Statutes, codes, and regulations
Rhode Island Administrative Code
Title 216 - Department of healthChapter 50 - Environmental healthSubchapter 05 - Water Quality
Part 1 - Public Drinking Water
Section 216-RICR-50-05-1.22 - Appendix 2 - Penalty Matrices

216 R.I. Code R. 216-RICR-50-05-1.22

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Current through December 26, 2024
Section 216-RICR-50-05-1.22 - Appendix 2 - Penalty Matrices
1.22.1DWQ Penalty Matrix (1)
A. The Director has classified this Part into the following three (3) categories for use when assessing Administrative Penalties:
1. Categories*
a. Category I Penalty Range $1,000.00 - $5,000.00/day/violation.

These types of violations have a direct impact on public health and will be given a high priority.

(1) Exceeding any MCL including
(AA) Bacteria
(BB) Inorganic
(CC) Pesticides/Organic
(DD) Turbidity
(EE) Radiological
(2) Failure to maintain required treatment
(3) Failure to adhere to new source approval requirements/plan requirements
b. Category II Penalty Range $100.00 - $1,000.00/day/violation. These types of violations/noncompliance also have a direct impact on public health but are mainly noncompliance with technical safeguards.
(1) Failure to monitor as required
(2) Failure to comply with reporting requirements
(3) Failure to make public notice as required
(4) Failure to notify the Director within 48 hours after confirmation check samples reveal MCL violations
(5) Denial of right of entry provisions
(6) Failure to comply with operator's certification requirements c. Category III Penalty Range $100.00 - $300.00/day/violation. These types of violations have an indirect impact on public health and are generally related to poor record keeping.
(1) Failure to submit monitoring reports (monitoring was done but PWS did not send report to the Director until it was requested)
(2) Late submittal of monitoring reports
(3) Failure to keep required records on file as required
2. Violation of a Department Order is a separate and additional violation from the violation or violations which gave rise to the issuance of the order, and is given a Base Number of $1000.00. No distinction should be made between a unilateral order and a consent order for the purpose of assessing administrative penalties. The above classification is subject to change as the Director gets more experience with the Administrative Penalties regulations.
1.22.2DWQ Penalty Matrix (2)

DWQ PENALTY MATRIX

Sections

Public Drinking Water (216-RICR-50-05-01)

Noncompliance Categories

1.1

Authority

N/A

1.2

Definitions

N/A

1.3

Coverage

I

Approval Required

I

Right of Entry

II

PWS Contact Information

III

1.4

Approval of New Water Sources

I

1.5

Approval of Treatment Works, Storage, and Pumping Facilities

I

1.6

Filtration and Disinfection

1.6.1 General Requirements

I

1.6.2 Criteria for avoiding filtration

II

1.6.3 Disinfection

I

1.6.4 Filtration

I

1.6.5 Analytical and monitoring requirements

II

1.6.6 Monitoring requirements for PWSs that do not provide filtration

II

1.6.7 Monitoring requirements for PWSs using filtration equipment

II

1.6.8 Reporting and record keeping requirements

III

1.6.9 Enhanced Treatment for Cryptosporidium

1.6.9(A)General Requirements

1.6.9(B) Source Water Monitoring

II

1.6.9(C) Sampling Schedules

II

1.6.9(D) Sampling Locations

II

1.6.9(E) Analytical Methods

II

1.6.9(F) Approved Laboratories

II

1.6.9(G) Reporting Source Water Monitoring Results

III

1.6.9(H) Grandfathering Previously Collected Data

II

1.6.9(I) Requirements When Making a Significant Change in Disinfection Practice

I

1.6.9(J) Developing the Disinfection Profile and Benchmark

II

1.6.9(K) Bin Classification for Filtered PWSs

II

1.6.9(L) Filtered PWS Additional Cryptosporidium Treatment Requirements

I

1.6.9(M) Unfiltered PWS Cryptosporidium Treatment Requirements

I

1.6.9(N) Schedule for Compliance with Cryptosporidium Treatment Requirements

I

1.6.9(O) Microbial Toolbox Options for Meeting Cryptosporidium Treatment Requirements

