CONTENTS

[**2.0** **ONLINE SDWIS/STATE LEGAL ENTITY
2-1**](#online-sdwisstate-legal-entity)

[2.1 Legal Entity 2-3](#legal-entity)

[2.1.1 Model Changes for Legal Entity
2-3](#model-changes-for-legal-entity)

[2.1.2 Legal Entity Maintenance Page Flow
2-4](#legal-entity-maintenance-page-flow)

[2.2 Collector 2-55](#collector)

[2.3 Laboratory (Lab) 2-56](#laboratory-lab)

**EXHIBITS**

[**Exhibit 2-1.** SDWIS/STATE Home Page
2-1](#__RefHeading___Toc173643411)

[**Exhibit 2-2.** Legal Entity Search 2-5](#__RefHeading___Toc173643412)

[**Exhibit 2-3.** Legal Entity Maintenance List
2-8](#__RefHeading___Toc173643413)

[**Exhibit 2-4.** Legal Entity Assignment List
2-12](#__RefHeading___Toc173643414)

[**Exhibit 2-5.** Delete Legal Entity
2-13](#__RefHeading___Toc173643415)

[**Exhibit 2-6.** Individual Maintenance
2-16](#__RefHeading___Toc173643416)

[**Exhibit 2-7.** Cancel Confirm 2-24](#__RefHeading___Toc173643417)

[**Exhibit 2-8.** Government Agency Maintenance
2-26](#__RefHeading___Toc173643418)

[**Exhibit 2-9.** Legal Entity Maintenance
2-35](#__RefHeading___Toc173643419)

[**Exhibit 2-10.** Communication Maintenance Page
2-43](#__RefHeading___Toc173643420)

[**Exhibit 2-11.** Point of Contact Assignments List
2-46](#__RefHeading___Toc173643421)

[**Exhibit 2-12.** Legal Entity Related POC Maintenance List
2-50](#__RefHeading___Toc173643422)

#  {#section .unnumbered}

# ONLINE SDWIS/STATE LEGAL ENTITY

The Legal Entities component allows users to maintain the organizations,
people, and places associated with the primacy agency's Safe Drinking
Water Program (Exhibit 2-1). This component includes data about sample
collectors. The application uses the term *legal entity* to define any
individual, government agency, or other group (e.g., corporation)
associated with a water system. The data on legal entities includes
names, addresses, phone numbers, and e-mail addresses. To link
information about a legal entity to data in other areas of the
application, the legal entity must first be added using this area of the
application.

  ---------------------------------------------------- ---------------------------------------------------
  ![](media/image1.png){width="1.5986111111111112in"   ![](media/image2.png){width="3.995138888888889in"
  height="3.839583333333333in"}                        height="3.053472222222222in"}

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

[]{#__RefHeading___Toc173643411 .anchor}**Exhibit 2-1.** SDWIS/STATE
Home Page

The following types of legal entities will be supported:

**Company (CM)** An entity registered with a state, county, city,
township, or other body that licenses businesses to perform services and
charge fees. Companies are generally owned and operated by an individual
or a corporation.

**Cooperative (CP)** An entity owned by water system users. Cooperatives
are often owned, managed, and operated by members who pay dues for
services on a scheduled basis.

**Corporation (CR)** An entity registered with a state, country, city,
township, or other body that licenses businesses to perform services and
charge fees. In general, a corporation is a group of people who obtain a
charter granting them, as a body, certain legal powers, rights,
privileges, and liabilities of an individual. A corporation can buy,
sell, and inherit property.

**Government**

**Agency (GA)** In SDWIS/STATE, the classification Government Agency is
intended to be limited to agencies such as federal, state, county, city,
or township agencies that *regulate* water system owners. In the real
world, of course, government agencies also own water systems as well as
laboratories, but the classification of Government Agency in SDWIS/STATE
was *not* designed for this purpose. A government agency that only owns
a water system or laboratory should not be entered as a government
agency. The water system it owns, however, should be designated as
government-owned in the Owner Type field in *Inventory*.

**Homeowners'**

**Association (HA)** An entity owned by the users of the water system
that is similar to a cooperative, but with membership limited to
individuals who own property within a subdivision or other local
residential development. Homeowners' associations are often owned,
managed, and operated by members that pay scheduled dues for services.

**Individual (IN)** A person who has legal status within the definition
of individual in a given law, rule, ordinance, or other legal document.
Individuals often own companies and water systems. SDWIS/STATE users are
also *Legal Entity---Individuals*. Each user is assigned specific
privileges to use given SDWIS/STATE component(s) by the SDWIS/STATE
Administrator and Database Administrator.

**Non-Profit (NP)** Typically a corporation that provides a service but
does not make an intentional profit. Non-profits are often funded by
donations, sliding scale rates, or other fees that are sufficient
sources of income for the corporation to pay its operating expenses, but
not enough to make a profit. They are typically registered with a
corporation commission much like a typical for-profit corporation or a
rate-set utility would be, and rates are controlled accordingly.

**Other (OT)** Because the above types are not all inclusive, a type of
other is used to categorize an entity that does not fit any of the other
categories.

**Rate-Set**

**Utility (RU)** Typically a corporation that provides a service for a
profit. Rate-set utilities are funded by payment of fees set at specific
rates by a government agency such as a corporation commission. Rates
that are considered fair to the customer are set by the agency and are
also sufficient for the utility to remain financially viable, thereby
providing continuous and adequate service. They are typically registered
with a corporation commission much as is a for-profit corporation.

**Treatment Plant**

**(TP)** An entity intended to be used when the user enters a physical
address for a treatment plant (EPA guidance indicates that users must
either report the latitude and longitude for a treatment plant
\[including supporting data\] depending on the type of Public Water
System, or the physical address).

**Trust (TR)** An entity funded by sources that contributed before the
entity's inception. These funds can be donations or endowments and are
often maintained by dividends from investments of the original funds.

**Water System**

**(WS)** An entity intended to be used when the user enters a physical
address for a water system.

## Legal Entity

### Model Changes for Legal Entity

Changes to LEGAL_ENTITY (TINLGENT):

-   Schema migrate country_code attribute with value "FQ" to "FO".
    (R0064:A.2.1.1.a)

Create new entity LEGAL_ENTITY_CONTACT. (R0059:A.2.1.1.b)

-   Subject Area: Legal Entities.

-   Description: Store information about the points of contact for a
    legal entity.

-   Physical name: TINLEC.

-   Attributes:

```{=html}
<!-- -->
```
-   Type_Code (char, 3, mandatory). Receives permitted values from the
    PERMITTED_VALUE table where Code_Name = 'POCTYPE.'

-   Begin_Dt (date, mandatory).

-   End_Dt (date, optional).

-   D_Last_Updt_Ts (timestamp, mandatory). Description: The timestamp at
    the update of the record.

-   D_Userid_Code (char, 8, mandatory). Description: The User ID of the
    last person to modify this record.

-   D_Initial_Ts (timestamp, mandatory). Description: The timestamp at
    the creation of the record.

-   D_Initial_Userid (char, 8, mandatory). Description: The User ID of
    the creator of the record.

```{=html}
<!-- -->
```
-   Relationships:

```{=html}
<!-- -->
```
-   Each LEGAL_ENTITY_CONTACT always represents one LEGAL_ENTITY (non
    transferable, disassociate).

-   Each LEGAL_ENTITY sometimes is represented in one or more
    LEGAL_ENTITY_CONTACT (non transferable, cascade delete).

-   Each LEGAL_ENTITY_CONTACT always references one contact one
    LEGAL_ENTITY (non transferable, disassociate).

-   Each LEGAL_ENTITY sometimes is a contact referenced in one or more
    LEGAL_ENTITY_CONTACT (non transferable, cascade delete).

```{=html}
<!-- -->
```
-   Identifiers: Type_Code, Begin_Dt, the two relationships (foreign
    keys) from LEGAL_ENTITY (TINLGENT).

### Legal Entity Maintenance Page Flow 

From the *SDWIS Home Page* the user selects **Legal Entities/Legal
Entity** to invoke the Legal Entity Search page (Exhibit 2-2), where the
user may specify any search criteria.

[Entry Fields:]{.underline}

Starting Criteria Group Box:

*\[Legal Entity\] Name* The name of the legal entity that will be used
for a search equal to, starting with, and greater than this value. If
the name is for an individual, enter in the format: last name, first
name. Example: Public, John Q.

> The Name field will be optional.

####  Legal Entity Search

Exhibit 2-2 depicts the Legal Entity Search.

  ---------------------------------------------------- ----------------------------------------------------
  ![](media/image1.png){width="1.5986111111111112in"   ![](media/image3.png){width="4.0472222222222225in"
  height="3.839583333333333in"}                        height="3.6659722222222224in"}

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

[]{#__RefHeading___Toc173643412 .anchor}**Exhibit 2-2.** Legal Entity
Search

Filtering Criteria Group Box:

*Legal Entity Type* The Legal Entity Type can be used to display only
legal entities of the type indicated in this field. The selections
available via the dropdown list are:

> \* Display All Types \*
>
> CM = Company
>
> CP = Cooperative
>
> CR = Corporation
>
> GA = Government Agency
>
> HA = Homeowner's Association
>
> IN = individual
>
> NP = non profit
>
> OT = Other
>
> RU = Rate Set Utility
>
> TP = Treatment Plant
>
> TR = Trust
>
> WS = Water System

When invoked from the Legal Entity function, \*Display All Types\* will
be the default value.

