the *Enforcement
Action* menu item on the *SDWIS/STATE Home Page*, the Compliance
Schedule Maintenance page will be presented in add mode.

When the user selects **Compliance Schedule/Maintain** from the
*Enforcement Action* menu item on the *SDWIS/STATE Home Page*, the
Compliance Schedule Search page will be presented.

####  Compliance Schedule Maintenance

Exhibit 6-8 depicts the Compliance Schedule Maintenance page.

When this page is invoked from Site Visit Maintenance, users will not be
able to change or delete compliance schedule activities, or associate,
or disassociate deficiencies to a compliance schedule activity. Users
will only be able to maintain/add a compliance schedule and add schedule
activities to it. This means that the following buttons will be
protected when Compliance Schedule Maintenance is invoked from Site
Visit Maintenance (via the **Custom Response** button):

-   \[Compliance Schedule Activities\] **Change**.

-   \[Compliance Schedule Activities\] **Delete**.

-   \[Associated Deficiencies\] **Associate**.

-   \[Associated Deficiencies\] **Disassociate**.

-   \[Compliance Schedule\] **Enf. Actions**.

-   \[Compliance Schedule\] **Copy**.

![](media/image12.png){width="6.493055555555555in"
height="4.918055555555555in"}

[]{#__RefHeading___Toc173637291 .anchor}**Exhibit 6-8.** Compliance
Schedule Maintenance

[Toolbar Icons:]{.underline}

![](media/image6.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Water System Information page, which will display basic inventory
information for the given Water System.

![](media/image8.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Related POC Maintenance page, which will display a protected list of
legal entities and individuals (e.g., operators, engineers) associated
with the given Water System.

![](media/image13.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Violation Information page, which will display violations incurred by
the given Water System and enforcement actions related to those
violations.

![](media/image14.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Enforcement Action Information page, which will display enforcement
actions applied to the given Water System and violations related to
those enforcement actions.

![](media/image7.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Historical Sampling Information page, which will display protected
information on samples collected for the given water system.

[Protected Fields:]{.underline}

Water System Group Box:

*\[Water System\]*

*Name* Name of the water system.

*\[Compliance*

*Schedule\] No.* A five-digit system-generated number that maps to
Sequence_Number in COMPLIANCE_SCHEDULE. This protected field will
initially be set to zero (0) when the compliance schedule is being
added. The Compliance Schedule No. will be incremented per water system
(the software will check entity EXTERNAL_SYSTEM_NUMBER \[where
Table_Name is TENSCHD and related to current Water System\] to determine
the next external system number) and it will be use as the identifier in
case compliance schedule is federally reported.

[Entry Fields:]{.underline}

*Water System No.* The number of the selected water system for which the
compliance schedule is issued. This field will be protected in change
mode.

In add-mode, if the water system number was provided as search criteria
to the Compliance Schedule Maintenance List, it will be passed forward
into this page, but can be changed prior to the **OK** button being
selected.

The state-code portion of the water system number will be pre-filled
with the default installation state code value.

*State Asgn ID No.* An identifying alphanumeric field for the compliance
schedule that may be assigned by the state.

The State Asgn ID No. field will be optional.

*Description* The user may enter any narrative information about the
compliance schedule. This field can contain up to 2000 characters.

This is an optional field.

*Regulating Agency* The regulating government agency responsible for the
compliance schedule. It can be changed to another regulating agency. If
the value supplied is not a valid regulating agency, the Legal Entity
Maintenance List will be presented in single-select mode upon tabbing
off or clicking out of the field. The list will contain only government
agency types of legal entities with a regulating_agency_indicator set to
"Y."

The Regulating Agency field will be mandatory. In Add mode, this field
will be defaulted to the primacy agency.

*Compliance Officer* A compliance officer's name may be entered. The
name should be entered in the format lastname, comma, space, firstname
(e.g., Doe, John). If the compliance officer is not found, the Legal
Entity Maintenance List will be presented in single-select mode upon
tabbing off or clicking out of the field. The list will contain only
individual types of legal entities.

> The Compliance Officer field will be optional.

*Schedule Type* An alphanumeric, four-character field with permitted
values controlled by the SDWIS/STATE Administrator using the Permitted
Values function. The permitted values available from the dropdown list
will be retrieved from the CODE table, table_name of TENSCHD1.

*Effective Date* Date the compliance schedule will be effective. A
calendar function will allow the user to more easily enter dates for
this field. The Effective Date field will be optional.

> If Closed Date is valued and an Effective Date is populated with a
> date on or after Closed Date, the following error message will be
> invoked: **Effective Date must be prior to Closed Date**. The software
> will set the effective date to a day before closed date (e.g., Closed
> Date -- 1 day).

*Status* Permitted values in this field will be as follows:

\<spaces\>

F Final

P Proposed

S Superseded

> If this page is invoked from Site Visit Maintenance page and it is in
> Add mode, the software will default this field to "F - Final."

*Closed Date* Date the compliance schedule was closed. A calendar
function will allow the user to more easily enter dates for this field.
The Closed Date field will be optional.

> If Effective Date is valued and a Closed Date is populated with a date
> on or before the Effective Date, the following error message will be
> invoked: **Closed Date must be after the Effective Date**. The
> software will set the close date to a day after the effective date
> (e.g., Effective Date + 1 day).

*Status Date* Date of the compliance schedule's last status update. A
calendar function will allow the user to more easily enter dates for
this field.

> The Status Date field will be optional.
>
> If this page is invoked from Site Visit Maintenance page and it is in
> Add mode, the software will default this field to current date.

[List Boxes:]{.underline}

Compliance Schedule Activities Group Box:

The Compliance Schedule Activities Group Box lists the activities to be
completed in order for the water system to return to compliance or
correct the deficiencies. The activities can be added or maintained by
using the buttons contained within the group box.

The Compliance Schedule Activities Group Box will not be activated until
the compliance schedule has been added. This list will display up to 200
schedule activities.

The fields listed in Compliance Schedule Activities list will be Name,
Due Date, Achieved Date, Condition (Derived) \[by software\], Vio Type,
Reported Date, and Projected Date. Refer to the Compliance Schedule
Activity section of this document for definition of the displayed
values. Sort will be by Condition (1-Pending, 2-Overdue, 3-On Time,
4-Late) and Activity Name.

The group box will contain the following buttons: Compliance Schedule
Activities **Add**, Compliance Schedule Activities **Change**, and
Compliance Schedule Activities **Delete**. Refer to the end of this
section for an explanation of these buttons.

When the user highlights a schedule activity, all the deficiencies
associated to this selected schedule activity will be shown in the
Associated Deficiencies list.

Associated Deficiencies Group Box:

The Associated Deficiencies Group Box will consist of the associated
deficiencies list and two buttons: **Associate** and **Disassociate**.

The Associated Deficiencies Group Box will be provided to display the
deficiencies currently associated to the highlighted Compliance Schedule
Activity.

The fields listed in Associated Deficiencies Group Box will be
\[Deficiency\] No., Severity, Category, Date Identified, WSF State Asgn
ID, Description, WS Notification Date, Resolved Date, WSF Name, and WSF
Activity Status. The two Description fields will be concatenated into
one and only displaying the one that is valued. If both are valued, both
will be displayed (permitted value first) with a dash between them. Sort
will be by Deficiency No.

[Tab Sequence:]{.underline}

Water System No., State Asgn ID No., Description, Regulating Agency,
Regulating Agency **Go To** button, Compliance Officer, Compliance
Officer **Go To** button, Schedule Type, Effective Date, Status, Closed
Date, Status Date, \[Compliance Schedule Activities\] **Add** button,
\[Compliance Schedule Activities\] **Change** button, \[Compliance
Schedule Activities\] **Delete** button, \[Associated Deficiencies\]
**Associate** button, \[Associated Deficiencies\] **Disassociate**
button, **Enf. Actions** button, **Copy** button, **OK** button,
**Cancel** button.

[Buttons:]{.underline}

\[Water System\]

**Go To** Will present the Water System Maintenance List in
single-select mode where a water system may be selected and returned to
the input field. Only water systems that are part of the current group
assignment will be listed. The name of the selection will also be
updated on the page.

\[Compliance

Schedule Activities\]

**Add** Pressing this button will invoke the Compliance Schedule
Activity Maintenance page in Add mode where, the user may add a new
schedule activity for the current compliance schedule. This button will
always be enabled. In Add-mode, pressing the button will perform all
functionality of the **OK** button in regards to editing and processing.
The Compliance Schedule will be created at that point and then proceed
to the Compliance Schedule Activity Maintenance page in add-mode.

If a scheduled activity has been added in the Compliance Schedule
Activity page, the software will perform the following action when the
user returns to this page:

If all the scheduled activities associated to the compliance schedule
have been achieved (e.g., Achieved Date is not null) and the compliance
schedule is open (e.g., Closed Date is null), the software will invoke
Close Compliance Schedule Advisory (Exhibit 6-9).

![](media/image15.png){width="3.5208333333333335in"
height="2.2291666666666665in"}

[]{#__RefHeading___Toc173637292 .anchor}**Exhibit 6-9.** Close
Compliance Schedule Advisory

[Close Compliance Schedule Advisory Buttons:]{.underline}

**Yes** Will update the Closed Date field of compliance schedule to the
Achieved Date field of the associated scheduled activity that has the
most recent achieved date; however, the commit to the database will not
occur at this point.

**No** Will close the popup.

\[Compliance

Schedule Activities\]

**Change** Pressing this button will invoke the Compliance Schedule
Activity Maintenance page in Change mode. This button will be enabled
only when a schedule activity is highlighted.

> If the selected scheduled activity has been changed in the Compliance
> Schedule Activity page, upon return to this page, the software will
> perform similar action as specified in \[Compliance Schedule
> Activities\] **Add** button.

\[Compliance

Schedule Activities\]

**Delete** This button will be enabled only when a Scheduled Activity
has been highlighted. If the user presses this button and the Compliance
Schedule Activity has already been associated to a violation or
deficiency, the software will return an advisory (Exhibit 6-10).

![](media/image16.png){width="5.145833333333333in"
height="4.166666666666667in"}

[]{#__RefHeading___Toc173637293 .anchor}**Exhibit 6-10.** Scheduled
Activity Delete Advisory

> [Buttons:]{.underline}
>
> **Yes** Will disassociate the selected Compliance Schedule Activity
> from all associated violations and deficiencies and delete the
> Compliance Schedule Activity. Upon completion it will return to the
> Compliance Schedule Maintenance page with the deleted compliance
> schedule activity removed from the display.
>
> **No** Will abort the delete request and return to the Compliance
> Schedule Maintenance page.

If the current compliance schedule activity is not linked to any
violation or deficiency, the software will continue to display the
Delete Compliance Schedule Activity confirmation (Exhibit 6-11).

![](media/image17.png){width="5.145833333333333in"
height="3.7083333333333335in"}

[]{#__RefHeading___Toc173637294 .anchor}**Exhibit 6-11.** Delete
Compliance Schedule Activity

> [Delete Compliance Schedule Activity Protected Fields:]{.underline}

Water System

No.

> *and Name* The number and name of the water system.
>
> *Schedule No.* Five-digit External System Number of the compliance
> schedule.
>
> *Effective Date* The date on which the compliance schedule becomes
> effective.
>
> *Activity*
>
> *Name* Name of the compliance schedule activity.
>
> *Due Date* The date on which the compliance schedule activity is
> expected to be completed.
>
> *Reported*
>
> *Date* The date on which the completion of the compliance schedule
> activity was reported by the public water system to the primacy
> agency.
>
> *Condition* Will indicate whether the schedule activity is overdue, on
> time, pending, or late based on the given due date and reported date.
>
> *Vio Type* The violation type to be used when creating a candidate
> violation (determined based on a failure to accomplish this activity
> on time).
>
> [Delete Compliance Schedule Activity Buttons:]{.underline}
>
> **Yes** Will delete the selected Compliance Schedule Activity and
> return to the Compliance Schedule Maintenance page with the deleted
> schedule activity removed from the display.
>
> Note that when a schedule activity is deleted, any deficiency records
> that reference it will be automatically (cascade) deleted and the
> commit to the database will occur at this point.
>
> **No** Will abort the delete request and return to the Compliance
> Schedule Maintenance page.

\[Associated

Deficiencies\]

**Associate** This button will be enabled only when a Scheduled Activity
has been highlighted. (The Compliance Scheduled Activities list will be
a single-select list). If the user presses this button and the
Compliance Schedule has already been associated to a Site Visit, the
Deficiency Maintenance List (described in Chapter 8) will be presented
in multi-select mode, showing all deficiencies associated to the site
visit (linked to the current compliance schedule). If the current
compliance schedule has no site visit, the software will display the
Site Visit Maintenance List, displaying all the site visits for the
water system referenced by the Compliance Schedule that are not yet
linked to any compliance schedule. A Site Visit must already exist
before a user can associate Compliance Schedule Activities to
Deficiencies from the Compliance Schedule Maintenance page. As described
in Chapter 8, the user must select a site visit that has one or more
Deficiencies that the user wants to associate to the Compliance
Schedule. Once the user highlights a Site Visit record and selects
**Edit/Select** (this will be the only **Edit** function available when
flowing to the Site Visit Maintenance List from here), the Deficiency
Maintenance List will be displayed in multi-select mode as described
above.