I

1.6.9(P) Source Toolbox Components

I

1.6.9(Q) Pre-Filtration Treatment Toolbox Components

I

1.6.9(R) Treatment Performance Toolbox Components

I

1.6.9(S) Additional Filtration Toolbox Components

I

1.6.9(T) Inactivation Toolbox Components

I

1.6.9(U) Reporting Requirements

III

1.6.9(V) Recordkeeping Requirements

III

1.6.9(W) Requirements to Respond to Significant Deficiencies Identified in Sanitary Surveys Performed by The Director

I

1.6.10 Algal Toxins

1.6.10(A) Maximum Contaminant Levels for Algal Toxins

I

1.6.10(B) Source Water Surveillance

II

1.6.10(C) Bloom Severity

III

1.6.10(D) Algal Bloom Response Actions

II

1.6.10(D)(6) Harmful Algal Blooms - Treatment

I

1.6.10(D)(6)(f) Failure to comply with screening and toxin monitoring

II

1.6.10(D)(7)(a) Failure to complete any screening or monitoring requirements

III

1.6.10(D)(7)(b) A PWS which has exceeded the MCL for an algal toxin in finished water

I

1.6.10(D)(7)(e) A PWS which fails to screen or monitor algal toxins must notify the public

III

1.7

Control of Lead and Copper

1.7.1 General requirements

1.7.2 Applicability of corrosion control treatment steps to small, medium-size and large PWSs

I

1.7.3 Description of corrosion control treatment requirements

I

1.7.4 Source water treatment requirements

I

1.7.5 Lead service line replacement requirements

I

1.7.6 Public education and supplemental monitoring requirements

II

1.7.7 Monitoring requirements for lead and copper in tap water

II

1.7.8 Monitoring requirements for water quality parameters

II

1.7.9 Source monitoring requirements for lead and copper in water

II

1.7.10 Analytical methods

II

1.7.11 Reporting requirements

III

1.7.12 Record keeping requirements

III

1.8

Disinfectant Residuals, Disinfection Byproducts and Disinfection Byproduct Precursors

II

1.8.1 Maximum Contaminant Levels (MCLs) for Disinfection Byproducts

I

1.8.2 Maximum Residual Disinfectant Levels

I

1.8.3 General Requirements

I

1.8.4 Analytical Requirements

II

1.8.5 Monitoring Requirements

II

1.8.6 Compliance Requirements

I

1.8.7 Reporting and Recordkeeping Requirements

III

1.8.8 Treatment Techniques for Control of Disinfection Byproducts

I

1.8.9 Initial Distribution PWS Evaluations

II

1.8.9(A) General Requirements

1.8.9(B) Standard Monitoring

1.8.9(C) System Specific Studies

1.8.9(D) 40/30 Certification

1.8.9(E) Very Small System Waivers

1.8.9(F) Stage 2 (§ 1.8.10) Compliance Monitoring Location Recommendations

1.8.10 Stage 2 Disinfection Byproducts Requirements

1.8.10(A) General requirements

II

1.8.10(B) Routine monitoring

II

1.8.10(C) § 1.8.10 monitoring plan

II

1.8.10(D) Reduced monitoring

II

1.8.10(E) Additional requirements for consecutive PWSs

II

1.8.10(F) Conditions requiring increased monitoring

I

1.8.10(G) Operational evaluation levels

I

1.8.10(H) Requirements for remaining on reduced

TTHM and HAA5 monitoring based on Stage 1 results

II

1.8.10(I) Requirements for remaining on increased TTHM and HAA5monitoring based on Stage 1 results

II

1.8.10(J) Reporting and recordkeeping requirements

III

1.9

Assurance of Safety in Public Supply

1.9.2 Contamination of Tanks

I

1.9.3 Connection Between Distribution Systems

I

1.9.5 Flushing of Distribution Systems

II

1.9.6 Minimum Pressure Requirements

II

1.9.7 Auxiliary Power

II

1.9.8 Notifications Involving Emergency Events

II

1.9.9 PWS Emergency Response Plans

II

1.10

Correction of Unsafe Conditions

I

1.11

Reports as to Public Supplies

II

1.11.2 Reporting Requirements

III

1.11.3 Record Maintenance

III

1.12

Certified Laboratories

II

1.13

Groundwater Microbiology

1.13.1 General Requirements and Applicability

II

1.13.2 Sanitary Surveys for Groundwater Systems

I

1.13.3 Groundwater Source Microbial Monitoring and Analytical Methods

II

1.13.4 Treatment Technique Requirements for Groundwater Systems

1.13.4(A) Groundwater Systems with Significant Deficiencies or Source Water Fecal Contamination