> Permitted values will be selected by entering the first letter of the
> desired value. If there is more than one permitted value starting with
> the same letter, entering the first letter the first time will bring
> up the first value (alphabetically), entering the letter a second time
> will bring up the second value (alphabetically) and so on.
>
> When invoked for the selection of a Collector, Individual will be the
> default value and will be protected.
>
> When invoked for the selection of a regulating agency, Government
> Agency will be the default value and will be protected.

[Tab Sequence:]{.underline}

\[Legal Entity\] Name, Legal Entity Type (when invoked from the Legal
Entity function), **Search**, **Cancel**, and **Help**.

[Buttons:]{.underline}

**Search** Will pass the provided search criteria and filter information
to the Legal Entity Maintenance List (Exhibit 2-3) for display of search
results.

> When invoked for the purpose of Collector selection list, only apply
> search to Individuals where Collector Indicator Code is equal to "Y."
> If only a single collector is found in the search, it will be
> displayed on the Individual Maintenance page and the Legal Entity
> Maintenance List will not be presented.
>
> Search Options:

-   
-   
-   
-   

If only Name is provided, will search for LEGAL_ENTITIES with names
equal to or greater than the supplied value.If only Type Code is
provided, will search for LEGAL_ENTITIES with type codes equal to the
selected value. (Display All will list all values.)If Name and Type Code
are provided, will search for LEGAL_ENTITIES with type codes equal to
the selected value and names equal to and greater than the supplied
value.If neither are provided, will list all LEGAL_ENTITIES.

**Cancel** Will close the Search page and return the user to the page
from where the Search was called.

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

####  Legal Entity Maintenance List

The Legal Entity Maintenance List (Exhibit 2-3) will display the results
of the Legal Entity Search in ascending Name order. The page can list a
maximum of 1000 legal entities. If more than 1000 show as resulting from
the search criteria, the search will need to be narrowed to view fewer
Legal Entities.

[List Columns:]{.underline}

Name, Type, Organization, Mailstop, Address Line 1, Address Line 2,
City, State, Zip, , and FedRep ID (which consists of TINLGENT_ST_CODE
concatenated to TINLGENT_IS_NUMBER). (B.2.1.2.2.a)

When the page is functioning as a Regulating Agency Selection List, the
list will contain only Government Agency (GA) type LEGAL_ENTITIES with
their regulating_agency_indicator set to 'Y'. Under this condition the
Type column will be modified to display the specific government_agency
type_code.

In all other situations the Type column will display the LEGAL_ENTITY
type_code.

  ---------------------------------------------------- ----------------------------------------------------
  ![](media/image1.png){width="1.5986111111111112in"   ![](media/image4.png){width="4.0152777777777775in"
  height="3.839583333333333in"}                        height="3.2444444444444445in"}

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

[]{#__RefHeading___Toc173643413 .anchor}**Exhibit 2-3.** Legal Entity
Maintenance List

When the page is functioning as the Collector Maintenance List, the list
will contain only Individual (IN) type LEGAL_ENTITIES that have been
indicated as being collectors.

When the page is functioning as a Laboratory Administrative Contact
Selection List, the **Edit/Add** will be enabled.. (R0059:A.2.1.2.2.a)

[Menu Items:]{.underline}

**File**

*Exit* Will return the user to the requesting page.

**Edit**

*Add* Will be available whether or not legal entity is highlighted in
the list box.

> *Individual* Will present the Individual Maintenance page in Add mode.

*Government*

> *Agency* Will present the Government Agency Maintenance page in Add
> mode.

*Other* Will present the Legal Entities Maintenance page in Add mode.

*Change* Will invoke the Individual, Government Agency, or Legal
Entities Maintenance page in Change mode as determined by the Type of
the Legal Entity highlighted in the list box.

> This item will be available only if a legal entity is highlighted in
> the list box.

Double-clicking a Legal Entity in the list will react as a change menu
item selection.

> *Select* Will return the selected Legal Entity to the requesting page.
>
> This item will only be available if the list is invoked by a page
> requesting a selection and a selection has been highlighted in the
> list box.

*Delete* Will be available only if a legal entity is highlighted in the
list box. The following conditions will result in a conflict denial of
the delete request:

> The Legal Entity:

-   

> Is a contact for a Water System, Water System Facility, other Legal
> Entity or Laboratory, the Legal Entity Assignment List will be
> presented and show the new Legal Entity Contacts. (R0059:A.2.1.2.2.b)

-   

> HQ Record (a Legal Entity with "HQ" in its State_Code). The following
> error message will be invoked: **This is maintained as a
> federally-owned reference record and cannot be removed.**

-   

Approves Standard Method Number. The following error message will be
invoked: **This is maintained as a federally-owned reference record and
cannot be removed.**

> Additionally for Individuals:

-   

> Collects Samples. The Legal Entity Assignment List will be presented.

-   

> Administers Compliance Schedules. The Legal Entity Assignment List
> will be presented.

-   

> Is responsible for Enforcement Actions. The Legal Entity Assignment
> List will be presented.

-   

Provides assistance actions. The following error message will be
invoked: **Legal Entity cannot be deleted, association to Assistance
Action exists.**

-   

Is party to a Site Visit. The Legal Entity Assignment List will be
presented.

-   

Is approving compliance officer for a Monitoring Waiver. The following
error message will be invoked: **Legal Entity cannot be deleted,
association to Monitoring Waiver exists.**

-   

> Is analyst for an MDBP Summary. The following error message will be
> invoked: **Legal Entity cannot be deleted, association to MDBP Summary
> exists.**
>
> Additionally for Government Agencies:

-   

> Is a Regulating Agency. The Legal Entity Assignment List will be
> presented.

-   

Associated to violations. The following error message will be invoked:
**Legal Entity delete disallowed. Legal Entity is a Gov't Agency for a
Violation.**

-   

> Establishes Rules or Monitoring Requirements. The following error
> messages will be invoked: **Legal Entity delete disallowed. Legal
> Entity is a Gov't Agency for a Rule**; **Legal Entity delete
> disallowed. Legal Entity is a Gov't Agency for a Monitoring Rqmt.**

-   

> Applies Standard Responses. The Legal Entity Assignment List will be
> presented.

-   

> Takes Enforcement Action. The Legal Entity Assignment List will be
> presented.

-   

> Sponsors Site Visits. The Legal Entity Assignment List will be
> presented.

-   

Establishes Compliance Schedules. The Legal Entity Assignment List will
be presented.

-   

> Grants a Monitoring Waiver. The following error message will be
> invoked: **Legal Entity cannot be deleted, association to Monitoring
> Waiver exists.**

-   

> Provides assistance actions. The following error message will be
> invoked: **Legal Entity cannot be deleted, association to Assistance
> Action exists.**

-   

> Is used in a dynamic Water System Group. The following error message
> will be invoked: **Legal Entity cannot be deleted, association to
> dynamic Water System Group exists.**
>
> Exhibit 2-4 depicts the Legal Entity Assignment List.

  ---------------------------------------------------- ---------------------------------------------------
  ![](media/image1.png){width="1.6034722222222222in"   ![](media/image5.png){width="4.041666666666667in"
  height="7.907638888888889in"}                        height="7.89375in"}

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

[]{#__RefHeading___Toc173643414 .anchor}**Exhibit 2-4.** Legal Entity
Assignment List

> [Legal Entity Assignment List Buttons]{.underline}

**Scroll**

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

> **OK** Will close the page and return to the maintenance list.
>
> **Help** Will invoke the system online Help facility.
>
> If the Legal Entity does not meet any of criteria listed for
> preventing the deletion, will present a confirmation question (Exhibit
> 2-5) requiring selection of **OK** or **Cancel** prior to removing the
> Legal Entity from the Legal Entity Maintenance list.

![](media/image6.png){width="4.103472222222222in"
height="2.1458333333333335in"}

[]{#__RefHeading___Toc173643415 .anchor}**Exhibit 2-5.** Delete Legal
Entity

[Delete Legal Entity Buttons:]{.underline}

> **OK** Will delete the legal entity and the Legal Entity Maintenance
> List will be redisplayed with the deleted Legal Entity removed. It
> cannot be retrieved.
>
> When deleted the following deletions may also occur:

-   
-   
-   

If the Legal Entity has an associated INDIVIDUAL, the INDIVIDUAL will be
removed.If the Legal Entity has an associated GOVERNMENT AGENCY, the
GOVERNMENT AGENCY will be removed.If the Legal Entity is an INDIVIDUAL
identified as a system user the D_USER will be removed.

> \- If the Legal Entity has one or more associated
> LEGAL_ENTITY_COMMUNICATION(s), the LEGAL_ENTITY_COMMUNICATION(s) will
> be removed.
>
> **Cancel** Will abort the delete request and return the user to the
> Legal Entity Maintenance List.

**View**

*Search* Will open the Legal Entity Search page described above.
Previously used search criteria will be present in the page display.

If the page is functioning as a Collector Selection list the type will
be pre-selected as 'INDIVIDUAL' and protected.