> From the multi-select Deficiency Maintenance List, pressing **Select**
> will associate the Site Visit to the Compliance Schedule (if this has
> not yet occurred). The software will then check the highlighted
> compliance schedule activity and apply the following uniqueness
> criteria:
>
> If a Scheduled Activity exists for the same Compliance Schedule, and
> the same Activity Type, and the same Due Date; and it is linked to the
> same Deficiency, the candidate Scheduled Activity would be considered
> a duplicate and will not be created. If, however, there is a Scheduled
> Activity for the same Compliance Schedule and the same Activity Type
> and the same Due Date, but not the same Deficiency, the software will
> link it to the selected deficiency.
>
> (To make it consistent with the current Compliance Schedule, this
> change will be committed to the database at this point.) The maximum
> number of Deficiency records that can be assigned at once will be 100.

\[Associated

Deficiencies\]

**Disassociate** This button will be enabled only when one or more
records from the Associated Deficiencies List has been highlighted.
Pressing this button will remove (disassociate) any selected
deficiencies from the scheduled activity highlighted in the Compliance
Scheduled Activities List. No disassociate confirmation dialog box will
be displayed. (To make this disassociation consistent with the current
Compliance Schedule, this change will be committed to the database at
this point.)

**Enf. Actions** When the user presses this button, if the Compliance
Schedule is associated to an Enforcement Action, the software will
invoke Compliance Schedule Enforcement Action Association dialog box;
otherwise, it will invoke the Enforcement Action Maintenance List where
an enforcement action record may be selected (or created) and assigned
to the current compliance schedule.

If an enforcement action is selected from the Enforcement Action
Maintenance List, the association between the selected enforcement
action and the compliance schedule will be committed to the database
prior to the display of Compliance Schedule Enforcement Action
Association dialog box (Exhibit 6-12).

> The Compliance Schedule Enforcement Action Association dialog box will
> enable the user to disassociate an enforcement action from a
> compliance schedule.

![](media/image18.png){width="4.364583333333333in"
height="2.5833333333333335in"}

[]{#__RefHeading___Toc173637295 .anchor}**Exhibit 6-12.** Compliance
Schedule Enforcement Action Association

> [Compliance Schedule Enforcement Action Association Protected
> Fields:]{.underline}

Enforcement Action

> *Year* The year of the enforcement action.
>
> *FedRep ID* The external system number.
>
> *Status* This field will be the status of the enforcement action
> (e.g., Potential, Taken, or Rejected).
>
> *Action Type* A three-character code that defines the kind of
> enforcement action taken against a water system. The permitted values
> include the 69 follow-up actions defined by EPA and action types added
> by the SDWIS/STATE Administrator. (Will map to attributes
> Location_Type_Code, Formal_Type_Code, and Sub_Category_Code in entity
> ACTION_TYPE.)
>
> *Status Date* The date of the last status update of enforcement
> action.
>
> [Compliance Schedule Enforcement Action Association
> Buttons:]{.underline}
>
> **Disassociate** Will clear data from all fields on this dialog box
> and then, will disable this button. The disassociation will not occur
>
> at this point; it will only be committed to the database when the user
> clicks the **OK** button.
>
> **OK** Click on the **OK** button to accept the criteria and perform
> the action.

-   If all fields in the dialog box are shown as zero or blank (i.e.,
    the user has clicked on **Disassociate** button), the software will
    disassociate the compliance schedule from enforcement action. (This
    change will be committed to the database at this point.)

```{=html}
<!-- -->
```
-   If the user has not clicked on **Disassociate** button, the software
    will close this dialog box.

> **Cancel** Will return the user to the previous page.

**Copy** Will copy the current compliance schedule to another water
system, including associations between the Schedule Activities and
Violation Types. This function is helpful when several water systems
must be placed on the same or similar compliance schedules. It will
display the Water System Search page where the user may initiate the
selection of a Water System with which the copy will be associated. Once
the user has specified a valid target water system, either by entering
it in the Water System Search or selecting it from the Water System
Maintenance List, the software will then display Copy Confirm dialog box
(Exhibit 6-13) requiring the user to select **Yes** or **No**.

Clicking on the **Copy** button will not make a copy of the Compliance
Schedule's association to a Site Visit or a copy of the associations
between the Scheduled Activities and Deficiencies, nor will it make a
copy of the Compliance Schedule's association to an Enforcement Action.

> In addition, the software will ensure that the target water system for
> the copy is part of the user's current Water System Group or
> Regulating Agency. If not, the software will provide an exit state
> error message: **WS is not part of current group/agency. Change
> group/agency to access this WS.**

![](media/image19.png){width="4.1875in" height="2.625in"}

[]{#__RefHeading___Toc173637296 .anchor}**Exhibit 6-13.** Copy Confirm

> [Copy Confirm Protected Fields:]{.underline}
>
> *Water System*
>
> *No.* Standard nine-character number of the water system.
>
> [Copy Confirm Buttons:]{.underline}
>
> **Yes** Will create a copy of the current compliance schedule (new
> record in TENSCHD) for the target water system.
>
> Will associate the newly created record to the same regulating agency
> (record in TINGOVAG) and compliance officer if any (record in
> TINLGENT) linked to the original compliance schedule record.
>
> Will create a copy of each schedule activity (records in TENSCHAT)
> linked to the original compliance schedule record. Each copy of
> schedule activity will be linked to the new compliance schedule.
>
> Finally, it will redisplay the Compliance Schedule Maintenance page
> showing the newly created compliance schedule and the new schedule
> activities associated to it.
>
> **No** Will cancel the copy and return to Compliance Schedule
> Maintenance Page.

**OK** Pressing this button will create or update a Compliance Schedule
record. The software will ensure the following:

-   If the water system number is not provided, the error message will
    be **Water System No. must not be blank.**

```{=html}
<!-- -->
```
-   If the water system number is found but is not a part of the current
    water system group assignment, the error message will be **WS is not
    part of current group/agency. Change group/agency to access this
    WS.**

```{=html}
<!-- -->
```
-   If the water system number is not found, the Water System
    Maintenance List will be presented in single-select mode where a
    water system may be selected and returned to the input field. Only
    water systems that are part of the current group assignment will be
    listed. The name of the selection will also be updated on the page.

-   If Regulating Agency is not supplied, the following error message
    will be invoked: **Regulating Agency is a required field and must be
    entered.**

-   If Status is "S" and Closed Date is not supplied, the following
    error message will be invoked: **Closed Date is required when status
    is Superceded.**

*Add Mode* Will create and commit to the database a new Compliance
Schedule associated to the Water System and Regulating Agency specified.
If a Compliance Officer is specified, the new Compliance Schedule will
also be associated to it. The page will close and return to the invoking
page.

If invoked from Site Visit Maintenance page, the following addition
actions will be perform:

-   Will associate the newly created compliance schedule to the given
    site visit.

-   Will always protect the following buttons: \[Compliance Schedule
    Activities\] **Change** button, \[Compliance Schedule Activities\]
    **Delete** button, \[Associated Deficiencies\] **Associate** button,
    \[Associated Deficiencies\] **Disassociate** button, **Enf.
    Actions** button, and **Copy** button.

*Change Mode* Will change and commit to the database any updates to the
selected Compliance Schedule including its association to a Regulating
Agency and Compliance Officer, if any.

If the user has entered a date on the Closed Date field (e.g., closed
date is no longer null) and the compliance schedule is linked to an
enforcement action, Confirm Close Compliance Schedule dialog box
(Exhibit 6-14) will appear asking the user whether to create an "SOX"
enforcement action record and link it to the violations(s) associated to
this compliance schedule.

![](media/image20.png){width="3.21875in" height="2.1666666666666665in"}

[]{#__RefHeading___Toc173637297 .anchor}**Exhibit 6-14.** Confirm Close
Compliance Schedule

> [Confirm Close Compliance Schedule Buttons:]{.underline}
>
> **Yes** Pressing **Yes** will perform the following actions:
>
> Will create an SOX enforcement action record (entity
> ENFORCEMENT_ACTION) for the same water system. It will set
> D_Status_Code to "T" (Taken), D_Data Origin_Code to "S" (State) and
> Status_Date to the same status date of the enforcement action
> associated to the compliance schedule being closed.
>
> Will associate the newly-created SOX enforcement action to each
> violation(s) associated to the compliance schedule being closed. (It
> will create a VIOLATION_ENF_ACTION_ASGMT record for each violations
> linked to compliance schedule through enforcement action.)
>
> Finally, it will return to the invoking page (one that invoked
> Compliance Schedule Maintenance page).
>
> **No** Pressing **No** will not create an SOX record for this
> compliance schedule.

Pressing the **OK** button will continue to create and update a
Compliance Schedule according to current functionality. (In addition, if
the user presses **OK**, and the Compliance Schedule has been invoked
from Site Visit Maintenance, and if the user has selected a scheduled
activity, then for each highlighted deficiency, the software will create
a DEFICIENCY_SCHEDULE_ACTY_ASGMT (table TINDFSAA) record.)

**Cancel** Will close the maintenance page. If changes have been made to
the maintenance information, the standard cancel confirmation dialog
will be presented.

**Help** Will invoke the system online Help facility.

**Scroll Buttons** Will scroll the list box in the direction of the
arrow displayed on the button.

####  Compliance Schedule Activity Maintenance

Exhibit 6-15 depicts the Compliance Schedule Activity Maintenance page.

![](media/image21.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637298 .anchor}**Exhibit 6-15.** Compliance
Schedule Activity Maintenance

[Toolbar Icons:]{.underline}

![](media/image6.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Water System Information page, which will display basic inventory
information for the given Water System.

![](media/image8.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Related POC Maintenance List page, which will display a protected list
of legal entities and individuals (e.g., operators, engineers)
associated with the given Water System.

![](media/image13.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Violation Information page, which will display violations incurred by
the given Water System and enforcement actions related to those
violations.

![](media/image14.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Enforcement Action Information page, which will display enforcement
actions applied to the given Water System and violations related to
those enforcement actions.

![](media/image7.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Historical Sampling Information page, which will display protected
information on samples collected for the given water system.

[Protected Items:]{.underline}

*Water System No.*

*And Name* The number and name of the water system for which the
compliance schedule was created.

*Compliance Schedule*

*No.* The system assigned compliance schedule number.

*Schedule Type* The type of compliance schedule.

*Effective Date* The date the compliance schedule should be effective.

*Status and Date* The current status and date the compliance schedule
entered the current status.

*Closed Date* The date the compliance schedule closed.

*Category Code* The category code of the activity type.

*Condition* A code determined by the values of dates for the activity.

-   If the due date is blank, the condition will be blank.

-   If the due date value is today or in the future and the achieved
    date is blank, the condition will be Pending.

-   If the due date value is in the past and the achieved date is blank,
    the condition will be Overdue.

-   If the due date has a value and the achieve date value is greater
    than the due date, the condition will be Late.

-   If the due date has a value and the achieved date value is less than
    or equal to the due date, the condition will be On Time.

*Violation Status* The D_CURRENT_STATUS_TYPE_CODE from the violation to
which the Compliance Schedule Activity may be directly related.

*\[Violation Type Name\]*The Name of the Violation Type.

[Entry Fields:]{.underline}

*Name* The name of the compliance schedule activity type. If a name is
provided that does not exist in the activity type list, the Activity
Type Maintenance List will be presented in single-select mode when
tabbing from or clicking out of the field. When a valid activity is
chosen, the Category Code will be displayed.

This is a required field. If left blank, the error message will be
**Name is a required field and must be entered.**

*Due Date* The date the activity is due to be completed. Changes to the
value of this field will affect the value of the Condition code.
Reference description of the Condition attribute for details.

This is an optional field.

*Projected Date* The date the activity is projected to be completed.

This is an optional field.

*Achieved Date* The date the activity was completed. Changes to the
value of this field will affect the value of the Condition code.
Reference description of the Condition attribute for details.

This is an optional field.

*Responsible Party* The name, party, group, or title of the entity
responsible for completing the activity.

This is an optional field.

*Reported Date* The date the activity completion was reported to the
primacy agency.

This is an optional field.

*Comment* A free-form text area where a description can be provided.

This is an optional field.

*Vio Type* The violation type to be used when creating a candidate
violation (determined based on a failure to accomplish this activity on
time). If the selected activity type has a violation type designated as
the default, that violation type will be displayed when the scheduled
activity record is first created. However, the value can be changed to a
different violation type or removed.

The violation type entered must meet the following criteria when tabbing
from or clicking out of the field. If not, the Violation Type
Maintenance List will be presented in single-select mode where a
selection can be made and returned to this field.

-   All state-defined violation types (not = "HQ").

-   "HQ" defined violation types with:

> \- Contaminant Required Code = "ALLOW" or "RESTRICT."
>
> \- Contaminant Required Code = "REQUIRE" which also have an associated
> analyte.

If the Compliance Schedule Activity is already associated to a
violation, this field will be protected from modification.

[Buttons:]{.underline}

*\[Name\]*

***Go To*** Will present the Activity Type Maintenance list in
single-select mode where a selection can be made and returned to this
page.

*\[Violation Type\]*

***Go To*** Will present the Violation Type Maintenance list in
single-select mode where a violation type may be selected and returned
to the maintenance page along with the name. The Violation Type
Maintenance List should list violation types with the following
characteristics:

-   All state-defined violation types (not = "HQ").

```{=html}
<!-- -->
```
-   "HQ" defined violation types with:

> \- Contaminant Required Code = "ALLOW" or "RESTRICT."
>
> \- Contaminant Required Code = "REQUIRE" which also have an associated
> analyte.