I

1.13.4(B) Compliance Monitoring

II

1.13.5 Treatment Technique Violations for Groundwater Systems

I

1.13.6 Reporting and Recordkeeping for Groundwater Systems

III

1.14

Consecutive PWS Monitoring

N/A

1.15

Variances and Exemptions

N/A

1.16

Community PWS Requirements

Maximum Contaminant levels for

1.16.1 Inorganic Chemicals

I

1.16.2 Organic Chemicals

I

1.16.3 Turbidity

I

1.16.4 Microbiological

I

1.16.5 Radioactivity

I

Monitoring Requirements, Analytical Techniques, and Monitoring Frequency for §§ 1.16.1, 1.16.2, 1.16.3, 1.16.4, and 1.16.5

II

1.16.6 Public Notification

II

1.16.10 Records

III

1.16.11 Consumer Confidence Reports

III

1.17

Non-Community PWS Requirements

Maximum Contaminant levels for

1.17.1 Microbiological

I

1.17.2 Inorganic Chemicals

I

17.3 Organic Chemicals

I

1.17.4 Turbidity

I

Monitoring Requirements, Analytical Techniques and Monitoring Frequency for §§ 1.17.1, 1.17.2, 1.17.3, 1.17.4 and 1.17.5

II

1.17.6 Public Notification

II

1.17.7 Records

III

1.18

Fees

N/A

1.19

Practices and Procedures

N/A

1.20

Violations, Noncompliance, and Enforcement

I, II or III

Other Areas of Non-Compliance

Violations of approval letter requirements

I

Contamination incidents

I

Non-compliance with administrative orders

I

Non-compliance with administrative consent agreements

I

1.22.3DWQ Penalty Matrix (4)

PWSS Civil or Complaint for Penalty Calculation Work Sheet

DATE / /

PWS Name or Owner Name

PWS ID#

LOCATION

Violation Cited

I. Calculate Statutory Maximum Penalty
(A) Length of Violation (in days)
(B) Maximum Penalty __________

Civil Penalty - $5,000/day

Statutory Maximum Penalty

II. Calculate Economic Benefit Component
1. Estimate avoided and delayed costs through reasonable methodology.

This must be documented.

III.Calculate Gravity Component
2. BASE NUBER __________
3. Impact (+ or -) __________
4. Extent (+ or -) __________
5. # of Violations (+ or -) __________
6.GRAVITY BASE NUMBER

(Total lines 2,3,4, and 5) __________

** (Total must be within class range)

7.NUMBER OF DAYS (If applicable) __________

(Must be at least one (1))

8.TOTAL GRAVITY BASE NUMBER

(Multiply 6 by 7) __________

9. PRELIMINARY SETTLEMENT AMOUNT

(Economic Benefit + Gravity Component) __________

IV.Adjustment Factors TO TOTAL GRAVITY BASE NUMBER
10. History of Violations (+) 0 to 50% ______%
11. Lack of Good Faith (+) 0 to 100% ______%
12. Financial Condition (+ or -) 0 to 50% ______%
13. Public Interest (+ or -) 0 to 50% ______%
14. Special Circumstances (+ or -) 0 to 50% ______%
15. Litigation Considerations (-) 0 to 90% ______%

TOTAL PERCENTAGE ADJUSTMENTS

16. (Add lines 10 thru 15) ______%
17.MULTIPLY LINE 16 BY LINE 8 $________
18. Enforcement Costs $________
V.Final Settlement Amount
19.TOTAL PENALTY (Add lines 1,8,17, and 18) $________

COMMENTS (Briefly note reason for any adjustment)

216 R.I. Code R. 216-RICR-50-05-1.22

Amended effective 9/18/2024