If the page is functioning as a Regulating Agency Selection list the
type will be pre-selected as 'Government Agency' and protected.

*Sort* Will open the standard sort page where the list may be sorted by
Name, Legal Entity Type, Organization, Mailstop, City, State, Zip and/or
FedRep ID.

*Filter* Will open the standard filter page where a value may be entered
for Name, Legal Entity Type, Organization, Mailstop, City, State, Zip or
FedRep ID. This value will be used to display only Legal Entities
matching the filter criteria.

Using the Filter item will remove some Legal Entities from the list box
display. The Number of Rows Displayed will show a count of the Legal
Entities resulting from the filter.

*Refresh* Will remove the Filter parameters and display up to 1000 rows
resulting from the search criteria.

> This menu item will be available only if the list box was previously
> filtered.

[Default Sort Order:]{.underline}

Ascending Legal Entity Name order. Individual legal entities are listed
Last Name first.

[Protected Fields:]{.underline}

*Number of rows*

*resulting from the*

*Search Criteria Used:* This value will indicate the number of Legal
Entities found in the database that matched the search criteria.

*Number of rows*

*Displayed:* This value will indicate the number of Legal Entities
available for viewing in the list box via the vertical scroll bar. The
list will be limited to 1000 legal entities. This value can be reduced
by using the **View/Filter** menu item. To view the legal entities
beyond 1000, more specific search criteria will need to be provided.

[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.

####  Individual Maintenance

The Individual Maintenance page (Exhibit 2-6) will be invoked from the
Search page or the maintenance list.

  --------------------------------------------------- ------------------------------------------------------
  ![](media/image1.png){width="1.854861111111111in"   ![](media/image7.png){width="5.778472222222222in"
  height="7.615277777777778in"}                       height="7.376388888888889in"}

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

[]{#__RefHeading___Toc173643416 .anchor}**Exhibit 2-6.** Individual
Maintenance

[Protected Items:]{.underline}

*FedRep ID* The FedRep ID represents the LEGAL_ENTITY internal system
number and state code that is used as the unique identifier for federal
reporting. This is the value that SDWIS/FedRep extracts to uniquely
identify the Legal Entity.

[Entry Fields:]{.underline}

*Salutation* The salutation or greeting for an individual. Values in the
dropdown list will be populated from the CODE PERMITTED_VALUE table
using code_name 'LESAL' that is maintained by the system administrator.

> The Salutation field will be optional.

*First Name & Initial* An individual's first name plus a middle initial.

> First Name and Initial will be a required field.

*Last Name* An individual's last name.

> Last Name will be a required field.

*Alias Name* The alias, common name, or acronym for a legal entity.

> The Alias Name field will be optional.

*Prof Qualification* The professional qualification of an individual,
such as CPA, PE, Rev., MD, RN, Esq., or Ph.D.

> The Prof Qualification field will be optional.

*Collector* When checked, this checkbox will indicate that the
Individual Maintenance information being entered is for a Collector.

> The Collector field will be optional.

*Operator Class* The certification class that an operator has achieved.

The operator class field will be optional.

*Organization* Identifies the individual's organization. The
Organization field will not be mandatory on the Individual Maintenance
page. It can be used to allow two or more individuals of the same first
name and last names to exist in the database.

> The Organization field will be optional.

*ID No.* An identification number of the legal entity. May be provided
by an external source such as employer or internal revenue service.

> The ID No. field will be optional.

*Job Title* The professional job title of an individual. Examples
include legal owner, general manager, engineer, and accountant.

> The Job Title field will be optional.

*Phone Numbers*

*\[List box\]* This list box displays the phone numbers recorded for the
legal entity in ascending Legal_Entity_Communication IS Number order.
All phone numbers will be optional. Only one selection may be made at a
time. Selection will enable the Modify and Delete buttons.

*Purpose* The purpose of the phone number indicates what the phone
number could be used for. Permitted values for Purpose are maintained by
the System Administrator.

*Phone Number* The phone number including area code in format
XXX-XXX-XXXX.

*Extension* The office extension of the phone number, expanded to five
digits.

*Electronic Addresses*

*\[List Box\]* This list box will list the purpose and address of
electronic addresses recorded for the legal entity in ascending
Legal_Entity_Communication IS Number order. All electronic addresses
will be optional. One electronic address may be selected at a time.
Selection will enable the Modify and Delete buttons.

*Purpose* The purpose of the electronic address indicates what the
address could be used for. Permitted values for Purpose are maintained
by the system administrator.

*Address* The government agency's electronic address.

*Address Line One* The first line of an address for a legal entity. This
line should be specified only as needed. If a responsible person or
agency is unavailable and the street address consists of only a single
line, the user may use only Address Line Two. The user may use this line
for the street address, rural route, P.O. Box, etc.

> The Address Line One field will be optional.

*Address Line Two* The second line of an address for the individual.
This line contains the street address, rural route, etc.

> The Address Line Two field will be optional.

*City* The city in which the legal entity is located.

> The City field will be optional.

*State* The two‑letter U.S. Postal Service (USPS) state abbreviation for
the legal entity's state when country is United States, the province
code when country is Canada (CA) or any other state or territorial code
for other country designations.

When country is United States and a value is supplied, the state code
must be one of the valid USPS state code abbreviations.

> When country is CA (Canada) and a value is supplied, one of the
> following Canadian province codes must be entered in the State field:
>
> **Province Name Code Province Name Code**
>
> Alberta AL Nova Scotia NS
>
> British Columbia BC Nunavut NU
>
> Manitoba MB Ontario ON
>
> New Brunswick NB Prince Edward Island PE
>
> Newfoundland NF Quebec PQ
>
> Northwest Territories NT Saskatchewan SK
>
> Yukon Territory YT
>
> The State field will be optional.

*Zip* The U.S. Postal Service (USPS) zip code for the legal entity plus
the optional Zip+4 extension.

> This field will be unavailable if the value of the Country field is
> other than United States.
>
> The Zip field will be optional.

*Mail Stop* The mail stop or location for an individual. The Mail Stop
field will not be mandatory on the Individual Maintenance page but can
be used to allow two or more individuals of the same first name and last
names to exist in the database.

> The Mail Stop field will be optional.

*Country* A dropdown list where values from the CODE PERMITTED_VALUES
will be listed using code_name value 'TINLGENT1'. The default for
Country will be United States.

> If the Country is United States, the Zip field will be made available
> and the International Postal Code field will be grayed out and
> protected. If the Country is other than United States, the Zip field
> will be grayed out and protected, and the International Postal Code
> will be made available. If the Country field contains spaces, the Zip
> field will be blanked out and made available, and the International
> Postal Code field will be grayed out and protected.
>
> The Country field will be optional.

*International Postal*

*Code* The postal zone for any selected country in the Country field
other than the US.

> This field will be available only if the Country field has a value
> other than United States or spaces.
>
> The International Postal Code field will be optional.

*Comments* A text field where free-form comments can be recorded about
the individual.

The Comments field will be optional.

When tabbing through the fields, the cursor should stop only once in the
comments field and not create word-processing tabs within the field.

Text should word-wrap within the comments.

[Tab Sequence:]{.underline}

Salutation, First Name & Initial, Last Name, Alias Name, Prof
Qualification, Collector, Operator Class, Organization, ID No., Job
Title, Phone Numbers List Box, **Add, Modify, Delete,** Electronic
Addresses**, Add, Modify, Delete, Email/Url Launch,** Address Line One,
Address Line Two, City, State, Zip, Mail Stop, Country, International
Postal Code, Comments, **POC** **Assignments, Related POCs,** **OK**,
**Cancel**, and **Help**. (R0059:A.2.1.2.3.a)

[Buttons:]{.underline}

**Add *\[New Phone***

***Number\]*** Will present the Communication Maintenance Page in add
mode where a new phone number can be entered for the individual. The new
number will not actually be committed to the database until the **OK**
button is selected on the Individual Maintenance page.

**Modify *\[Phone ***

***Number\]*** Will present the Communication Maintenance Page in change
mode where the selected phone number can be modified for the individual.
The change will not actually be committed to the database until the
**OK** button is selected on the Individual Maintenance page.

This button will be enabled when a phone number is selected in the list
box.

**Delete *\[Phone***

***Number\]*** Will present the standard delete confirmation page prior
to deleting the LEGAL_ENTITY_COMMUNICATION row. The phone number will be
marked for delete, removed from the list box, and committed when the
**OK** button is selected on the Individual Maintenance page. If
**CANCEL** is selected the phone number will not be deleted.

This button will be enabled when a phone number is selected in the list
box.

**Add *\[New Electronic Address\]***

Will present the Communication Maintenance Page in add mode where a new
electronic address can be entered for the individual. The new electronic
address will not actually be committed to the database until the **OK**
button is selected on the Individual Maintenance page.

**Modify *\[Electronic Address\]***

Will present the Communication Maintenance Page in change mode where the
selected electronic address can be modified for the individual. The
change will not actually be committed to the database until the **OK**
button is selected on the Individual Maintenance page.

This button will be enabled when an electronic address is selected in
the list box.

**Delete *\[Electronic Address\]***

Will present the standard delete confirmation page prior to deleting the
LEGAL_ENTITY_COMMUNICATION row. The electronic address will be marked
for delete, removed from the list box, and committed when the **OK**
button is selected on the Individual Maintenance page. If **CANCEL** is
selected the electronic will not be deleted.