**Add New**

**Activity** This button will only be available in add mode. When
pressed, it will perform all functions as if **OK** were pressed. When
successfully complete will redisplay the Compliance Schedule Activity
Maintenance page.

Upon completion, the page will be represented with date values reset to
blanks. The activity type will be carried forward.

**OK** Prior to creating the new/changed scheduled activity, the
following uniqueness criteria will be applied to the creation of a
Scheduled Activity (when created at this point without a deficiency
being specified).

-   Criteria 1 (C1): If the software finds a Scheduled Activity for the
    same Compliance Schedule and the same Activity Type and the same Due
    Date that also is not associated to a deficiency, the candidate
    Scheduled Activity would be considered a duplicate. The software
    will invoke error message: **A scheduled activity for this
    Compliance Schedule, Activity Type, and Due Date already exists.**
    (Note: This criteria will be applied when the user is either adding
    a new scheduled activity or changing an existing scheduled activity
    that is not linked to a deficiency.)

-   Criteria 2 (C2): If the software finds a Scheduled Activity for the
    same Compliance Schedule and the same Activity Type and the same Due
    Date and the same Deficiency, then the candidate Scheduled Activity
    would be considered a duplicate. The software will invoke error
    message: **A scheduled activity for this Compliance Schedule,
    Activity Type, Due Date, and Deficiency already exists.** (Note:
    This criteria will be applied when the user is changing an existing
    scheduled activity that is already linked to a deficiency.)

> When a user enters an Achieved Date for a Compliance Schedule
> Activity, and that activity is associated to a deficiency (with open
> Resolved Date), and there are no other scheduled activities associated
> to the deficiency that have an open Achieved Date, the software will
> invoke the Resolve Deficiency Advisory dialog box (Exhibit 6-16). The
> dialog box will feature a Resolved Date field that the user may
> change, but which will default to the Achieved Date just entered for
> the scheduled activity. The dialog box will also include protected
> pertinent information about the related deficiency.
>
> ![](media/image22.png){width="5.479166666666667in"
> height="3.7395833333333335in"}

[]{#__RefHeading___Toc173637299 .anchor}**Exhibit 6-16.** Resolve
Deficiency Advisory

**­**[Buttons:]{.underline}

**Yes** Will value the Deficiency Resolved Date with the date supplied
on this dialog box. If there are other deficiencies associated to the
achieved scheduled activity that also satisfy the above criteria, this
same dialog box will reappear. Otherwise, the dialog box will close and
return the user to the Compliance Schedule Maintenance page. The
software will apply the deficiency overlap check (as described in
Chapter 8) when updating a deficiency. (There should not be an existing
deficiency for the same water system, the same Deficiency Severity, the
same Deficiency Category, the same water system facility \[if valued\],
the same Deficiency Description Permitted Value \[if valued\], with even
one day of overlap in the Unresolved Period \[(Date Identified)\] \[if
valued\] to \[Date Resolved\] \[if valued\].) It will also apply an edit
check for the Resolved Date.

> \- If the user removes the default date value, the software will
> invoke the following exit state error message: **Resolved Date must
> not be blank.**
>
> \- If the deficiency's Date Identified is valued and the entered date
> (for deficiency's Resolved Date) is less than the Achieved Date, the
> software will invoke an exit state error message: **Deficiency
> Resolved Date must be later than or same as the Date Identified.**
>
> \- If an overlap exists, the software will invoke the Overlapping
> Deficiency Warning (Exhibit 6-17) dialog box. Pressing the **OK**
> button will close the dialog box and return the cursor to the Achieved
> Date field.

![](media/image23.png){width="6.375in" height="1.84375in"}

[]{#__RefHeading___Toc173637300 .anchor}**Exhibit 6-17.** Overlapping
Deficiency Warning

-   If no overlap exists, the software update the Deficiency with the
    provided Resolved Date.

-   If the Deficiency is associated to a Violation of status V, present
    the Create SOX/EOX advisory (Exhibit 6-17a). (R2007:A.6.2.2.2.a)

> ![](media/image24.png){width="4.75in" height="2.3125in"}
>
> **Exhibit 6-17a.** Create SOX/EOX & Supply Violation Period End Date
> Advisory
>
> [Buttons:]{.underline}

**Yes** When the user clicks on this button, the software will flow to
the Enforcement Action Maintenance page in add mode. The action type
will be set to the default (SOX/EOX). Other values will be defaulted as
follows:

-   Status Date -- the latest achieved date of all Schedule Activities
    associated to the Deficiency that triggered the SOX/EOX.

-   Year -- set to the same year as the status date field.

-   State Asgn ID will be blank.

-   Data Origin- determined from primacy agency type.

-   Regulating agency -- default to primacy agency.

-   Compliance officer will be blank.

-   Comments will be blank.

> At the completion of the creation of the SOX/EOX, the enforcement
> action will be associated to the violation associated to the
> deficiency being resolved. The associated violation will have its
> federal violation period end date updated with the SOX/EOX status date
> if the federal violation period end date is null and the federal
> violation period begin date is \<= the proposed federal violation
> period end date. If the state violation period end date is also null
> and the state violation period begin date is \<= the proposed, update
> the state violation period end date also. (Do not disturb existing
> dates in either end date field.) The Enforcement Action Maintenance
> page will close, the Create SOX/EOX Dialog box will close, and the
> processing will be returned to the Schedule Activity Maintenance
> processing.
>
> **No** When the user clicks on this button, the dialog box will close
> and the Schedule Activity Maintenance processing will proceed.
>
> **No** Will close the dialog box and return the user to the Compliance
> Schedule Maintenance page without updating the deficiency record.

Add mode

> When all rules are met, a schedule activity row will be created and
> associated to the designated compliance schedule and activity type.
> All dates for which a value was not provided will be set to null. If a
> deficiency is available as a result of being invoked from Site Visits,
> the Compliance Schedule Activity will be associated to the deficiency.
>
> Upon completion, the page will return to the Compliance Schedule
> maintenance page and the new activity will be displayed.

Change Mode

> When all rules are met, the schedule activity row will be updated with
> new date values provided. A new activity type may be selected and
> associated to the schedule activity.
>
> Upon completion, the page will return to the Compliance Schedule
> maintenance page and the activity changes will be displayed.

**Cancel** If no changes have been made, the page will close and return
to the Compliance Schedule maintenance page.

> If changes have been made, the standard cancel confirmation page will
> be presented.

**Help** Will invoke the system online Help facility.

####  Compliance Schedule Maintenance List

Compliance Schedule Maintenance List will present the list of Compliance
schedules for the search criteria provided. The default list will
include only those with closed date of null. Choosing the View/Show All
menu item will include records with closed date that are valued (i.e.,
closed date not equal null). Exhibit 6-18 depicts the Compliance
Schedule Maintenance List page.

![](media/image25.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637302 .anchor}**Exhibit 6-18.** Compliance
Schedule Maintenance List

[Toolbar Icons:]{.underline}

![](media/image6.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Water System Information page, which will display basic inventory
information for the given Water System.

![](media/image8.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Related POC Maintenance List page, which will display a protected list
of legal entities and individuals (e.g., operators, engineers)
associated with the given Water System.

![](media/image13.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Violation Information page, which will display violations incurred by
the given Water System and enforcement actions related to those
violations.

![](media/image7.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Historical Sampling Information page, which will display protected
information on samples collected for the given water system.

![](media/image14.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Enforcement Action Information page, which will display enforcement
actions applied to the given Water System and violations related to
those enforcement actions.

These icons are enabled when a Compliance Schedule has been highlighted
in the list.

[Protected Field:]{.underline}

*WS Group Used/*

*Regulating Agency*

*Used* This protected field will show the user's current Water System
Group Name or Regulating Agency, depending on which the user has made
current. The software will dynamically change the prompt, depending on
whether Water System Group Name or Regulating Agency is current. The
prompt will be "WS Group Used" if the user's current Water System Group
is valued, otherwise the prompt will be "Regulating Agency Used."

*Number of rows resulting from*

*the search criteria*

*entered:* The number of enforcement actions in the database that met
the search criteria. The list box will display the first 1000.

*Number of rows*

*displayed:* The number of enforcement actions displayed in the list
box. This number will vary from the number resulting when the resulting
rows is greater than 1000 or when the filter menu option has been used.

[List Items:]{.underline}

*Water System No.* The number of the water system to which the
compliance schedule was established.

*Schedule Type* The compliance schedule type name.

*Status* The status of the compliance schedule:

P -- Proposed

F -- Final

S -- Superceded

*Effective Date* The effective date of the compliance schedule.

*Water System Name* The name of the water system to which the compliance
schedule was established.

*Schedule No.* The system generated compliance schedule number (TENSCHD.
SEQUENCE_NUMBER).

*Site Visit No.* The number of the site visit associated to the
compliance schedule TINVISIT.EXTERNAL_SYS_NUM).

*Closed Date* The date that the compliance schedule was closed.

*Status Date* The date that the compliance schedule entered the current
status.

[Menu Items:]{.underline}

**File**

*Exit* Will close the page and return to the invoking page.

**Edit**

> *Add* Will present the Compliance Schedule Maintenance page in
> add-mode. This option will be available even if a selection has been
> highlighted in the list area. If a water system number was used in the
> search criteria, it will flow forward and be presented on the
> Compliance Schedule Maintenance page.
>
> *Change* Will present the Compliance Schedule Maintenance page in
> change-mode with the selected Compliance Schedule displayed. This
> option will only be available if a selection has been highlighted in
> the list area.

*Delete* If the user selects **Edit/Delete** and the selected Compliance
Schedule is associated to a Scheduled Activity, which in turn is
associated to a Violation or Deficiency, the following advisory (Exhibit
6-19) will be presented.

![](media/image26.png){width="5.145833333333333in"
height="3.8958333333333335in"}

[]{#__RefHeading___Toc173637303 .anchor}**Exhibit 6-19.** Delete
Advisory -- Associated Violations and Deficiencies

> [Buttons:]{.underline}

**Yes** The Compliance schedule activities will be automatically
disassociated from the violations and deficiencies, and the software
will complete the deletion of the compliance schedule and all its
associated compliance schedule activities.

**No** Will cancel the entire deletion process and will return the user
to the Compliance Schedule Maintenance List.

> If the compliance schedule activities are not linked to any violations
> or deficiencies, selecting **Edit/Delete** will invoke the Delete
> Compliance Schedule confirmation dialog box (Exhibit 6-20) for the
> selected record.
>
> ![](media/image27.png){width="5.166666666666667in"
> height="3.3541666666666665in"}

[]{#__RefHeading___Toc173637304 .anchor}**Exhibit 6-20.** Delete
Compliance Schedule

> [Buttons:]{.underline}
>
> **Yes** Will delete the compliance schedule and all associated
> schedule activities and will disassociate all the site visits linked
> to the compliance schedule.
>
> **No** Will cancel the entire deletion process and will return the
> user to the Compliance Schedule Maintenance List with the record
> previously selected still highlighted.
>
> *Select* Will be available when the Compliance Schedule Maintenance
> List is invoked as a selection list and a compliance schedule has been
> highlighted in the list area. It will return the selected Compliance
> Schedule to the invoking page.

**View**

> *Filter By* Will present the filter by options where the list area may
> be filtered by Water System No., schedule type, schedule status,
> effective date range, close date, and status date.
>
> *Refresh* Will remove the filter criteria from the list and return to
> the previous unfiltered list. This option is only available when the
> Filter By option has been used.
>
> *Search* Will present the Compliance Schedule Search page with prior
> search criteria presented.
>
> *Show All* When this option is clicked on, the list area will include
> compliance schedules in final and superseded status.
>
> *Sort* Will present the standard sort dialog box where the list may be
> sorted by Water System No., Schedule Type, Status, Effective Date,
> Water System Name, Schedule No., Closed Date, or Status Date. Three
> levels of sorting will be supported.

**Help** Will invoke the system online Help facility.

[Buttons:]{.underline}

**Menu Items** Will present the standard menu items dialog box.

**Scroll Buttons** Will scroll the list box in the direction of the
arrow displayed on the button.

####  Compliance Schedule Search

Exhibit 6-21 depicts the Compliance Schedule Search page.

![](media/image28.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637305 .anchor}**Exhibit 6-21.** Compliance
Schedule Search

[Protected Field:]{.underline}

*WS Group Used/*

*Regulating Agency*

*Used* This protected field will show the user's current Water System
Group Name or Regulating Agency, depending on which the user has made
current. The software will dynamically change the prompt depending on
whether Water System Group Name or Regulating Agency is current. The
prompt will be "WS Group Used" if the user's current Water System Group
is valued, otherwise the prompt will be "Regulating Agency Used."

[Entry Fields:]{.underline}

Search by Water System Group Box:

If any Search by Water System group box field is valued, all fields in
the Search by Officer/Agency group box and Search by Combination of
group box will be protected. The default date value in effective date
range will be removed. If the values are removed all fields should be
made available and the default date reinstated.

*\[Water System\] No.* The specific Water System No., which consists of
the two-character state code plus the seven-character number field.

> The state code portion will default to the state_identification_code
> in the SYSTEM_VARIABLE entity view.
>
> The cursor will be placed in the numeric portion.

The **Go To** button may be pressed to select a water system from a
list. Once a valid water system has been entered or picked from a list,
the water system name will be displayed on the page.

> If a valid water system is entered, but is not part of the user's
> current Water System Group or Regulating Agency, invoke exit state
> error message: **WS is not part of current group/agency. Change
> group/agency to access this WS.**

*Site Visit No.* Five-digit External System Number may be entered or
left blank. Entering a specific water system and Site Visit No. can
retrieve a unique Compliance Schedule.

> If the Site Visit No. is valued, the Deficiency No. field will be
> protected.

*Deficiency No.* Five-digit External System Number may be entered or
left blank.

> If the Deficiency No. is valued, the Site Visit No. field will be
> protected.
>
> Search by Officer/Agency Group Box:

If any Search by Officer/Agency group box field is valued, the Search by
Water System group box fields and the Search by Combination of group box
fields will be protected. The default date value in effective date range
will be removed. If the values are removed, all fields should be made
available and the default date reinstated.

*Compliance Officer* The user may click the **Go To** button to invoke
the Legal Entity Maintenance List in single-select mode or may enter a
value directly into the Compliance Officer field. The Legal Entity
Maintenance List will present a list of INDIVIDUAL type legal_entities
in ascending alphabetical order. If the user enters a value in the
Compliance Officer field, on tabbing off the field or clicking out, the
software will accept the specified compliance officer if it is an exact
match. If the value entered is not an exact match, the Legal Entity
Maintenance List page will be invoked from where the user may select. If
the user specifies a partial string in this field, the software will
display the closest matching Compliance Officer Name at the top of the
list. (Closest matching means a match with the Compliance Officer Name,
sorted alphabetically, that starts with the same text string as
supplied.)

*Regulating Agency* The user may click the **Go To** button to invoke
the Legal Entity Maintenance List in single-select mode or may enter a
value directly into the Regulating Agency field. The Legal Entity
Maintenance List will present a list of GOVERNMENT_AGENCY type
legal_entities with the regulating_agency_indicator set to "Y." If the
user enters a value in the Regulating Agency field, on tabbing off the
field or clicking outside the field, the software will accept the
specified regulating agency if it is an exact match. If the value
entered is not an exact match, the software will invoke the Legal Entity
Maintenance List in single-select mode. If the user specifies a partial
string in this field, the software will display the closest matching
regulating agency at the top of the list. (Closest matching means a
match with the Regulating Agency Name, sorted alphabetically, that
starts with the same text string as supplied.)

Search by Combination of Group Box:

If either the schedule status or schedule type in the Search by
Combination group box field is valued, the Search by Water System group
box fields and the Search by Officer/Agency group box fields will be
protected (i.e., read-only). Removing either of these values should make
all fields available.

*Schedule Status* Permitted values in this field will be as follows:

\<spaces\>

F Final

P Proposed

S Superceded

*Effective Date Range*

*\[Begin Date\]* This field will specify the begin date of the Effective
Date range. Edit checks for date will be done later when the user clicks
the **Search** button. A calendar function will allow the user to more
easily enter dates for this field.

> The default value for this field will be the date 1 year prior to the
> current date (CURRENT DATE -- 1 Year).

*Effective Date Range*

*\[End Date\]* This field will specify the end date of the Effective
Date range. Edit checks for date will be done later when the user clicks
the **Search** button. A calendar function will allow the user to more
easily enter dates for this field.

*Schedule Type* Alphanumeric, four-character field with permitted values
controlled by the SDWIS/STATE Administrator using the Permitted Values
function. The permitted values available from the dropdown list will be
retrieved from the CODE table, table_name of "TENSCHD1" and will consist
of the value concatenated to the description.

An example of when this field might be useful is if a primacy agency
introduces a new Schedule Type of "Deficiency Remedy" (using the
Permitted Values component in *System Administration*) and consistently
uses it for Compliance Schedules that address deficiencies.

[Tab Sequence:]{.underline}

\[Water System\] No., \[Water System\] No. **Go To** button, Site Visit
No., Deficiency No., Compliance Officer, Compliance Officer **Go To**
button, Regulating Agency, Regulating Agency **Go To** button, Schedule
Status, \[Effective Date Range\] Begin Date, \[Effective Date Range\]
End Date, Schedule Type, **Search** button, **Clear** button, **Cancel**
button, **Help** button.

[Buttons:]{.underline}

\[Water System No.\]

**Go To** Pressing this button will invoke the Water System Maintenance
List in single-select mode. If the user has typed part of the Water
System No., it will be used in the search to invoke the Water System
Maintenance List. The user may select a water system from this list.

\[Compliance Officer\]

**Go To** Pressing this button will invoke the Legal Entity Maintenance
List. The default sort will be Name (Last Name, First Name), in
ascending alphabetical order. If the user has typed part of the
Compliance Officer name, it will be used in the search. The user may
select a compliance officer from this list. The list will contain only
Legal Entities of type_code "IN."

\[Regulating Agency\]

**Go To** Pressing this button will invoke the Legal Entity Maintenance
List in single-select mode. The default sort will be Name, in ascending
alphabetical order. If the user has typed part of the Regulating Agency
name, it will be used in the search. The user may select a regulating
agency from this list. The list will contain only Legal Entities of
type_code "GA" that have the regulating_agency_indicator set to "Y."

**Search** Pressing this button will retrieve Compliance Schedules based
on the specified criteria.

The user's current Water System Group/Regulating Agency will be used as
implied search criteria in all searches for Compliance Schedule records.
This means that the software will retrieve only compliance schedules
linked to a water system that is linked to the user's current Water
System Group/Regulating Agency. If an exact Water System No. is entered,
the software will validate that it belongs to the user's current Water
System Group/Regulating Agency. The following are possible search
permutations:

-   Search by Water System Group Box.

> \- By Water System No.
>
> \- By Water System No. and Site Visit No.
>
> \- By Water System No. and Deficiency No.

-   Search by Officer/Agency Group Box.

> \- By Compliance Officer.
>
> \- By Regulating Agency.
>
> \- By Compliance Officer and Regulating Agency.

-   Search by Combination of Group Box.

> \- By Schedule Status.
>
> \- By Effective Date Range.
>
> \-- By Effective Date Range with both begin and end dates valued (the
> software will check for compliance schedule records with Effective
> Date between \[inclusively\] the two specified dates).
>
> \-- By Effective Date Range Start Date (the software will check for
> compliance schedule records with Effective Date later than or same as
> the entered begin date including null dates).
>
> \-- By Effective Date Range End Date (the software will check for
> compliance schedule records with Effective Date prior to or on the
> specified end date including null dates).
>
> \- By Schedule Type.
>
> \- By Schedule Status and Effective Date Range.
>
> \- By Schedule Type and Effective Date Range.
>
> \- By Schedule Status and Effective Date Range Start Date.
>
> \- By Schedule Status and Effective Date Range End Date.
>
> \- By Schedule Type and Effective Date Range Start Date.
>
> \- By Schedule Type and Effective Date Range End Date.
>
> \- By Schedule Type, Schedule Status, and Effective Date Range (either
> Start Date, End Date, or both).

-   If either Site Visit No. or Deficiency No. is valued and Water
    System No. is not valued, provide an exit state error message:
    **Water System No. must not be blank.**

-   If a search includes Effective Date Range with both begin date and
    end date valued, then if end date is earlier than begin date, invoke
    exit state error message: **End Date cannot be earlier than Begin
    Date.**

-   If no compliance schedule meets the search criteria, invoke
    informational exit state message: **No Compliance Schedule exists in
    the database for this search criteria.** When the user clicks
    **OK**, the software will still display the Compliance Schedule
    Maintenance List.

**Clear** Pressing this button will clear data from all fields on the
search dialog box. All fields that may have been protected will be
enabled.

**Cancel** When the user presses this button, the software will
disregard data entered and return the user to the previous page.

**Help** Will invoke the system online Help facility.

## PN (Public Notice) Schedule

### Model Changes for PN Schedule

No model changes planned for this release.

### PN Schedule Page Flow

When the user selects **PN Schedule** from the *Enforcement Action* menu
item on the *SDWIS/STATE Home Page*, the PN Schedule Search page
(Exhibit 6-22) will be presented.

####  PN Schedule Search

This search page will enable the user to find a particular PN schedule
or a set of PN schedules. The results will be listed on the PN Schedule
Maintenance List page. On the PN Search page, the user may search by
Violation (Water System No. and/or Violation Year/FedRep ID), or by
Enforcement Action Status Date Range (Enforcement Action Status and/or
Enforcement Action Status Date Range).

[Protected Fields:]{.underline}

*WS Group Used/*

*Regulating Agency*

*Used* This protected field will show the user's current Water System
Group Name or Regulating Agency depending on which the user has made
current. The software will dynamically change the prompt depending on
whether Water System Group Name or Regulating Agency is current. The
prompt will be "WS Group Used" if the user's current Water System Group
is valued, otherwise the prompt will be "Regulating Agency Used."

![](media/image29.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637306 .anchor}**Exhibit 6-22.** PN Schedule
Search

*\[Water System Name\]* This protected field will specify the water
system name. It will be automatically populated once a valid Water
System is specified.

[Entry Fields:]{.underline}

Search by Violation Group Box:

If any Search by Violation group box field is valued, the Search by
Enforcement Action Status Date Range group box fields will be protected.

*Water System No.* Allows a search by a specific Water System, which
consists of the two-character state code plus the seven-character number
field.

> The state code portion will default to the state_identification_code
> in the SYSTEM_VARIABLE entity view.
>
> The cursor should be positioned in the numeric portion.

When a value is provided that is not a valid water system that is a
member of the user's current Water System Group or Regulating Agency,
invoke exit state error message: **WS is not part of current
group/agency. Change group/agency to access this WS.**

A valid entry in this field will cause the Enforcement Action Status
field to become protected.

*\[Violation\] Year* The four-digit Violation Year.

This will be an optional field.

An entry in this field will cause the Enforcement Action Status field to
become protected.

*\[Violation\]*

*FedRep ID* The 18-digit External System Number.

> This will be an optional field.

An entry in this field will cause the Enforcement Action Status field to
become protected.

Search by Enforcement Action Status Date Range Group Box:

If the Search by Enforcement Action Status is valued, the Search by
Violation group box fields will be protected. The status date range is
not used to protect the Search by Violation group box since it contains
defaulted values.

*\[Enforcement Action\]*

*Status* The user may select the status of the enforcement action from
the following dropdown list:

P Potential

R Rejected

T Taken

A selection made in this field will cause the Search by Violation fields
to become protected.

*Status Date Range*

*\[Begin Date\]* This field will specify the begin date of the Status
Date range. A calendar function will allow the user to more easily enter
dates for this field.

The default value for this field will be the date 6 months prior to the
current date (CURRENT DATE -- 6 Months).

If both begin date and end dates are valued and begin date is later than
end date, the invoked error message will be: **Begin date cannot be
greater than End date.**

*Status Date Range*

*\[End Date\]* This field will specify the end date of the Status Date
range. A calendar function will allow the user to more easily enter
dates for this field.

If both begin date and end date are valued and end date is earlier than
begin date, the invoked error message will be: **End Date cannot be less
than Begin Date.**

[Tab Sequence:]{.underline}

Water System No., Water System No. **Go To** button, \[Violation Year\],
\[External System Number\], \[Enforcement Action\] Status, \[Status Date
Range\] Begin Date, \[Status Date Range\] End Date, **Search** button,
**Clear** button, **Cancel** button, **Help** button.

[Buttons:]{.underline}

\[Water System No.\]

**Go To** Will present the Water System Maintenance List in
single-select mode where water systems included in the user's current
group designation will be listed in ascending water system name order.

**Search** Will utilize the search criteria provided to present a list
on the PN Schedule Maintenance List.

-   The logic on the **Search** button will check that the user's
    current Water System Group/Regulating Agency is used as an implied
    search criterion in all searches for PN Activity records. This means
    that the software will retrieve only PN Activity records linked to a
    water system that is linked to the user's current Water System
    Group/Regulating Agency (note that the relationship to water system
    for a PN Activity is through its associated Enforcement Action). If
    an exact Water System No. is entered, the software will validate
    that it belongs to the user's current Water System Group/Regulating
    Agency.

-   When the user is searching by Enforcement Action, the software
    searches for both SIE and EIE enforcement action records.

-   If a Water System No. was specified, all other criteria entered is
    applied to PN Schedules for the designated water system.

-   If the Year of the violation number was specified, only PN Schedules
    associated to a violation with a matching year will be listed.

-   If the FedRep ID of the violation number was specified, only PN
    Schedules associated to a violation with a matching external system
    number will be listed.

-   Both Year and FedRep ID of the violation number may act
    independently or be combined for a more specific search.

-   If a specific enforcement action status was selected, only PN
    Schedules associated to an enforcement action with a matching status
    will be listed.

-   When between dates are provided, only PN Schedules associated to an
    enforcement action with a status date between the dates specified
    will be listed. The between dates are inclusive.

**Clear** Pressing this button will clear all fields on the page so the
user may enter new search criteria. All fields that may have been
protected will be enabled.

**Cancel** When the user presses this button, the software will
disregard any date entered and return the user to the previous page.

**Help** Will invoke online Help for this page.

####  PN Schedule Maintenance List

Exhibit 6-23 depicts the PN Schedule Maintenance page.

![](media/image30.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637307 .anchor}**Exhibit 6-23.** PN Schedule
Maintenance

[Toolbar Icons:]{.underline}

![](media/image6.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Water System Information page, which will display basic inventory
information for the given Water System.