This button will be enabled when an electronic address is selected in
the list box.

**Email/URL Launch** Will present the Web Launch page. The page will
display a list of the electronic addresses for the Individual. See
Chapter 1 for further discussion and description of this functionality.

This button will be enabled when an electronic address is present in the
list box.

**POC** Will present the Point of Contact Assignment List containing the
list of

**Assignments** water systems and water system facilities for which the
individual is a designated POC.

This button will be enabled when the Individual Maintenance page is in
change mode. (R0059:A.2.1.2.3.b)

**Related** **POCs** Will present the Legal Entity Related POC
Maintenance List, which will display a list of contacts for the
individual.

This button will be enabled when the Individual Maintenance page is in
change mode. (R0059:A.2.1.2.3.c)

**OK** The **OK** button will have the following edits:

-   

> First Name & Initial must have a value. The following error message
> will be invoked: **Individual first name cannot be blank.**

-   

> Last Name must have a value. The following error message will be
> invoked: **Individual last name cannot be blank.**

-   

> If Zip contains a value, it must be numeric and at least five
> characters long. If greater than five, it must be equal to nine. A
> hyphen may be in position six but it not the hyphen will be inserted.
> If these conditions are not satisfied, the following error message
> will be invoked: **Zip Code can only be NNNNN, NNNNNNNNN, or
> NNNNN-NNNN where N is a numeric char.**

-   

> If Country is CA (Canada), then State must contain a valid Canadian
> province code if a value is supplied in the State field. If not, the
> following error message will be invoked: **If country Canada, State CD
> must be valid province abbrev. See online HELP.**

-   

If Country is US (United States), then State must contain a valid USPS
state abbreviation code if a value is supplied in the State field. If
not, the following error message will be invoked: **If country US, State
CD must be valid state abbrev.**

> The **OK** button will have the following duplicate check:
>
> The proposed Individual must be a Legal Entity where the combination
> of Legal Entity Name, Type Code, and State_Code is unique. For the
> Individual, the combination of First Name, Last Name, Mailstop, and
> Organization must be unique. If neither of these conditions is
> satisfied, the following error message will be invoked: **Duplicate
> Individual found.**
>
> The value in LEGAL_ENTITY Name will be populated by concatenating the
> last name followed by a comma, a space, and the first name and
> initial. Example: Public, John Q.

Add-Mode

Processing Pressing **OK** in Add mode will create a new Legal_Entity
and Individual and tie the two together. An external system number will
be system generated for the Legal_Entity using the
Entity_Internal_System_Number for Table Name TINLGENT.

> Telephone numbers and Electronic addresses will generate a new row in
> LEGAL_ENTITY_COMMUNICATION for each item in the list box. These will
> be system numbered sequentially within the LEGAL_ENTITY number.
>
> Field FedRep ID will be populated using the generated Legal Entity IS
> Number and St Code.
>
> Upon successful completion, the Legal Entity Maintenance List will be
> presented with previous search criteria. Note: Addition of an
> Individual that does not meet the previous search criteria used will
> result in the new row being absent from the display.

Change-Mode

Processing: Pressing **OK** in Change mode will update the LEGAL_ENTITY
and INDIVIDUAL tables with the modified information. If the INDIVIDUAL
is also a LABORATORY then the name of the associated LABORATORY will be
updated if the name has been changed.

> When successful, the Individual Maintenance page will close and the
> Legal Entity Maintenance List will be displayed with the new
> information.
>
> Additions, deletions, or modifications to telephone numbers and
> electronic addresses will also commit to the
> LEGAL_ENTITY_COMMUNICATION table at this time.
>
> When successful, the Individual Maintenance page will close and the
> Legal Entity Maintenance List will be displayed with the information
> using the previous search criteria. Note: Modification of an
> Individual that does not meet the previous search criteria used will
> result in the new row being absent from the display.

**Cancel** Will close the maintenance page. If changes have been made to
the maintenance information, a confirmation dialog box will be presented
(Exhibit 2-7) requiring selection of **Yes**, **No**, or **Cancel**.

> The Cancel Confirm dialog box will be invoked when the user presses
> the **Cancel** button after making changes on the maintenance window
> with the **No** button selected.

![](media/image8.png){width="3.1972222222222224in"
height="1.6041666666666667in"}

[]{#__RefHeading___Toc173643417 .anchor}**Exhibit 2-7.** Cancel Confirm

[Cancel Confirm Buttons:]{.underline}

**Yes** Pressing **Yes** will initiate processing as if the **OK**
button was pressed from the maintenance page. Refer to documentation for
the maintenance page's **OK** button for details of edit.

**No** Pressing **No** will discard all changes and return the user to
the maintenance list.

**Cancel** Pressing **Cancel** will return the user to the maintenance
page with all data intact. The database will not have been affected by
the information on the maintenance page.

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

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

####  Government Agency Maintenance

The Government Agency Maintenance page (Exhibit 2-8) will be invoked
from the Legal Entity Maintenance List.

  ---------------------------------------------------- -----------------------------------------------------
  ![](media/image1.png){width="1.6034722222222222in"   ![](media/image9.png){width="5.414583333333334in"
  height="4.822916666666667in"}                        height="4.748611111111111in"}

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

[]{#__RefHeading___Toc173643418 .anchor}**Exhibit 2-8.** Government
Agency Maintenance

[Protected Fields:]{.underline}

*FedRep ID* The FedRep ID represents the LEGAL_ENTITY internal system
number and state code that is used as the unique identifier for federal
reporting.

[Entry Fields:]{.underline}

*GA Type* A code identifying the type of government agency. If the
Primacy Indicator checkbox is checked, the government agency Type must
be defined as either Regional or State. Permitted entries include the
following:

> AR - Alaskan Remote Village
>
> AT - Authority
>
> BR - Borough
>
> CM - Commission
>
> CN - County
>
> CT - City
>
> DS - District
>
> FD - Federal
>
> MN - Municipality
>
> NA - Native American Tribe
>
> PR - Parish
>
> RG - Region
>
> SA - State Administrative District
>
> SD - School District
>
> SR - State Administrative Region
>
> ST - State
>
> TW - Town
>
> WD - Water District
>
> The Type field will be optional.

*Name* The name of a legal entity associated with a water system. This
is the proper name as it appears on legal or other official documents.

> Name will be a required field.

*Alias Name* The alias, common name, or acronym for a legal entity.

> The Alias Name field will be optional.

*Primacy*

*Indicator* If the government agency has primary enforcement
responsibility for maintenance of water quality, this checkbox should be
checked. Checking this box will automatically check the Regulating
Agency indicator and protect it from modification.

> The Primacy Indicator field will be optional.

*Regulating Agency*

*Indicator* Can be checked to indicate that the government agency is
designated as a regulating agency. This field will automatically be
checked and protected if the Primacy Indicator is marked. When the
primacy indicator is unmarked this field will become available for
modification.

The Regulating Agency Indicatory will be optional.

*EPA Region* A number indicating the EPA region to which the government
agency reports or the EPA region in which it is located. Permitted
entries will include the following:

> 1 Region 1 (Boston)
>
> 2 Region 2 (New York)
>
> 3 Region 3 (Philadelphia)
>
> 4 Region 4 (Atlanta)
>
> 5 Region 5 (Chicago)
>
> 6 Region 6 (Dallas)
>
> 7 Region 7 (Kansas City)
>
> 8 Region 8 (Denver)
>
> 9 Region 9 (San Francisco)
>
> 10 Region 10 (Seattle)
>
> EPA Region is only allowed if the Government Agency type is State.

*Administrative*

*ID No.* The identification number used by the primacy agency to
classify the government agency. This number may be a region or district
number or the Federal Information Processing System (FIPS) code for that
government agency.

> Administrative ID No. will be an optional field.

*ID No.* An identification number of the legal entity. May be provided
by an external source such as employer or internal revenue service.

> The ID No. field will be optional.

*Phone Numbers*

*\[List box\]* This list box displays the phone numbers recorded for the
legal entity in ascending Legal_Entity_Communication IS Number order.
All phone numbers will be optional. Only one selection may be made at a
time. Selection will enable the Modify and Delete buttons.

*Purpose* The purpose of the phone number indicates what the phone
number could be used for. Permitted values for Purpose are maintained by
the system administrator.

*Phone Number* The phone number including area code in format
XXX-XXX-XXXX.

*Extension* The office extension of the phone number.

*Electronic Addresses*

*\[List Box\]* This list box will list the purpose and electronic
addresses recorded for the legal entity in ascending
Legal_Entity_Communication IS Number order. All electronics will be
optional. One electronic address may be selected at a time. Selection
will enable the Modify and Delete buttons.

*Purpose* The purpose of the electronic address indicates what the
address could be used for. Permitted values for Purpose are maintained
by the system administrator.

*Address* The government agency's electronic address.

*Address Line One* The first line of an address for a legal entity. This
line should be specified only as needed. If a responsible person or
agency is unavailable and the street address consists of only a single
line, the user may use only Address Line Two.

> The Address Line One field will be optional.

*Address Line Two* The second line of an address for the individual.
This user may use this line for the street address, rural route, etc.