![](media/image7.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Historical Sampling Information page, which will display protected
information on samples collected for the given water system.

![](media/image8.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Related POC Maintenance List page, which will display a protected list
of legal entities and individuals (e.g., operators, engineers)
associated with the given Water System.

![](media/image13.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Violation Information page, which will display violations incurred by
the given Water System and enforcement actions related to those
violations.

![](media/image14.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Enforcement Action Information page, which will display enforcement
actions applied to the given Water System and violations related to
those enforcement actions.

These icons will only be enabled when a PN Schedule is highlighted in
the list area.

[Protected Fields:]{.underline}

*WS Group Used/*

*Regulating Agency*

*Used* This protected field will show the user's current Water System
Group Name or Regulating Agency depending on which the user has made
current. The software will dynamically change the prompt depending on
whether Water System Group Name or Regulating Agency is current. The
prompt will be "WS Group Used" if the user's current Water System Group
is valued, otherwise the prompt will be "Regulating Agency Used."

*Number of Rows Resulting*

*From the Search Criteria*

*Entered:* The count of rows in the database that met the search
criteria.

*Number of Rows*

*Displayed:* The count of rows displayed in the list area accessible via
the vertical scroll bar.

[List Columns:]{.underline}

Enforcement Action Status and Status Date, Year, FedRep ID, Vio Status,
Vio Type, Analyte Code, State Vio Prd Begin Date, State Vio Prd End
Date, Water System No., Water System name, Analyte Name, Analysis
Results/UOM, Monitoring Period, Determination Date.

[Default Sort Order:]{.underline} State Vio Period Begin Date,
descending, Water System Name, ascending, Analyte Code, ascending.

The default list does not show PN Schedules associated with enforcement
actions that have a public notification activity with a proof of PN
date. To view all PN schedules in the list, select the **View**/**Show
All** menu item.

[Menu Items:]{.underline}

**File**

*Exit* Will close the page and return to the invoking page.

**Edit**

*Change PN Schedule*

*Activity* Will present the PN Schedule Activity Maintenance page. This
item will only be available when a PN Schedule is highlighted in the
list area.

**View**

*Filter By* Will present the standard filter options where the list may
be filtered by any of the list columns. Filtering the list will affect
the Number of rows displayed count and enable the View/Refresh menu
item.

*Refresh* Will remove the applied filter criteria from the list area.

*Search* Will present the PN Schedule Search page. Prior criteria will
be present.

*Show All* Will toggle between showing all enforcement actions that have
a public notification.

*Sort* Will present the standard sort options where the list may be
sorted by any of the list columns. Three levels of sorting are
supported.

[Buttons:]{.underline}

**Menu Items** Will present the standard menu items dialog box.

**Scroll Buttons** Will scroll the list box in the direction of the
arrow displayed on the button.

####  PN Schedule Activity Maintenance List

Exhibit 6-24 depicts the PN Schedule Activity Maintenance List page.

![](media/image31.png){width="5.9944444444444445in"
height="4.089583333333334in"}

[]{#__RefHeading___Toc173637308 .anchor}**Exhibit 6-24.** PN Schedule
Activity Maintenance List

[Toolbar Icons:]{.underline}

![](media/image13.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Violation Information page, which will display violations incurred by
the given Water System and enforcement actions related to those
violations.

![](media/image14.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Enforcement Action Information page, which will display enforcement
actions applied to the given Water System and violations related to
those enforcement actions.

![](media/image7.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Historical Sampling Information page, which will display protected
information on samples collected for the given water system.

![](media/image6.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Water System Information page, which will display basic inventory
information for the given Water System.

![](media/image8.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Related POC Maintenance page, which will display a protected list of
legal entities and individuals (e.g., operators, engineers) associated
with the given Water System.

[Protected Fields:]{.underline}

*Water System*

*No. and Name* The number and name of the water system to which the
Enforcement Action was issued.

*Enforcement Action* Displays information about the enforcement action
to which the listed PN Schedule Activities apply. The information
includes the enforcement action Year and FedRep ID, Action Type, action
type to be used for Federal Reporting, current Status, and Status Date.

*Associated Violations* Lists the violations associated to the
enforcement action. The information includes violation Year and FedRep
ID, status, violation type, analyte code, state violation period Begin
and End Dates, analyte name, analysis result/uom, monitoring period, and
determination date. The violations will be sorted by year descending
within FedRep ID, descending.

*PN Schedule*

*Activities* Lists the public notification activities associated to the
enforcement action. The information includes Activity Name, PN Required
Date, PN Performed Date, Proof of PN Due Date, Proof of PN Received
Date, and Condition.

Condition is a value derived from the following evaluation of dates:

> On-Time = The achieved date has a value less than or equal to the due
> date.
>
> Late = The achieved date has a value greater than the due date.
>
> Overdue = The achieved date does not have a value and the due date is
> less than the current date.
>
> Pending = The achieved date does not have a value and the due date is
> greater than or equal to current date.
>
> \[Spaces\] = The due date does not have a value.

The list will be sorted by condition in the following order: Pending,
Overdue, On Time, Late.

One selection can be made in the list area.

[Buttons:]{.underline}

\[PN Schedule

Activities\]

**Add** Will present the PN Schedule Activity Maintenance page in
add-mode.

> This button will be enabled regardless of a selection having been made
> in the PN Schedule Activities list area.

\[PN Schedule

Activities\]

**Change** Will present the PN Schedule Activity Maintenance page in
change-mode. The selected PN Schedule Activity will be displayed on the
maintenance page. If more than one PN Schedule Activities are present in
the list area, they can be accessed without returning to the list by
pressing the **Previous** and **Next** buttons on the PN Schedule
Activity Maintenance page.

> This button will only be enabled if a selection has been made in the
> PN Schedule Activities list area.

\[PN Schedule

Activities\]

**Delete** If the user presses this button and the PN Schedule Activity
has already been associated to a violation, the software will return an
error message: **This PN Schedule Activity is associated to a violation.
You must first disassociate this PN schedule activity from the violation
using the Violation Maintenance function in the Monitoring Component.**
On pressing **OK**, the user will be able to see the PN schedule
activity that was not successfully removed from the list.

If the current PN schedule activity is not linked to any violation, the
software will present the Delete PN Schedule Activity confirmation
(Exhibit 6-25) dialog box.

![](media/image32.png){width="5.395833333333333in" height="3.5625in"}

[]{#__RefHeading___Toc173637309 .anchor}**Exhibit 6-25.** Delete PN
Schedule Activity

[Buttons:]{.underline}

**Yes** Will delete the PUBLIC_NOTIFICATION_ACTIVITY and return to the
PN Schedule Activity Maintenance List with the deleted PN Schedule
Activity removed from the list.

**No** Will abort the delete request and return to the PN Schedule
Activity Maintenance List with no action taken.

> This button will only be enabled if a selection has been made in the
> PN Schedule Activities list area.

**OK** Will close the page and return to the PN Schedule Maintenance
List.

**Help** Will invoke the system online Help facility.

**Scroll Buttons** Will scroll the list box in the direction of the
arrow displayed on the button.

####  PN Schedule Activity Maintenance

Exhibit 6-26 depicts the PN Schedule Activity Maintenance page.

![](media/image33.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637310 .anchor}**Exhibit 6-26.** PN Schedule
Activity Maintenance

[Toolbar Icons:]{.underline}

![](media/image13.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Violation Information page, which will display violations incurred by
the given Water System and enforcement actions related to those
violations.

![](media/image14.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Enforcement Action Information page, which will display enforcement
actions applied to the given Water System and violations related to
those enforcement actions.

![](media/image6.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Water System Information page, which will display basic inventory
information for the given Water System.

![](media/image8.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Related POC Maintenance List page, which will display a protected list
of legal entities and individuals (e.g., operators, engineers)
associated with the given Water System.

![](media/image7.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Historical Sampling Information page, which will display protected
information on samples collected for the given water system.

[Protected Fields:]{.underline}

*Water System*

*No. and Name* The number and name of the water system to which the
Enforcement Action was issued.

*Enforcement Action* Displays information about the enforcement action
to which the PN Schedule Activity applies. The information includes the
enforcement action year, FedRep ID, action type, action type to be used
in federal reporting, current status, and status date.

*Condition* A value indicating the current status condition of the
public notification activity. Condition is derived from the following
evaluation of dates:

> On-Time = The PN Performed date has a value less than or equal to the
> PN Required date.
>
> Late = The PN Performed date has a value greater than the PN Required
> date.
>
> Overdue = The PN Performed date does not have a value and the PN
> Required date is less than the current date.
>
> Pending = The PN Performed date does not have a value and the PN Due
> date is greater than or equal to current date.
>
> \[Spaces\] = The PN Required date does not have a value.

*PN Violation Status* Display the D_CURRENT_STATUS_TYPE_CODE from the PN
violation to which the PN Activity may be directly related. (Note that
this is not the violation to which the PN Activity is related through
its parent enforcement action record, but rather through the direct
relationship between PN Activity and Violation specified above.)

[Entry Fields:]{.underline}

*Name* The name of the PN activity type. The activity types are
maintained in the System Administration component. When a value is
entered and the user tabs off or clicks out of the field, a valid
activity type with the provided name is retrieved. If an existing
activity type cannot be found, the Activity Type Maintenance List will
be presented in single_select mode where a selection can be made and
returned to this field.

Name will be a required field.

*PN Required*

*Date* The date the public notification activity is required to be
completed (often referred to as the due date). Changing the value of
this field will trigger derivation and possible change in the Condition
field.

This will be an optional field.

*Proof of PN Due*

*Date* The date that proof of completion of the public notification
activity is required (often referred to as the achieved date).

This will be an optional field.

*PN Performed*

*Date* The date the public notification activity is actually performed.
Changing the value of this field will trigger derivation and possible
change in the Condition field.

This will be an optional field.

*Proof of PN Received*

*Date* The date the proof of completion of public notification activity
is actually received.

This will be an optional field.

*Responsible Party* The person, either by name or title, responsible for
accomplishing the public notification activity. This is a free-form text
field.

This will be an optional field.

*Comments* Descriptive text about the PN Schedule Activity.

[Buttons:]{.underline}

\[Name\]

**Go To** Will present the Activity Type Maintenance List where "PN"
category codes will be presented in single-select mode in ascending name
order.

**Previous** All PN Schedule Activities from the PN Schedule Activity
Maintenance List are available for view and change. If a row exists in
the list prior to the current record displayed, the **Previous** button
will be enabled for access to the next prior row.

> If changes have been made to the currently displayed record, they will
> be retained but not processed until the **OK** button is pressed.

**Next** All PN Schedule Activities from the PN Schedule Activity
Maintenance List are available for view and change. If a row exists in
the list after the current record displayed, the **Next** button will be
enabled for access to the next row.

> If changes have been made to the currently displayed record, they will
> be retained, but not processed until the **OK** button is pressed.

**OK**

Edit Checks

-   If Name is left blank, the error message will be **Name is a
    required field and must be entered.**

Add Mode

-   A PUBLIC_NOTIFICATION_ACTIVITY will be created and associated to the
    displayed ENFORCEMENT_ACTION and ACTIVITY_TYPE. All fields will be
    set with the values entered on the page. Any dates that do not
    contain a value will be set to null. The d_userid_code and
    d_last_update_timestamp will be set to current values.

-   If the PN Schedule Activity is created in Late condition, the
    following advisory (Exhibit 6-27) will be presented:

![](media/image34.png){width="5.395833333333333in"
height="2.9791666666666665in"}

[]{#__RefHeading___Toc173637311 .anchor}**Exhibit 6.27.** Create PN
Violation Advisory

> [Buttons:]{.underline}
>
> **Yes** Presents the Violation Maintenance page in add-mode.
> Determination Date will be set to current date. Once you complete the
> creation of the violation and possibly the additional SOX/EOX
> Enforcement Action processing, it will return to the PN Activity
> processing.
>
> **No** Will close the page and return to the PN Schedule Activity
> Maintenance List with the new PN Schedule Activity displayed in the
> list area.

Change Mode

> For each PN Schedule Activity in the list box on the PN Schedule
> Activity Maintenance List:

-   If name is changed, the PUBLIC_NOTIFICATION_ACTIVITY will be
    associated to the new ACTIVITY_TYPE. The d_userid_code and
    d_last_update_timestamp should be set to current values.

-   If any of the date fields or responsible party field are changed,
    the PUBLIC_NOTIFICATION_ACTIVITY will be updated with the new
    values. The d_userid_code and d_last_update_timestamp should be set
    to current values.

> If the Proof of PN Received Date is valued, the software invokes a
> Create SOX/EOX & Supply Violation Period End Date Advisory (Exhibit
> 6-28) dialog box when the following conditions are met:
>
> \- If the PN Activity is associated (through the direct, relationship
> to Violation) to a PN Violation (a violation whose Violation Type is
> either 75 or 76) of status V and the Violation's Violation Period End
> Date is null and
>
> If the PN Performed Date for the current PN Activity is valued and
>
> If the PN Received Date and PN Performed Date of all other PN
> Activities associated to the same enforcement action are valued.
>
> ![](media/image35.png){width="4.416666666666667in"
> height="1.9270833333333333in"}

[]{#__RefHeading___Toc173637312 .anchor}**Exhibit 6-28.** Create SOX/EOX
& Supply Violation Period End Date Advisory

> [Buttons:]{.underline}
>
> **Yes** When the user clicks on this button, the software will flow to
> the Enforcement Action Maintenance page in add-mode. The action type
> will be set to the default (SOX/EOX) and protected from change. Other
> values will be defaulted as follows:

-   Status Date -- the earlier date between the PN Performed Date and
    the Proof of PN Received Date from the PN activity that triggered
    the SOX/EOX.