> The Address Line Two field will be optional.

*City* The city in which the legal entity is located.

> The City field will be optional.

*State* The two‑letter USPS state abbreviation for the legal entity's
state when country is United States, the two-letter province code when
country is CA (Canada) or any other territorial code for all other
countries.

When country is United States and a value is supplied, the state code
must be one of the valid USPS state code abbreviations.

> When country is CA (Canada) and a value is supplied, one of the
> following Canadian province codes must be entered in the State field:
>
> **Province Name Code Province Name Code**
>
> Alberta AL Nova Scotia NS
>
> British Columbia BC Nunavut NU
>
> Manitoba MB Ontario ON
>
> New Brunswick NB Prince Edward Island PE
>
> Newfoundland NF Quebec PQ
>
> Northwest Territories NT Saskatchewan SK
>
> Yukon Territory YT
>
> The State field will be optional.

*Zip* The USPS zip code for the legal entity plus the optional Zip+4
extension.

> This field will be unavailable if the value of the Country field is
> other than United States.
>
> The Zip field will be optional.

*Country* A dropdown where values from the CODE PERMITTED_VALUES will be
listed using code_value 'TINLGENT1'. The default for Country will be
United States.

> If the Country is United States, the Zip field will be made available
> and the International Postal Code field will be grayed out and
> protected. If the Country is other than United States, the Zip field
> will be grayed out and protected, and the International Postal Code
> will be made available. If the Country field contains spaces, the Zip
> field will be blanked out and made available, and the International
> Postal Code field will be grayed out and protected.
>
> The Country field will be optional.

*International*

*Postal Code* The postal zone for any selected country in the Country
field other than the US.

> This field will be available only if the Country field has a value
> other than US.
>
> The International Postal Code field will be optional.

*Comments* A text field where free-form comments can be recorded about
the government agency.

The Comments field will be optional.

When tabbing through the fields, the cursor should stop only once in the
comments field and not create word-processing tabs within the field.

Text should word-wrap within the comments.

[Tab Sequence:]{.underline}

[]{.mark}

Type, Name, Alias Name, Primacy Indicator, Regulating Agency Indicator,
EPA Region, Administrative ID No., ID No., Phone Numbers List Box,
**Add**, **Modify, Delete**, Electronic Addresses List Box, **Add**,
**Modify**, **Delete**, **Email/Url Launch**, Address Line One, Address
Line Two, City, State, Zip, Country, International Postal Code,
Comments, **POC** **Assignments**, **Related POCs**, **OK**, **Cancel**,
and **Help**. (R0059:A.2.1.2.4.a)

[Buttons:]{.underline}

**Add *\[New Phone***

***Number\]*** Will present the Communication Maintenance Page in add
mode where a new phone number can be entered for the individual. The new
number will not actually be committed to the database until the **OK**
button is selected on the Legal Entity/Individual/Government Agency
Maintenance page.

**Modify *\[Phone ***

***Number\]*** Will present the Communication Maintenance Page in change
mode where the selected phone number can be modified for the individual.
The change will not actually be committed to the database until the
**OK** button is selected on the Legal Entity/Individual/Government
Agency page.

This button will be enabled when a phone number is selected in the list
box.

**Delete *\[Phone***

***Number\]*** Will present the standard delete confirmation page prior
to deleting the LEGAL_ENTITY_COMMUNICATION row. The phone number will be
marked for delete, removed from the list box, and committed when the
**OK** button is selected on the Legal Entity/Individual/Government
Agency Maintenance page. If **CANCEL** is selected the phone number will
not be deleted.

This button will be enabled when a phone number is selected in the list
box.

**Add *\[New Electronic Address\]***

Will present the Communication Maintenance Page in add mode where a new
electronic address can be entered for the individual. The new electronic
address will not actually be committed to the database until the **OK**
button is selected on the Legal Entity/Individual/Government Agency
page.

**Modify *\[Electronic Address\]***

Will present the Communication Maintenance Page in change mode where the
selected electronic address can be modified for the individual. The
change will not actually be committed to the database until the **OK**
button is selected on the Legal Entity/Individual/Government Agency
page.

This button will be enabled when an electronic address is selected in
the list box.

**Delete *\[Electronic Address\]***

Will present the standard delete confirmation page prior to deleting the
LEGAL_ENTITY_COMMUNICATION row. The electronic will be marked for
delete, removed from the list box, and committed when the **OK** button
is selected on the Legal Entity/Individual/Government Agency Maintenance
page. If **CANCEL** is selected the electronic will not be deleted.

> This button will be enabled when an electronic address is selected in
> the list box.

**Email/URL Launch** Will present the Web Launch page. The page will
display a list of the electronic addresses for the Government Agency.
See Chapter 1 for further discussion and description of this
functionality.

This button will be enabled when an electronic address is present in the
list box.

**POC** Will present the Point of Contact Assignment List containing the
list of

**Assignments** water systems and water system facilities for which the
government agency is a designated POC.

This button will be enabled when the Government Agency Maintenance page
is in change mode. (R0059:A.2.1.2.4.b)

**Related** **POCs** Will present the Legal Entity Related POC
Maintenance List, which will display a list of contacts for the
government agency.

> This button will be enabled when the Government Agency Maintenance
> page is in change mode. (R0059:A.2.1.2.4.c)

**OK** The **OK** button will have the following edits:

-   

> Name must have a value. The following error message will be invoked:
> **Name must not be blank.**

-   

> If the Primacy Indicator box is checked, the Type must be either
> Region or State; otherwise, the following error message will be
> invoked: **The Primacy Agency must be defined as Regional (RG) or
> State (ST).**

-   

> If the EPA Region number is provided, the Type must be State;
> otherwise, the following error message will be invoked: **Regional
> Codes should only be specified for states.**

-   

> If Zip contains a value, it must be numeric and at least five
> characters long. If greater than five, it must be equal to nine. A
> hyphen may be in position 6 and if not one will be inserted. If these
> conditions are not satisfied the following error message will be
> invoked: **Zip Code can only be NNNNN, NNNNNNNNN, or NNNNN-NNNN where
> N is a numeric char.**

-   

> If Country is US (United States), then State must contain a valid USPS
> state abbreviation code if a value is supplied in the State field;
> otherwise, the following error message will be invoked: **If country
> US, State CD must be valid state abbrev.**

-   

> If Country is CA (Canada), then State must contain a valid Canadian
> province code if a value is supplied in the State field; otherwise,
> the he following error message will be invoked: **If country Canada,
> State CD must be a valid province abbrev. See online HELP.**
>
> The **OK** button will have the following duplicate checks:
>
> The proposed Government Agency must be a Legal Entity where the
> combination of Legal Entity Name, Type Code, and State_Code is unique.
> If this condition is not satisfied, the following error message will
> be invoked: **Duplicate Government Agency found.**

-   

If the Primacy Indicator checkbox is checked, there must not exist
another Government Agency in the database that has already been
indicated as having Primacy. If the user checks the Primacy Indicator,
the software will check that no other Government Agency has the Primacy
Indicator checked; if it does, the following error message will be
invoked: **A Primacy Government Agency already exists for this
database.**

Add-Mode

Processing: Pressing **OK** in Add mode will create a new LEGAL_ENTITY
and GOVERNMENT AGENCY and tie the two together. An external system
number will be system generated for the LEGAL_ENTITY using the
ENTITY_INTERNAL_SYSTEM_NUMBER for entity name TINLGENT.

> Telephone numbers and Electronic addresses will generate a new row in
> LEGAL_ENTITY_COMMUNICATION for each item in the list box. These will
> be system numbered sequentially within the LEGAL_ENTITY number.
>
> Field FedRep ID will be populated using the generated Legal Entity IS
> Number and St Code.
>
> Upon successful completion, the Legal Entity Maintenance List will be
> presented with previous search criteria. Note: Addition of a
> government agency that does not meet the previous search criteria will
> result in its absence from the resulting display.

Change-Mode

Processing: Pressing **OK** in Change mode will update the LEGAL_ENTITY
and GOVERNMENT_AGENCY tables with the modified information.

> Additions, deletions, or modifications to telephone numbers and
> electronic addresses will also commit to the
> LEGAL_ENTITY_COMMUNICATION table at this time.
>
> When successful, the Government Agency Maintenance page will close and
> the Legal Entity Maintenance List will be displayed with the
> information using the previous search criteria. Note: Modification of
> a government agency that does not meet the previous search criteria
> will result in its absence from the resulting display.

**Cancel** Will close the maintenance page. If changes have been made to
the maintenance information, a confirmation dialog box will be presented
(Exhibit 2-8) requiring selection of **Yes**, **No**, or **Cancel**.

The Cancel Confirm dialog box will be invoked when the user presses the
**Cancel** button after making changes on the maintenance. The No button
will be the default.

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

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

####  Legal Entity Maintenance

The Legal Entity Maintenance page (Exhibit 2-9) will be invoked from the
Search page or the maintenance list.

[Protected Items:]{.underline}

*FedRep ID* The FedRep ID represents the LEGAL_ENTITY internal system
number and state code that is used as the unique identifier for federal
reporting.