-   Year -- set to the same year as the status date field

-   State Asgn ID will be blank

-   Data Origin- determined from primacy agency type.

-   Regulating agency -- default to primacy agency

-   Compliance officer will be blank.

-   Comments will be blank.

> At the completion of the creation of the SOX/EOX, the enforcement
> action will be associated to the PN violation. The PN violation will
> have its federal violation period end date set to the SOX/EOX
> Enforcement Action Status Date when the federal violation period end
> date is null and the federal violation period begin date is \<= the
> proposed end date. The PN violation will have its state violation
> period end date set to the SOX/EOX Enforcement Action Status Date when
> the state violation period end date is null and the state violation
> period begin date is \<= the proposed end date. (B.6.3.2.4.a) The
> Enforcement Action Maintenance page will close, the Create SOX/EOX
> Dialog box will close and the processing will be returned to the PN
> Schedule Activity Maintenance list.
>
> **No** When the user clicks on this button, the dialog box will close
> and the PN Schedule Activity Maintenance List (current records) will
> be displayed.

When the PN Schedule Activity Maintenance list closes and returns to the
PN Schedule Maintenance List, the activities will be evaluated to see if
all have now been completed. If all PN schedule activities have a Proof
of PN Received Date, the following advisory (Exhibit 6-29) will be
presented:

![](media/image36.png){width="6.416666666666667in"
height="3.2083333333333335in"}

[]{#__RefHeading___Toc173637313 .anchor}**Exhibit 6-29.** Create SIF/EIF
Advisory

> [Entry Fields:]{.underline}
>
> *St Asgnd ID No* The identification number assigned by the state to
> the new enforcement action.
>
> This will be an optional field.
>
> *Compliance Officer* The name of a compliance officer in the format of
> last name, first name. This person should be an existing Legal Entity.
> When the field is tabbed from or clicked outside, the value will be
> validated in legal_entity. If it is not an existing legal entity, the
> Legal Entity Maintenance List will be presented in single-select mode
> where a selection can be made and returned to this field. The list
> will contain legal entities of type_code "IN."
>
> This will be an optional field.
>
> *Action Type* A dropdown list where the user may select either SIF or
> EIF as the action type.
>
> This will be a required field.
>
> [Buttons:]{.underline}
>
> \[Compliance Officer\]
>
> **Go To** Will present the Legal Entity Maintenance List in
> single-select mode where a compliance officer can be selected and
> returned to this field. The list will contain only legal entities of
> type_code "IN."
>
> **Yes** If the supplied Action Type is not equal to SIF or EIF, invoke
> exit state error message: **Action Type must be SIF or EIF.**
>
> Create an ENFORCEMENT_ACTION associated to the same water system and
> for the new action type. The d_status_code will be set to "T" for
> taken and the d_data_origin_code will be set to "S" for state. If a
> compliance officer was specified, the ENFORCEMENT_ACTION will be
> associated to the INDIVIDUAL represented by the compliance officer.
> Each VIOLATION associated to the original ENFORCEMENT_ACTION will also
> become associated to the new SIF/EIF ENFORCEMENT_ACTION.
>
> **No** Will close the page and return to the PN Schedule Maintenance
> List.
>
> **Help** Will invoke online system Help.

**Cancel** If any data on the PN Schedule Activity was changed, either
in the record on display or any other record in the list, the standard
cancel confirmation page will be presented.

If no data or record was found to be changed, the page will close and
return to the PN Schedule Maintenance List.

**Help** Will invoke the system online Help facility.

## Assistance Actions

### Model Changes for Assistance Actions

No model changes planned for this release.

### Assistance Actions Page Flow

When the user selects **Assistance Action/Add** from the *Enforcement
Action* menu item on the *SDWIS/STATE Home Page*, the Assistance Action
Maintenance page will be presented in add mode.

When the user selects **Assistance Action/Maintain** from the
*Enforcement Action* menu item on the *SDWIS/STATE Home Page*, the
Assistance Action Search page will be presented.

####  Assistance Action Search

The user's current Water System Group/Regulating Agency will be used as
an implied search criteria in all searches for Assistance Action
records. This means that the software will retrieve only assistance
actions linked to water systems that are, in turn, linked to the user's
current Water System Group/Regulating Agency. Exhibit 6-30 depicts the
Assistance Action Search page.

![](media/image37.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637314 .anchor}**Exhibit 6-30.** Assistance
Action Search

[Protected Fields]{.underline}:

*WS Group Used/*

*Regulating Agency*

*Used* This protected field will show the user's current Water System
Group Name or Regulating Agency depending on which the user has made
current. The software will dynamically change the prompt depending on
whether Water System Group Name or Regulating Agency is current. The
prompt will be "WS Group Used" if the user's current Water System Group
is valued, otherwise the prompt will be "Government Agency Used."

*Water System Name* The name of the selected water system.

*\[Action Type*

*Name\]* This protected field will display the name of the selected
action type.

[Entry Fields:]{.underline}

*Search by*

*Water System*

*No.* The Water System No., which will be used to list assistance
actions that were provided to that water system.

The specific Water System No. consists of the two-character state code
plus the seven-character number field.

> The state code portion will default to the state_identification_code
> in the SYSTEM_VARIABLE entity view.
>
> The cursor will be positioned in the numeric portion.
>
> Once a valid Water System No. has been entered, the water system name
> will be displayed.
>
> When the supplied Water System No. is not valid, the Water System
> Maintenance List will be presented in single-select mode displaying
> the closest matching Water System No. at the top of the list. (Closest
> matching means a match with the Water System No., sorted
> alphabetically, that starts with the same text string as supplied.)
> Only Water Systems that are part of the users current group
> designation will be presented.
>
> If a valid water system is entered but is not part of the user's
> current Water System Group or Government Agency, the following error
> message will be invoked: **WS is not part of current group/agency.
> Change group/agency to access this WS.**

When a valid Water System has been provided, it will be used in the
search; other criteria provided in the Search by Action Type/Status and
Status Date Range group box will be ignored.

This will be an optional field.

*Action Type* The three-character action type code that will be used to
list assistance actions that have a matching action type assignment. If
the value provided is not found to be a defined action type, the Action
Type Maintenance List will be presented in single-select mode where a
selection can be made and returned to this page.

This will be an optional field.

*Status Code* The status code for the assistance action that will be
used to list assistance actions with a matching status code. The
permitted values from the dropdown list will be:

Complete

Proposed

Offered but Rejected

This will be an optional field.

*Status Date Range*

*Between/And* Two dates can be provided to limit the list of assistance
actions to those with a status date greater than or equal to the first
provided date and less than or equal to the last provided date. Default
for the first date will be current date less 6 months. Default for the
second date will be current date.

This will be an optional field.

[Protected Items:]{.underline}

\[Water System

Name\] Will display the name of the selected water system.

\[Action Type Name\] Will be displayed when a valid action type has been
entered or selected for the Action Type field.

[Buttons:]{.underline}

\[Water System\]

**Go To** Will present the Water System Maintenance List in
single-select where a water system may be selected and returned to this
page.

\[Action Type\]

**Go To** Will present the Action Type Maintenance List in single-select
mode where an action type may be selected and returned to this page.

**Search** Will utilize the provided criteria and formulate a list of
assistance actions that will be presented on the Assistance Action
Maintenance List.

If a Water System No. was provided, only assistance actions that have
been provided to that water system will be listed.

Action Type, Status Code, and Status Date Range may be combined to
narrow the list of assistance actions meeting those criteria.

**Clear** Will remove all values from the entry fields, including the
status date range fields.

**Cancel** Will close the page and return to the invoking page.

**Help** Will invoke the system online Help facility.

####  Assistance Action Maintenance List

Exhibit 6-31 depicts the Assistance Action Maintenance List page.

*Assistance Action*

> *List Box* Will provide a list of the assistance actions matching any
> provided search criteria.
>
> [List Columns:]{.underline} State Asgn ID No, Action Type, Status,
> Status Date, Action Type Name, Individual \[name\].
>
> [Default Sort:]{.underline} Status Date, descending, State Asgn ID No,
> ascending.
>
> *Water Systems*
>
> *List Box* When an assistance action is highlighted in the first list
> box, all water systems to which the assistance action was associated
> will be listed in this list box.

![](media/image38.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637315 .anchor}**Exhibit 6-31.** Assistance
Action Maintenance List

[List Columns:]{.underline} Water System No., Water System Name.

[Default Sort:]{.underline} Water System Name, ascending.

[Protected Items:]{.underline}

*Number of rows resulting*

*from the search*

*criteria entered:* The total number of Assistance Action rows in the
database that matched the supplied search criteria. This value applies
to the top list box.

*Number of rows*

*Displayed:* The number of Assistance Action rows available for viewing
in the list box via the vertical scroll bar. This value applies to the
top list box.

*Number of rows*

*Displayed:* The number of Water System rows available for viewing in
the list box via the vertical scroll bar. This value applies to the
bottom list box.

[Menu Items:]{.underline}

**File**

*Exit* Will close the page and return to the invoking page.

**Edit**

*Add* Will present the Assistance Action Maintenance page in add mode.

> This item will be available regardless of a selection having been made
> in the first list box.

*Change* Will present the Assistance Action Maintenance page in change
mode.

> This item will not be available if an assistance action has not been
> selected in the first list box.
>
> A double-click on a row will function as this menu item.
>
> *Delete* Will present the following Confirm Deletion of Assistance
> Action with Associated Water Systems dialog box if the assistance
> action is associated to one or more water systems with a **Yes** and a
> **No** button and the message: **The Assistance Action you want to
> delete is already associated to one or more water systems. Do you
> still want to delete this Assistance Action?** (Exhibit 6-32).
>
> ![](media/image39.png){width="4.1875in" height="2.125in"}

[]{#__RefHeading___Toc173637316 .anchor}**Exhibit 6-32.** Confirm
Deletion of Assistance Action with Associated Water Systems

[Buttons:]{.underline}

> **Yes** The assistance action will be deleted and the associations to
> Water Systems will be cascade deleted and then the user will be
> returned to the Assistance Action Maintenance List.
>
> **No** Will cancel the delete request and return to the Assistance
> Action Maintenance List.
>
> If no associations to water systems exist, will present the Confirm
> Assistance Action Delete (Exhibit 6-33) dialog box.
>
> ![](media/image40.png){width="3.75in" height="2.0208333333333335in"}

[]{#__RefHeading___Toc173637317 .anchor}**Exhibit 6-33.** Confirm
Assistance Action Delete

[Buttons:]{.underline}

> **Yes** The assistance action will be deleted and returned to the
> Assistance Action Maintenance List.
>
> **No** Will cancel the delete request and return to the Assistance
> Action Maintenance List.
>
> This item will not be available if an assistance action has not been
> selected in the first list box.

**View**

> *Filter by* Will present a selection of any of the list columns that
> can be used to filter the list. The standard filter parameter dialog
> will be presented where a value can be entered. Use of this item will
> enable the Refresh item.
>
> *Refresh* Will remove the filter parameter and return the prior
> unfiltered list of assistance actions.
>
> *Search* Will present the Assistance Action Search page. Prior
> criteria will be present.
>
> *Sort* Will present the standard sort parameter dialog where the
> assistance actions may be sorted by any of the list columns. Three
> levels of sorting will be supported.

[Buttons:]{.underline}

**Menu Items** Will present the standard menu items dialog box.

**Scroll Buttons** Will scroll the list box in the direction of the
arrow displayed on the button.

####  Assistance Action Maintenance

Exhibit 6-34 depicts the Assistance Action Maintenance page.

![](media/image41.png){width="6.493055555555555in"
height="4.429861111111111in"}

[]{#__RefHeading___Toc173637318 .anchor}**Exhibit 6-34.** Assistance
Action Maintenance

[Toolbar Icons:]{.underline}

![](media/image6.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke the
Water System Information page, which will display basic inventory
information for the given Water System.

![](media/image13.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Violation Information page, which will display violations incurred by
the given Water System and enforcement actions related to those
violations.

![](media/image14.png){width="0.21944444444444444in"
height="0.21944444444444444in"} Clicking on this icon will invoke the
Enforcement Action Information page, which will display enforcement
actions applied to the given Water System and violations related to
those enforcement actions.

![](media/image8.png){width="0.22361111111111112in"
height="0.22361111111111112in"} Clicking on this icon will invoke
Related POC Maintenance List page, which will display a protected list
of legal entities and individuals (e.g., operators, engineers)
associated with the given Water System.

[Entry Fields:]{.underline}

*State Asgn ID No.* A text field a state can use to assign an
identification number to the assistance action. When a value is entered
and the user tabs off or clicks out of this field, the value is checked
for uniqueness among existing assistance actions. If an assistance
action is found with the same State Asgn ID No., the error message will
be **Assistance Action State ID No. not unique.**

This will be an optional field.

*Assistance Provided by*

*Entity* The name of the government agency providing the assistance
action. The name must be a valid name of a LEGAL_ENTITY defined as a
GOVERNMENT_AGENCY. If it is not, when the user tabs off or clicks out of
this field, the Legal Entity Maintenance List will be presented in
single-select mode where a selection can be made from a list of
government agency-type legal entities and returned to this field.