[Entry Fields:]{.underline}

*Legal Entity Type* The type of legal entity. Permitted entries will be:

> Company
>
> Cooperative
>
> Corporation
>
> Homeowners Association

  ---------------------------------------------------- -----------------------------------------------------
  ![](media/image1.png){width="1.8743055555555554in"   ![](media/image10.png){width="6.001388888888889in"
  height="4.834722222222222in"}                        height="4.788194444444445in"}

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

[]{#__RefHeading___Toc173643419 .anchor}**Exhibit 2-9.** Legal Entity
Maintenance

> Non‑Profit
>
> Rate Set Utility
>
> Trust
>
> Treatment Plant
>
> Other
>
> Water System
>
> Legal Entity Type will be a required field.

*Name* The name of a legal entity associated with a water system. This
is the proper name as it appears on legal or other official documents.

> Name will be a required field.

*Alias Name* The alias, common name, or acronym for a legal entity.

The Alias Name field will be optional.

*ID No.* An identification number of the legal entity. May be provided
by an external source such as employer or internal revenue service.

> The ID No. field will be optional.

*Phone Numbers*

*\[List Box\]* This list box displays the phone numbers recorded for the
legal entity in ascending internal number order. All phone numbers will
be optional. Only one selection may be made at a time. Selection will
enable the Modify and Delete buttons.

*Purpose* The purpose of the phone number indicates what the phone
number could be used for. The permitted values for purposes are
maintained by the system administrator.

*Phone Number* The Phone Number of the legal entity, including the area
code.

> Example: 999‑999‑9999.

*Extension* The office extension of the phone number.

*Electronic Addresses*

> *\[List Box\]* This list box will list the purpose and electronic
> addresses recorded for the legal entity in ascending internal system
> number order. All electronics will be optional. One electronic may be
> selected at a time. Selection will enable the Modify and Delete
> buttons.

*Purpose* The purpose of the electronic indicates what the address could
be used for. The permitted values for purposes are maintained by the
system administrator.

*Address* The legal entity's electronic address.

*Address Line One* The first line of an address for a legal entity. This
line should be specified only as needed. If a responsible person or
agency is unavailable and the street address consists of only a single
line, the user may use only Address Line Two. The user may use this line
for the street address, rural route, P.O. Box, etc.

> The Address Line One field will be optional.

*Address Line Two* The second line of an address for the individual.
This line will contain the street address, rural route, etc.

> The Address Line Two field will be optional.

*City* The city in which the legal entity is located.

> The City field will be optional.

*State* The two‑letter USPS state abbreviation for the legal entity's
state when country is United States, the province code when country is
Canada (CA), or any other state or territorial code for other country
designations.

When country is United States and a value is supplied, the state code
must be one of the valid USPS state code abbreviations.

> When country is CA (Canada) and a value is supplied,
>
> one of the following Canadian province codes must be entered in the
> State field:
>
> **Province Name Code Province Name Code**
>
> Alberta AL Nova Scotia NS
>
> British Columbia BC Nunavut NU
>
> Manitoba MB Ontario ON
>
> New Brunswick NB Prince Edward Island PE
>
> Newfoundland NF Quebec PQ
>
> Northwest Territories NT Saskatchewan SK
>
> Yukon Territory YT
>
> The State field will be optional.

*Zip* The USPS zip code for the legal entity plus the optional Zip+4
extension.

> This field will be unavailable if the value of the Country field is
> other than US.
>
> The Zip field will be optional.

*Country* A dropdown where values from the CODE PERMITTED_VALUES will be
listed using code_name 'TINLGENT1'. The default for Country will be
United States.

> If the Country is United States, the Zip field will be made available
> and the International Postal Code field will be grayed out and
> protected. If the Country is other than United States, the Zip field
> will be grayed out and protected, and the International Postal Code
> will be made available. If the Country field contains spaces, the Zip
> field will be blanked out and made available, and the International
> Postal Code field will be grayed out and protected.
>
> The Country field will be optional.

*International*

*Postal Code* The postal zone for any selected country in the Country
field other than the United States.

> This field will be available only if the Country field has a value
> other than United States.
>
> The International Postal Code field will be optional.

*Comments* A text field where free-form comments can be recorded about
the legal entity.

The Comments field will be optional.

> When tabbing through the fields, the cursor should stop only once in
> the comments field and not create word-processing tabs within the
> field.

Text should word-wrap within the comments.

[Tab Sequence:]{.underline}

[]{.mark}

Legal Entity Type, Name, Employer ID No., Alias Name, Phone Numbers,
**Add, Modify, Delete,** Electronic Addresses, **Add**, **Modify**,
**Delete**, **Email/Url Launch**, Address Line One, Address Line Two,
City, State, Country, \[Country\] **Go To**, International Postal Code,
Comments, **POC** **Assignments**, **Related** **POCs**, **OK**,
**Cancel**, and **Help**. (R0059:A.2.1.2.5.a)

[Buttons:]{.underline}

**Add *\[New Phone***

***Number\]*** Will present the Communication Maintenance Page in add
mode where a new phone number can be entered for the individual. The new
number will not actually be committed to the database until the **OK**
button is selected on the Legal Entity Maintenance page.

**Modify *\[Phone ***

***Number\]*** Will present the Communication Maintenance Page in change
mode where the selected phone number can be modified for the individual.
The change will not actually be committed to the database until the
**OK** button is selected on the Legal Entity Maintenance page.

This button will be enabled when a phone number is selected in the list
box.

**Delete *\[Phone***

***Number\]*** Will present the standard delete confirmation page prior
to deleting the LEGAL_ENTITY_COMMUNICATION row. The phone number will be
marked for delete, removed from the list box, and committed when the
**OK** button is selected on the Legal Entity Maintenance page. If
**CANCEL** is selected the phone number will not be deleted.

This button will be enabled when a phone number is selected in the list
box.

**Add *\[New Electronic Address\] ***

Will present the Communication Maintenance Page in add mode where a new
electronic address can be entered for the legal entity. The new
electronic address will not actually be committed to the database until
the **OK** button is selected on the Legal Entity Maintenance page.

**Modify *\[Electronic Address\]***

Will present the Communication Maintenance Page in change mode where the
selected electronic address can be modified for the legal entity. The
change will not actually be committed to the database until the **OK**
button is selected on the Legal Entity Maintenance page.

This button will be enabled when an electronic address is selected in
the list box.

**Delete *\[Electronic Address\]***

Will present the standard delete confirmation page prior to deleting the
LEGAL_ENTITY_COMMUNICATION row. The electronic will be marked for
delete, removed from the list box, and committed when the **OK** button
is selected on the Legal Entity Maintenance page. If **CANCEL** is
selected the electronic will not be deleted.

This button will be enabled when an electronic is selected in the list
box.

**Email/Url Launch** Will present the Web Launch page. The page will
display a list of the electronic addresses for the Legal Entity. See
Chapter 1 for further discussion and description of this functionality.

This button will be enabled when an electronic address is present in the
list box.

**POC** Will present the Point of Contact Assignment List containing the
list of

**Assignments** water systems and water system facilities for which the
legal entity is a designated POC.

This button will be enabled when the Legal Entity Maintenance page is in
change mode. (R0059:A.2.1.2.5.b)

**Related** **POCs** Will present the Legal Entity Related POC
Maintenance List, which will display a list of contacts for the legal
entity.

> This button will be enabled when the Legal Entity Maintenance page is
> in change mode. (R0059:A.2.1.2.5.c)

**OK** The **OK** button will have the following edits:

-   

> Legal Entity Type must have a value. The following error message will
> be invoked: **Legal Entity type must not be blank.**

-   

> Name must have a value. The following error message will be invoked:
> **Name must not be blank.**

-   

> If Zip contains a value, it must be numeric and at least five
> characters long. If greater than five, it must be equal to nine. A
> hyphen may be in position 6 and if not one will be inserted. The
> following error message will be invoked: **Zip Code can only be NNNNN,
> NNNNNNNNN, or NNNNN-NNNN where N is a numeric char.**

-   

> If Country is US (United States), then State must contain a valid USPS
> state abbreviation code if a value is supplied in the State field. The
> following error message will be invoked: **If country US, State CD
> must be valid state abbrev.**

-   

If Country is CA (Canada), then State must contain a valid Canadian
province code if a value is supplied in the State field. The following
error message will be invoked: **If country Canada, State CD must be
valid province abbrev. See online HELP.**

> The **OK** button will have the following duplicate check:
>
> The proposed Legal Entity must have a unique combination of Legal
> Entity Name, Type Code, and State_Code. If a Legal Entity of the same
> Name, Type Code, and State Code exists in the database the following
> error message will be invoked: **Duplicate Legal Entity Found.**

Add-Mode

Processing Pressing **OK** in Add mode will create a new LEGAL_ENTITY.
An external system number will be system generated for the LEGAL_ENTITY
using the ENTITY_INTERNAL_SYSTEM_NUMBER for entity name TINLGENT.

> Telephone numbers and e-mail addresses will generate a new row in
> LEGAL_ENTITY_COMMUNICATION for each item in the list box. These will
> be system numbered sequentially within the LEGAL_ENTITY number.
>
> Field FedRep ID will be populated using the generated Legal Entity IS
> Number and St Code.
>
> Upon successful completion, the Legal Entity Maintenance List will be
> presented with previous search criteria. Note: Addition of a Legal
> Entity that does not meet the previous search criteria will result in
> its absence from the resulting display.