This will be a required field. It will default to the primacy agency.

*Individual* The name of an individual providing the assistance action.
The name should be provided in the format of lastname, firstname. The
name must be a valid name of a LEGAL_ENTITY defined as an INDIVIDUAL. If
it is not, when the user tabs off or clicks out of this field, the Legal
Entity Maintenance List will be presented in single-select mode where a
selection can be made from a list of individual-type legal entities and
returned to this field.

This will be an optional field.

*Action Type* The three-character action type code to which the
assistance action applies. The supplied value must be a defined action
type. If it is not, when the user tabs off or clicks out of this field,
the Action Type Maintenance List will be presented in single-select mode
with a default list of state-defined action types. A selection may be
made and returned to this field. The action type name will also be
returned and displayed.

This will be a required field.

*Status* The status code of the assistance action. Permitted values
available in the dropdown list are:

Completed

Proposed

Offered but Rejected

The default value will be Completed.

*Status Date* The date the assistance action entered the displayed
status. The default will be current date.

This will be an optional field.

*Water System*

*List Box* The list of water systems to which the assistance action has
been provided or offered. It will list the Water System No. and water
system name in ascending name order.

*Comments* A descriptive text of the assistance action.

This will be an optional field.

[Protected Items:]{.underline}

\[Action Type Name\] Will be displayed when a valid action type has been
entered or selected for the Action Type field.

[Buttons:]{.underline}

\[Entity\]

**Go To** Will present the Legal Entity Maintenance List in
single-select mode where a selection can be made and returned to the
entry field. When the entry field contains a value, it will be used as
the starting search criteria for the list items. The list will contain
only legal entities with type_code of "GA."

\[Individual\]

**Go To** Will present the Legal Entity Maintenance List in
single-select mode where a selection can be made and returned to the
entry field. When the entry field contains a value, it will be used as
the starting search criteria for the list items. The list will contain
only legal entities with type_code of "IN."

\[Action Type\]

**Go To** Will present the Action Type Maintenance List where a
selection can be made and returned to the entry field. The action type
name will also be returned and displayed.

**Associate Water**

**System** Will present the Water System Maintenance List in
multi-select mode where one or more water systems can be selected and
returned to the list box. The list will be limited by the members of the
user's current group assignment. The newly selected water systems will
be displayed in the Water System list box below any previously listed
water systems. No database activity has occurred at this point and
pressing the **Cancel** button will discard the association of the new
water systems to the assistance action.

This button will be disabled if no Entity name is provided.

**Disassociate Water**

**System** Will remove the water system from the list box and mark it
for disassociation from the assistance action. No database activity has
occurred at this point and pressing the **Cancel** button will discard
the disassociation.

This button will only be enabled when a water system has been selected
in the list box.

**OK** Will perform the following edits:

-   If Entity is left blank, the error message will be **Entity is a
    required field and must be selected.**

-   If Action Type is left blank, the error message will be **An Action
    Type must be specified.**

-   If status is Completed and Status Date does not contain a date, the
    error message will be **A Status Date must be entered if the Status
    is Completed.**

> Add Mode Will create an ASSISTANCE_ACTION and associate it to the
> government agency and action type. If an individual was specified, it
> will also be associated to the INDIVIDUAL.
>
> If any water systems were selected for assignment and are displayed in
> the list box, a WATER_SYSTEM_ASSIST_ACTION_ASGMT will be created and
> associated to the Water System and Assistance Action.
>
> The page will close and return to the Assistance Action Maintenance
> List.

Change

> Mode The ASSISTANCE_ACTION will be updated with any change in State
> Asgn ID No., status code, date, or comments.
>
> If a different entity was selected, the ASSISTANCE_ACTION will be
> associated to the new government agency.
>
> If an individual is either added or changed, the association will be
> directed to the new INDIVIDUAL. If the individual is deleted, the
> association to INDIVIDUAL will be removed.
>
> The d_userid_code and d_last_update_timestamp will be set to current
> values if any of the above modifications are made.
>
> The Water System list box will be processed. Newly assigned water
> systems will cause a WATER_SYSTEM_ASSIST_ACTION_ASGMT to be created
> and associated to the Water System and Assistance Action. Water
> Systems that were unassigned will result in the
> WATER_SYSTEM_ASSIST_ACTION_ASGMT being deleted.
>
> The page will close and return to the Assistance Action Maintenance
> List.

**Cancel** If any information about the assistance action has changed,
including the Water System list box, the standard cancel confirmation
dialog will be presented. If no changes were made, the page will close
and return to the Assistance Action Maintenance List.

**Help** Will invoke the system online Help facility.

## Reports

### EBS Reports

The EBS Reports component will enable users to generate two types of
reports: an Annual Compliance Report and a Compliance Schedule report.
The design for each of these two types of reports are presented below.
The menu to access these reports are as follows:

![](media/image42.png){width="3.928472222222222in"
height="2.907638888888889in"}

Annual Compliance Report

The Annual Compliance Detail Report is based on EPA's *Guidance for
States on Preparing Annual Public Water System Compliance Reports* for
2004. However, it will differ from EPA's specifications in these ways:

1.  It will include even minor EPA-defined violations whereas EPA
    guidance says that minor monitoring violations do not need to be
    included and minor CCR violations should not be included.

2.  When a violation is recorded as a group violation in SDWIS/STATE,
    the group violation will be displayed not the individual violations
    within the group.

3.  State violations will be included.

When the user selects **Enforcement Report/Annual Compliance Report**
from the *Enforcement Action* menu item on the *SDWIS/STATE Home Page*,
the Annual Compliance Reporting Interval page will be presented (Exhibit
6-35). (R0101:A.6.5.1.a)

![](media/image43.png){width="6.490972222222222in"
height="4.271527777777778in"}

**Exhibit 6-35.** Annual Compliance Reporting Interval

[Entry Fields:]{.underline}

*Begin Date.* This date and the End Date define the period covered by
the compliance report. The period is used to determine the violations
that will be selected for the report. The criteria for selecting a
violation are slightly different for EPA-defined violations (i.e.,
Violation Type St Code = HQ) and primacy agency defined violations
(i.e., Violation Type St Code is not equal to HQ).

> For EPA-defined violations, a violation is selected if:

(1) The violation type is an EPA-defined violation type (B.6.5.1.a) and

(2) The federal violation period begin date is on or before the *End*
    *Date* and the federal violation end date is on or after the *Begin
    Date* or is null

> Except that:

(3) if a violation that meets the above criteria is associated to a SOX
    or EOX enforcement action record where the Enforcement Action

    a.  status is Taken and

    b.  its Status Date is before the Begin Date

> the violation will not be selected (B.6.5.1.b)
>
> For primacy agency defined violations, a violation is selected if:

(1) The violation type is NOT an EPA-defined violation type (B.6.5.1.c)
    and

(2) The state violation period begin date is on or before the *End Date*
    or is null and the state violation end date is on or after the
    *Begin Date* or is null

> Except that:

(3) if a violation that meets the above criteria is associated to a SOX
    or EOX enforcement action record where the Enforcement Action

    a.  status is Taken and

    b.  its Status Date is before the Begin Date

> the violation will not be selected (B.6.5.1.d)
>
> The above includes violations that began before the selected period
> and ended during it, violations that began during the selected period
> (whether they ended during it or after it) and violations that began
> before the selected period and ended after it (or have not ended).

Begin Date is a required field.

*End Date.* This date and the Begin Date define the period covered by
the compliance report. The period is used to determine the violations
that will be selected for the report and is used as described in the
description of the Begin Date.

End Date is a required field.

[Buttons:]{.underline}

**OK** Will search the database and find violations that satisfy the
criteria given below.

> The results will be presented on the Annual Compliance Report.
>
> The title of the report will be "Compliance Detail Report Report
> Period: \[Begin Date\] to \[End Date\]".
>
> The software will search the database and find violations that satisfy
> these criteria:

-   SELECT
    IIf(TMNVTYPE!TMNVTYPE_ST_CODE=\"HQ\",IIf(\[RPT_PACK_VIO_FED\]\<\>\"N\",\"1\",\"2\"),\"3\")
    AS VIO_CATEGORY, IIf(TMNVTYPE!TSAANLYT_IS_NUMBER Is Not
    Null,TMNRULE!ABBREVIATION_TEXT,IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,\[MCL-MRDL_Rule-Q\]!ABBREVIATION_TEXT,\[ANGRP-1st-Q\]!ABBREVIATION_TEXT))
    AS \[RULE-CD\], TSAANLYT.CFR_SECTION_REF_CD, TSAANLYT.TYPE_CODE,
    TMNVTYPE.CATEGORY_CODE, Trim(\[D_PRIN_CNTY_SVD_NM\]) AS COUNTY,
    TINWSYS.NUMBER0, TINWSYS.NAME, TINWSYS.ACTIVITY_STATUS_CD,
    TINWSYS.ACTIVITY_DATE, IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,TSAANLYT!CODE,TSAANGRP!CODE) AS \[CONT-CODE\],
    IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is Null,TSAANLYT!NAME,TSAANGRP!NAME)
    AS \[CONT-NAME\], IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,TMNVIOL!EXTERNAL_SYS_NUM,TMNVGRP!GROUP_NUMBER) AS \[VIO-ID\],
    TMNVTYPE.TYPE_CODE, TMNVTYPE.SEVERITY_LEVEL, TMNVTYPE.NAME,
    IIf(TMNVTYPE!TSAANLYT_IS_NUMBER Is
    Null,IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,TSAANLYT!CODE,TSAANGRP!CODE),TSAANLYT_1!CODE) AS
    \[FED-RPTD-CODE\], TMNVIOL.STATUS_TYPE_CODE,
    IIf(TMNVIOL!TMNVTYPE_ST_CODE=\"HQ\",\[FED_PRD_BEGIN_DT\],\[STATE_PRD_BEGIN_DT\])
    AS \[VIO-BEGIN-DATE\],
    IIf(TMNVIOL!TMNVTYPE_ST_CODE=\"HQ\",\[FED_PRD_END_DT\],\[STATE_PRD_END_DT\])
    AS \[VIO-END-DATE\], \[ACR-SS2-RTC-SQ\].STATUS_DATE AS \[RTC-DATE\],
    Count(TMNVIOL.EXTERNAL_SYS_NUM) AS NUMB_IND_VIOS

-   FROM ((((((TSAANGRP RIGHT JOIN (((TSAANLYT RIGHT JOIN (TMNVIOL INNER
    JOIN TMNVTYPE ON (TMNVIOL.TMNVTYPE_IS_NUMBER =
    TMNVTYPE.TMNVTYPE_IS_NUMBER) AND (TMNVIOL.TMNVTYPE_ST_CODE =
    TMNVTYPE.TMNVTYPE_ST_CODE)) ON TSAANLYT.TSAANLYT_IS_NUMBER =
    TMNVIOL.TSAANLYT_IS_NUMBER) INNER JOIN TINWSYS ON
    TMNVIOL.TINWSYS_IS_NUMBER = TINWSYS.TINWSYS_IS_NUMBER) LEFT JOIN
    TMNVGRP ON TMNVIOL.TMNVGRP_IS_NUMBER = TMNVGRP.TMNVGRP_IS_NUMBER) ON
    TSAANGRP.TSAANGRP_IS_NUMBER = TMNVGRP.TSAANGRP_IS_NUMBER) LEFT JOIN
    TSAANLYT AS TSAANLYT_1 ON (TMNVTYPE.TSAANLYT_ST_CODE =
    TSAANLYT_1.TSAANLYT_ST_CODE) AND (TMNVTYPE.TSAANLYT_IS_NUMBER =
    TSAANLYT_1.TSAANLYT_IS_NUMBER)) LEFT JOIN \[ACR-SS2-RTC-SQ\] ON
    TMNVIOL.TMNVIOL_IS_NUMBER = \[ACR-SS2-RTC-SQ\].TMNVIOL_IS_NUMBER)
    LEFT JOIN \[ANGRP-1st-Q\] ON TSAANGRP.TSAANGRP_IS_NUMBER =
    \[ANGRP-1st-Q\].TSAANGRP_IS_NUMBER) LEFT JOIN \[MCL-MRDL_Rule-Q\] ON
    (TSAANLYT.TSAANLYT_ST_CODE = \[MCL-MRDL_Rule-Q\].TSAANLYT_ST_CODE)
    AND (TSAANLYT.TSAANLYT_IS_NUMBER =
    \[MCL-MRDL_Rule-Q\].TSAANLYT_IS_NUMBER)) LEFT JOIN \[TACR-ANL-RL-A\]
    ON (TSAANLYT_1.TSAANLYT_IS_NUMBER =
    \[TACR-ANL-RL-A\].TSAANLYT_IS_NUMBER) AND
    (TSAANLYT_1.TSAANLYT_ST_CODE = \[TACR-ANL-RL-A\].TSAANLYT_ST_CODE))
    LEFT JOIN TMNRULE ON \[TACR-ANL-RL-A\].TMNRULE_IS_NUMBER =
    TMNRULE.TMNRULE_IS_NUMBER

-   GROUP BY
    IIf(TMNVTYPE!TMNVTYPE_ST_CODE=\"HQ\",IIf(\[RPT_PACK_VIO_FED\]\<\>\"N\",\"1\",\"2\"),\"3\"),
    IIf(TMNVTYPE!TSAANLYT_IS_NUMBER Is Not
    Null,TMNRULE!ABBREVIATION_TEXT,IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,\[MCL-MRDL_Rule-Q\]!ABBREVIATION_TEXT,\[ANGRP-1st-Q\]!ABBREVIATION_TEXT)),
    TSAANLYT.CFR_SECTION_REF_CD, TSAANLYT.TYPE_CODE,
    TMNVTYPE.CATEGORY_CODE, Trim(\[D_PRIN_CNTY_SVD_NM\]),
    TINWSYS.NUMBER0, TINWSYS.NAME, TINWSYS.ACTIVITY_STATUS_CD,
    TINWSYS.ACTIVITY_DATE, IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,TSAANLYT!CODE,TSAANGRP!CODE), IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,TSAANLYT!NAME,TSAANGRP!NAME), IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,TMNVIOL!EXTERNAL_SYS_NUM,TMNVGRP!GROUP_NUMBER,
    TMNVTYPE.TYPE_CODE, TMNVTYPE.SEVERITY_LEVEL, TMNVTYPE.NAME,
    IIf(TMNVTYPE!TSAANLYT_IS_NUMBER Is
    Null,IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,TSAANLYT!CODE,TSAANGRP!CODE),TSAANLYT_1!CODE),
    TMNVIOL.STATUS_TYPE_CODE,
    IIf(TMNVIOL!TMNVTYPE_ST_CODE=\"HQ\",\[FED_PRD_BEGIN_DT\],\[STATE_PRD_BEGIN_DT\]),
    IIf(TMNVIOL!TMNVTYPE_ST_CODE=\"HQ\",\[FED_PRD_END_DT\],\[STATE_PRD_END_DT\]),
    \[ACR-SS2-RTC-SQ\].STATUS_DATE, TMNVIOL.FED_PRD_BEGIN_DT,
    TMNVIOL.FED_PRD_END_DT, TMNVIOL.STATE_PRD_BEGIN_DT,
    TMNVIOL.STATE_PRD_END_DT, TMNVIOL.TMNVTYPE_ST_CODE

-   HAVING (((TMNVIOL.STATUS_TYPE_CODE)=\"V\") AND
    ((\[ACR-SS2-RTC-SQ\].STATUS_DATE)\>=#1/1/2005# Or
    (\[ACR-SS2-RTC-SQ\].STATUS_DATE) Is Null) AND
    ((TMNVIOL.FED_PRD_BEGIN_DT)\<=#12/31/2005#) AND
    ((TMNVIOL.FED_PRD_END_DT)\>=#1/1/2005# Or (TMNVIOL.FED_PRD_END_DT)
    Is Null) AND ((TMNVIOL.TMNVTYPE_ST_CODE)=\"HQ\")) OR
    (((TMNVIOL.STATUS_TYPE_CODE)=\"V\") AND
    ((\[ACR-SS2-RTC-SQ\].STATUS_DATE)\>=#1/1/2005# Or
    (\[ACR-SS2-RTC-SQ\].STATUS_DATE) Is Null) AND
    ((TMNVIOL.STATE_PRD_BEGIN_DT)\<=#12/31/2005# Or
    (TMNVIOL.STATE_PRD_BEGIN_DT) Is Null) AND
    ((TMNVIOL.STATE_PRD_END_DT)\>=#1/1/2005# Or
    (TMNVIOL.STATE_PRD_END_DT) Is Null) AND
    ((TMNVIOL.TMNVTYPE_ST_CODE)\<\>\"HQ\"))

-   ORDER BY
    IIf(TMNVTYPE!TMNVTYPE_ST_CODE=\"HQ\",IIf(\[RPT_PACK_VIO_FED\]\<\>\"N\",\"1\",\"2\"),\"3\"),
    IIf(TMNVTYPE!TSAANLYT_IS_NUMBER Is Not
    Null,TMNRULE!ABBREVIATION_TEXT,IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is
    Null,\[MCL-MRDL_Rule-Q\]!ABBREVIATION_TEXT,\[ANGRP-1st-Q\]!ABBREVIATION_TEXT)),
    TSAANLYT.CFR_SECTION_REF_CD, TMNVTYPE.CATEGORY_CODE, TINWSYS.NAME,
    IIf(TMNVIOL!TMNVGRP_IS_NUMBER Is Null,TSAANLYT!CODE,TSAANGRP!CODE),
    TMNVTYPE.TYPE_CODE, TMNVTYPE.SEVERITY_LEVEL,
    IIf(TMNVIOL!TMNVTYPE_ST_CODE=\"HQ\",\[FED_PRD_BEGIN_DT\],\[STATE_PRD_BEGIN_DT\]),
    IIf(TMNVIOL!TMNVTYPE_ST_CODE=\"HQ\",\[FED_PRD_END_DT\],\[STATE_PRD_END_DT\]);

> It will show the Water System No. (label: PWS ID) and Name (label: PWS
> Name), the federally reportable contaminant code (label: Fed Code),
> the Analyte Code (label: \[Contaminant/Rule\] Code) and Analyte Name
> (label: \[Contaminant/Rule\] Name), the Violation Type Code
> concatenated to Violation Type Severity (label: \[Violation Type\]
> Code), the Violation Type Name (label: \[Violation Type\] Name), the
> Federal Violation Period Begin and End Dates for EPA-defined
> violations and the State Violation Period Begin and End Dates for the
> state-defined violations (label: Compliance Period) and the date the
> violation was returned to compliance (label: RTC Date).
>
> The report will be grouped by Violation Category, by Rule Code, and
> then by Violation Type Category. Within these groups, they will then
> be sorted by Water System Name, Violation Type, Violation Severity,
> Analyte Name, and Violation Period. After each change in the three
> group levels, the total number of violations in the group will be
> presented. This report is depicted in Exhibits 6-37 through 6-40.

![](media/image44.png){width="7.670138888888889in"
height="6.145138888888889in"}

Exhibit 6-37: Annual Compliance Report -- First Page

![](media/image45.png){width="7.682638888888889in"
height="6.154861111111111in"}

Exhibit 6-38: Annual Compliance Report -- Second Page

![](media/image46.png){width="7.682638888888889in"
height="6.154861111111111in"}

Exhibit 6-39: Annual Compliance Report -- Page at End of a Violation
Category

![](media/image47.png){width="7.427083333333333in"
height="5.950694444444444in"}

Exhibit 6-40: Annual Compliance Report -- Last Page

> (B.6.5.1.e)
>
> The report will be printable. It will have a report footer with the
> Report generate date and time and report page number.

**Cancel** Will return to the SDWIS/STATE Home Page.

**Help** Will invoke the system online Help facility.

### Compliance Schedule Report

The Compliance Schedule Report shows public water systems that have met,
missed, or are approaching schedule deadlines. This report helps
compliance officers identify which water system owners comply with
schedules set by the primacy agency. The report includes the Compliance
Schedule for the Water system, the enforcement action associated to the
Compliance Schedule, and details of any violations associated with the
enforcement action.

When the user selects **Enforcement Report/ Compliance** **Schedule**
**Report** from the *Enforcement Action* menu item on the *SDWIS/STATE
Home Page*, the Compliance Schedule Report Search page will be presented
(Exhibit 6-36). (R0101:A.6.5.2.a)

![](media/image48.png){width="6.491666666666666in"
height="3.8534722222222224in"}

**Exhibit 6-36.** Compliance Schedule Report Search

[Entry Fields:]{.underline}

*Water System*

*Number* The Water System No. can be entered to focus the presentation
of Compliance Schedules to a single Water System.

> Water System No. will be optional. It will be pre-populated with a
> dropdown selection list of all Water System No.s (in ascending order)
> stored within SDWIS/State. When a selection is made, the Water System
> Name will automatically be populated.

*Water System*

*Name* The Water System Name can be entered to focus the presentation of
Compliance Schedules to a single Water System.

> Water System Name will be optional. It will be pre-populated with a
> dropdown selection list of all Water System Names (in ascending order)
> stored within SDWIS/State. When a selection is made, the Water System
> No. will automatically be populated.

*Regulating*

*Agency* The Regulating Agency name can be entered to focus the
presentation of Compliance Schedules to those issued by the selected
Regulating Agency (i.e., associated with the selected Regulating Agency
-- note this is not limiting the selection to water systems associated
to the Regulating Agency but Compliance Schedules associated to the
Regulating Agency).

Regulating Agency will be optional. It will be pre-populated with a
dropdown selection list of all Government Agency (GA) Legal Entity
Names, in ascending order, whose regulating agency indicator is set to
'Y'.

*Compliance*

*Officer* The Compliance Officer name can be entered to focus the
presentation of Compliance Schedules to only those issued/tracked by the
selected Compliance Officer.

Compliance Officer will be optional. It will be pre-populated with a
dropdown selection list of all Individual (IN) Legal Entity Names, in
ascending order.

*Schedule*

*Type* The Schedule Type can be entered to focus the presentation of
Compliance Schedules to only those of the selected type code.

Schedule Type will be optional. It will be pre-populated with a dropdown
selection list of all permitted values (text value concatenated with the
description) where code table name is "TENSCHD1."

*Compliance Schedule Effective Date Range*

*From \[date\]* The beginning date for which the selected Compliance
Schedule's effective date must be greater than or equal to.

*To \[date\]* The end date for which the selected Compliance Schedule's
effective date must be less than or equal to.

The Compliance Schedule Effective Date Range From and To date are both
optional.

*No \[of\].* *Days*

*Pending* Allows you to enter the number of days for which to select
Compliance Schedule's that have a Schedule Activity in Pending status
and whose due date falls within the specified number of days from the
current date. For example, if the Number of Days Pending is 30 and the
current date is 09/01/2007, the report will contain Compliance Schedules
that have a Schedule Activity in Pending status and whose due date is \<
= 9/30/2007 (9/01/2007 + 30 days).

> Number of Days Pending will be an optional field. The default value
> will be 30. It will remain protected until the Pending Activity
> Condition check box is marked with a check.

[CheckBoxes:]{.underline}

*Schedule Status*

> This group box contains three check boxes where no, one, or more
> selections can be made. The selection(s) will be used to focus the
> presentation of the Compliance Schedules to only those of the selected
> status codes. The check boxes are:
>
> Final
>
> Superseded
>
> Proposed
>
> Because schedule status is an optional field, regardless of the
> selection(s) made, the report will also include schedules with a blank
> status. Therefore, if a Schedule Status is not selected, the report
> will only return Compliance Schedules with no status.

*Closure Status*

> This group box contains two check boxes where at least one or both can
> be selected. The selection(s) will be used to focus the presentation
> of the Compliance Schedules to only those of the closure status
> selected. The check boxes are:
>
> Open
>
> Closed
>
> The Open closure status means that the Compliance Schedule Closed Date
> is null or in the future.
>
> The Closed closure status means that the Compliance Schedule Closed
> Date is not null and is the current date or in the past.
>
> One selection must be made or the error message will be **A Closure
> Status selection must be made.**

*Activity Condition*

> This group box contains four check boxes where at least one selection
> can be made. The selection(s) will be used to focus the presentation
> of the Compliance Schedules to only those that have a Compliance
> Schedule Activity in the selected condition. The check boxes are:
>
> Overdue
>
> Pending
>
> Late
>
> On Time
>
> If Pending is selected and the \"No. of Pending Days\" field is
> valued, the report will only return Compliance Schedules that have one
> or more Activities that are due in the number of days indicated in the
> \"No. of Pending Days.\"
>
> *Note: If an Activity is selected based on the criteria entered, the
> report not only includes that Activity but also all the other
> Activities for the same Compliance Schedule so that Compliance
> Officers can also see what has been accomplished relative to the other
> required activities for the selected Compliance Schedule.* *Stated
> another way, even though a user must specify the condition of the
> activities he wants to see, the report is selecting Compliance
> Schedules to display, not individual Activities.*
>
> One selection must be made or the error message will be **An Activity
> Condition selection must be made.**

[Buttons:]{.underline}

**Check All** The first **Check All** button will place check marks in
all check boxes contained within the Schedule Status and Closure Status
group boxes.

**Check All** The second **Check All** button will place check marks in
all check boxes contained within the Activity Condition group box.

**OK** Will search the database and find all Compliance Schedules
meeting the specified criteria. The results will be presented on the
Compliance Schedule Report.

> It will show the Water System No. and Name, the Compliance Schedule
>
> No., Type, Effective Date, Compliance Officer, Status, Closed Date,
> and Schedule Condition; the Schedule Activity Name, Due Date, Achieved
> Date, Projected Date, Reported Date, Condition, Responsible Party, and
> associated Deficiency No., associated Enforcement Action No and Type,
> and the associated Violation's Year, No., Analyte Code, (and
> Reportable Fed Code), Violation Type, State Violation Period Begin and
> End dates, and Determination Date.
>
> The report will be group by ascending Water System No. and sorted by
> ascending Violation Year/No. within ascending Enforcement Action No.
> within ascending Compliance Schedule Activity Due Date, within
> ascending Compliance Schedule No. within ascending Water System No..
>
> At the top of the report the search criteria provided will be
> presented. At the end of the report a total count of Water Systems
> appearing on the report will be presented.
>
> The report will be printable. It will have a report footer with the
> Report generate date and time and report page number.

**Exit** Will return to the SDWIS/STATE Home Page.

**Help** Will invoke the system online Help facility.