Change-Mode

Processing Will update the LEGAL_ENTITY table with the modified
information.

> Additions, deletions, or modifications to telephone numbers and
> electronic addresses will also commit to the
> LEGAL_ENTITY_COMMUNICATION table at this time.
>
> When successful, the Legal Entity Maintenance page will close and the
> Legal Entity Maintenance List will be displayed with the new
> information and the previous search criteria. Note: Modification of a
> Legal Entity that does not meet the previous search criteria will
> result in its absence from the resulting display.

**Cancel** Will close the maintenance page. If changes have been made to
the maintenance information, a confirmation dialog box will be presented
(Exhibit 2-7, Subsection 2.1.1.3), requiring selection of **Yes**,
**No**, or **Cancel**.

> The Cancel Confirm dialog box will be invoked when the user presses
> the **Cancel** button after making changes on the maintenance window.
> The **No** button will be the default.

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

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

####  Communication Maintenance

Exhibit 2-10 depicts the Communication Maintenance page.

The Communication Maintenance will be presented as a dialog box in the
foreground of the maintenance page from which it was requested. It will
not be presented with the left pane navigation frame. This page will
allow users to manipulate telephone numbers and e-mail addresses. A
Legal Entity may record a maximum of 999 telephone numbers and e-mail
addresses over the life of the system.

![](media/image11.png){width="6.49375in" height="4.009722222222222in"}

[]{#__RefHeading___Toc173643420 .anchor}**Exhibit 2-10.** Communication
Maintenance Page

[Entry Fields]{.underline}:

*Purpose* The Purpose describes the intended use of the phone number or
electronic address. The permitted values for this field are controlled
by the System Administrator in the 'FONPURPOSE' code_name of the
PERMITTED_VALUES (TINPVALS) table for phone numbers or the 'ELCPURPOSE'
code_name of the PERMITTED_VALUES (TINPVALS) table for electronic
addresses.

The Purpose will be a required field.

*Phone Number* The phone number including area code. It must be in the
format NNN-NNN-NNNN where N represents a numeric digit.

The Phone Number will be an optional field. This field will be protected
when this page is presented for maintenance of electronic addresses.

When a phone number is provided the extension will be unprotected and
the electronic address will be protected. The Extensions should be reset
to spaces and protected.

*Ext.* The office extension of a phone number.

The extension will be an optional field.

This field will be protected until a phone number is provided.

*Electronic Address* The electronic address of the communication.

The address will be an optional field. This field will be protected when
this page is presented for maintenance of phone numbers.

[**Buttons**:]{.underline}

**OK** Will perform the following edits:

-   

If Purpose is blank the error message will be: **A purpose is required
for a Legal Entity Communication.**

-   

If phone number and electronic address are both blank, the error message
will be: **Communication requires either a phone number or an electronic
address.**

-   

If phone number is provided, it must contain 10 numbers separated by a
hyphen in positions 4 and 8. The following error message will be
invoked: **Please enter the phone number in the specified format
(999-999-9999).**

> When successful, the dialog will close and the information will be
> presented in the appropriate list box on the maintenance page. The row
> will not be committed to the LEGAL_ENTITY_COMMUNICATION table until
> the **OK** is selected on the Legal Entity/Individual/Government
> Agency maintenance page.

**Cancel** Will close the dialog and return to the maintenance page with
no action taken upon the communication data.

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

####  Point of Contact Assignments List

The Point of Contact Assignments List will present a list of Water
Systems, Water Systems Facilities, Laboratories and Legal Entities for
which the legal entity, individual, or government agency is the
designated contact.

The Point of Contact Assignments List page (Exhibit 2-11) is described
below.

[Water System/Water System Facility Asgmt List Default Sort
Order]{.underline}:

The list will be displayed in ascending Water System No., ascending WSF
State Asgn ID, ascending Status, and ascending Type order. When the POC
is for a WSF, the software selects the Water System No. associated to
the WSF (i.e., be sure that when a legal entity is associated to both a
Water System and one or more of its WSFs, the WSF assignments
immediately follow the Water System assignments for the same water
system even if the legal entity is also assigned to other water
systems).

[Laboratory]{.underline} [Asgmt]{.underline} [List Default Sort
Order:]{.underline} (R0059:A.2.1.2.7.a)

The list will be displayed in ascending Laboratory Name, ascending Lab
ID No., ascending Certifying Agency, ascending Status, and ascending
Type order.

[Legal Entity]{.underline} [Asgmt]{.underline} [List Default Sort
Order:]{.underline} (R0059:A.2.1.2.7.b)

The list will be displayed in ascending Legal Entity Name, ascending
Status, and ascending Type order.

  ---------------------------------------------------- -----------------------------------------------------
  ![](media/image1.png){width="1.8743055555555554in"   ![](media/image12.png){width="5.996527777777778in"
  height="7.615277777777778in"}                        height="7.647222222222222in"}

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

[]{#__RefHeading___Toc173643421 .anchor}**Exhibit 2-11.** Point of
Contact Assignments List

[Protected Fields:]{.underline}

*Legal Entity Name* The name of the legal entity. An individual's name
will be displayed last name, first name format.

*Type Code* The legal entity's type code.

*Number of rows*

*displayed:* This value will be displayed for each list and will
indicate the number of records available for viewing in that list box
via the vertical scroll bar. Each list will be limited to 1000 records.
(R0059:A.2.1.2.7.c)

[Water System/]{.underline}

[Water]{.underline} [System]{.underline} [Facility]{.underline}

[Asgmt]{.underline} [List Items]{.underline}: Lists the water systems
and water system facilities that the legal entity is an assigned POC
for. (R0059:A.2.1.2.7.d)

*Water System No.* The number of the Water System.

*WSF State Asgn ID* The state assign identification number of the Water
System Facility.

*Type* The POC type description from the permitted values table. The
first 12 characters will be presented.

*Status* The status of the POC assignment. Could be Active or Inactive.

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

*WSF Name* The name of the Water System Facility.

[Laboratory]{.underline} [Asgmt]{.underline}

[List Items:]{.underline} List the laboratories for which the legal
entity is an assigned POC. (R0059:A.2.1.2.7.e)

*Laboratory Name* The name of the Administrative Contact of the
Laboratory.

*Lab ID No.* The identification number of the Laboratory.

*Certifying Agency* The certifying agency for the Laboratory.

*Type* Same as Type field in Water System/Water System Facility List
Items above.

*Status* Same as Status field in Water System/Water System Facility List
Items above.

[Legal Entity]{.underline} [Asgmt]{.underline}

[List Items:]{.underline} List the legal entities that the legal entity
is an assigned POC for. (R0059:A.2.1.2.7.f)

*Legal Entity Name* The name of the Legal Entity.

*Type* Same as Type field in Water System/Water System Facility List
Items above.

*Status* Same as Status field in Water System/Water System Facility List
Items above.

*Organization* The organization name of the legal entity individual.

*Mail Stop* The mail stop or location for the legal entity individual.

[Menu Items:]{.underline}

**File**

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

**Edit**

*Change*

*WS/WSF Asgmt* (R0059:A.2.1.2.7.g)

When the POC is for a WS, it will invoke the Water System Related POC
Maintenance page in *Change* mode. When the POC is for a WSF, it will
invoke the Water System Facility Related POC Maintenance page in
*Change* mode.

This item will only be available if a row is selected in the Water
System/Water System Facility Asgmt list area. A double-click on a list
box will react like the change item.

*Lab Asgmt* (R0059:A.2.1.2.7.h)

Will invoke the Laboratory POC Maintenance page in *Change* mode.

This item will only be available if a row is selected in the Laboratory
Asgmt list area. A double-click on a list box will react like the change
item.

*Legal Entity Asgmt* (R0059:A.2.1.2.7.i)

Will invoke the Legal Entity Related POC Maintenance List page for
maintenance of the designated contact. See design specifications in
Legal Entity Related POC Maintenance List below for details.

This item will only be available if a row is selected in the Legal
Entity Asgmt list area. A double-click on the list box will react like
the change item.

**View**

*Sort*

*WS/WSF Asgmt* *List* *(R0059:A.2.1.2.7.j)*

Will present the standard sort page where the list may be sorted with up
to three levels of sorting by Water System No., Water System Name, WSF
State Asgn ID, WSF Name, Type, and Status.

**Note:** Sort will not be supported for Lab Asgmt List and Legal Entity
Asgmt List. Those lists are short.

**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.

####  Legal Entity Related POC Maintenance List (R0059:A.2.1.2.8.a)

Legal Entity POC maintenance information will be optionally available to
states that choose to maintain it. It will allow users to maintain POC
relationships between two legal entities. This function, however, will
not be supported in MTS (SDWIS/Migration to STATE), SDWIS/STATE To Go,
or ESS (Electronic Sanitary Survey).

The Legal Entity Related POC Maintenance List, which will display a
maximum of 1000 records, will list the legal entity contacts associated
to the Legal Entity. This page will be invoked from the **Related POCs**
button on the Legal Entity Maintenance page, Government Agency
Maintenance page, and Individual Maintenance page and from Point of
Contact Assignments List page via Edit/Change/Legal Entity Asgmt menu
item. The user may use this list to maintain contacts for a legal
entity. A POC may be selected in the list box by highlighting it.

When invoked from Point of Contact Assignments List, the page will
display a list of contacts for the supplied legal entity for which the
other supplied legal entity is the designated POC. For example, Mr.
Smith row is highlighted in the Legal Entity Asgmt list area in the
Point of Contact Assignments List page for which Mr. Doe is the
designated Sampler Contact. This page will then show Mr. Smith in the
Legal Entity group box and the list will display contacts for Mr. Smith
for which Mr. Doe is the designated POC. To update a record the user
will need to highlight the record and select Edit/Change. The Add and
Delete menu items will not be available.

Exhibit 2-12 depicts the Legal Entity Related POC Maintenance List page.

  ---------------------------------------------------- ------------------------------------------------------
  ![](media/image1.png){width="1.8006944444444444in"   ![](media/image13.png){width="5.997222222222222in"
  height="6.54375in"}                                  height="6.61875in"}

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

**Exhibit 2-12.** Legal Entity Related POC Maintenance List

[List Columns:]{.underline}

POC Type \[Description\], Contact Name, Begin Date, End Date,
Organization, Mail Stop and FedRep ID (which consists of
TINLGENT_ST_CODE concatenated to TINLGENT_IS_NUMBER).

[Default Sort Order:]{.underline}

End Date descending (show nulls first), Contact Name ascending, POC Type
ascending.

[Protected Fields:]{.underline}

Legal Entity Group Box:

Name, Alias Name, Organization, Mail Stop, Type, ID No., FedRep ID

*Number of rows* *resulting from search*

*criteria used:* This protected field will show the total number of rows
that met the search criteria.

*Number of rows*

*displayed:* This protected field will show the total number of rows
that are displayed in the list, which may be less than the number of
rows that met the search criteria.

Contact Group Box:

*Mode* Will be valued with either Add, Change, or Delete depending on
which was selected by the user.

*FedRep ID* Will show the FedRep ID of the selected Contact.

*Organization* The organization name of the legal entity individual.

*Mail Stop* The mail stop or location for the legal entity individual.

*\[Message Text\]* Will be valued with **Are you sure you want to delete
this record?** when mode is Delete. This will be placed at the bottom of
the screen, on the left side of the **OK** button.

[Menu Items:]{.underline}

**File**

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

**Edit**

> *Add* Will enable all the entry fields and buttons in the Contact
> group box for addition of new record. The Mode field will be set to
> "Add." This item will be available regardless of a selection having
> been made in the list.
>
> *Change* Will populate the entry fields in the Contact group box with
> the selected record for maintenance. The Mode field will be set to
> "Change." This item will be enabled when a selection has been made in
> the list.
>
> A double-click on a row will react as an Edit/Change request.
>
> A contact that is inactive (e.g., end date is valued with a date prior
> to or equal to current date) will no longer be available for update.
> If user selects an inactive contact, the following advisory will be
> displayed: **An inactive contact cannot be modified.**
>
> *Delete* Will populate the entry fields in the Contact group box with
> the selected record for display only. The Mode field will be set to
> "Delete" and the Message Text field will be set to "Are you sure you
> want to delete this record?" This option will be enabled when a
> selection has been made in the list.

**View**

*Filter By* Will invoke a filter dialog box that will allow the user to
filter by POC Type and Contact Name. Use of this item will enable the
Refresh item.

*Refresh* Will be enabled only when the filter criteria has been applied
to the list. Will retrieve the unfiltered list and disable this item.

*Sort* Will invoke the standard Sort dialog box where the list could be
sorted by the same fields listed for **View/Filter By**. Two levels of
sorting will be supported.

[Entry Fields:]{.underline}

All the entry fields and buttons inside the Contact group box will be
protected unless an Add or Change option is selected. If Delete option
is selected, all entry fields and buttons are protected except **OK**
and **Cancel** buttons.

*Contact Name* A name of the legal entity contact. If the entered value
is not a valid legal entity or several matches are found in the
database, the Legal Entity Maintenance List will be presented in
single-select mode upon tabbing off or clicking out of the field.

Contact name will be mandatory. This field will be protected in Change
mode to prevent modification.

*POC Type* A standard dropdown list with permitted values controlled by
the SDWIS/STATE Administrator using the Permitted Values function. The
permitted values available from the dropdown will be retrieved from the
TINPVALS table with Code_Name = "POCTYPE."

It will indicate the type of contact the selected legal entity provides
for the legal entity shown at the top of the page. This field will be
mandatory and will be protected in Change mode to prevent modification.

*Begin Date* Begin Date will be mandatory. A calendar function will
allow the user to more easily enter date for this field.

> This field will default to current date in Add mode. Edit checks for
> date will be done later when the user clicks the **OK** button.

*End Date* End Date will be optional. A calendar function will allow the
user to more easily enter date for this field.

This field will default to null in Add mode. When valued, it must be
after the Begin Date. Edit checks for date will be done later when the
user clicks the **OK** button.

[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.

**\[Contact\] Go To** Will present the Legal Entity Maintenance List in
single-select mode where a legal entity may be selected and returned to
this page. This button will be protected in Change mode.

**OK** Will perform the following actions depending on the current mode.
This button will be enabled when the Mode field is valued.

Will invoke the following edit checks:

-   

If the Contact Name field is blank, the following error message will be
presented: **Contact Name may not be left blank.** (Applicable in Add
mode only.)

-   

If the POC Type field is blank, the following error message will be
presented: **POC Type may not be left blank.** (Applicable in Add mode
only.)

Dates:

-   

If the Begin Date field is blank, the following error message will be
presented: **Begin Date must not be blank.**

-   

If the End date has a value, it must be equal or greater than the Begin
Date. If it is not, the error message will be: **End Date cannot be
prior to Begin Date.**

*Duplicate Check* A duplicate check will be performed using an exact
match on the following fields:

Legal Entity association (legal entity being represented)

Legal Entity association (legal entity used as contact)

Type Code

And a date overlap whereby the begin date and end date values of the
displayed contact do not overlap in any way with an existing contact
matching the above field values. If a duplicate is found, the following
error message will be presented: **An overlap exists with the new
contact and an existing contact.** For example, John Doe is associated
to the Arkansas Department of Health as an Inactive AC contact, Begin
Status Date = 1/1/02 and End Status Date = 1/31/02. If the user attempts
to add John Doe as an AC contact with Begin Status Date of 1/15/02 to
the same legal entity, this begin date overlaps the previous AC contact
period and the error message will be invoked. Pressing **OK** on this
error message will close the dialog box and interrupt the processing.
The overlap situation must be resolved and the **OK** button pressed
again to resume processing

*Add Mode* A LEGAL_ENTITY_CONTACT row will be created and associated to
the given LEGAL_ENTITY shown at the top of the page and to LEGAL_ENTITY
serving as a contact for this given legal entity. The Type_Code will be
set to the selected contact type, the Begin_Dt to the Begin Date value,
the End_Dt to the End Date specified or null, the D_Initial_Userid and
D_Userid_Code to current User ID and D_Initial_Ts and D_Last_Updt_Ts to
current timestamp.

> The page will be represented with the 1^st^ 100 contacts. All the
> fields with its values cleared and the buttons inside the Contact
> group box will be protected.

*Change Mode* Will invoke the same edit checks documented in Add Mode
except for the following fields: Contact Name and POC Type. These fields
are protected from being modified.

> Will invoke the same duplicate check specified in Add mode.
>
> A LEGAL_ENTITY_CONTACT row will be updated with the new values for
> Begin Date and End Date. The Contact Name and POC Type cannot be
> changed. The D_Userid_Code and D_Last_Updt_Ts will be set to current
> values.

The page will be represented with the selected record updated in the
list. All the fields and buttons inside the Contact group box will be
protected. The fields will be set to blank.

*Delete Mode* Will delete the selected record from the database. The
record will also be removed from the list box and the row counters will
be decremented by 1.

> All the fields and buttons inside the Contact group box will be
> protected. The fields will be set to blank.

**Cancel** Will abort the requested action without presenting the
standard Cancel Confirm dialog box. All the fields and buttons inside
the Contact group box will be protected. The fields will be set to
blank.

This button will be enabled when the Mode field is valued.

[Tab Sequence:]{.underline}

**Menu Items,** Contact Name, **\[Contact\] Go To**, POC Type, Begin
Date, End Date, **OK** and **Cancel**.

## Collector

Collector maintenance information is optionally available to states that
choose to maintain it. Collectors are maintained as "individual" legal
entities. Individuals may be marked as Collectors or Laboratory/Water
Legal Entity Points of Contact. Collectors can be maintained through
**Legal Entity or Collector** menu items.

On the *SDWIS Home Page* when the user selects **Legal
Entity/Collector**, the Legal Entity Search page (Exhibit 2-2) will be
invoked, where the user may specify any name search criteria. The Type
will be set to Individual and will be protected. The Legal Entity
Maintenance List will display those Individuals who meet the specified
criteria (previously described in Legal Entity Search) and whose
Collector Indicator is set to "Y."

## Laboratory (Lab)

The addition and maintenance of laboratories and its contacts have been
relocated to the Laboratories and Methods component. (R0059:A.2.3.a)