United States Office of Water EPA 816-R-01 -002
Environmental Protection (4606) January 2001
Agency
&EPA Revised State
Implementation Guidance
for the
Consumer Confidence Report
(CCR) Rule
Appendices A - M
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Table of Contents
Appendix A State Primacy Revision Application Package - Example Format A-l
Appendix B State/EPA Implementation Agreement B-l
Appendix C CCR Certification - Example Formats C-l
Appendix D Governor's Mailing Waiver - Example Formats D-l
Appendix E Safe Drinking Water Information System (SDWIS) Reporting (Revised 1/00) E-l
Appendix F CCR Example/Report Content Topics F-l
Appendix G List of EPA's Minimum Detection Limits G-l
Appendix H Appendix A to Subpart O of 40 CFR 141 (New) H-l
Appendix I Information on Source Water Assessment Programs (SWAPs) and Susceptibility
Determinations 1-1
Appendix J CCR Compliance Strategy J-l
Appendix K Memorandum on Alternative MCL Reporting Format K-l
Appendix L Additional Resources Available to Prepare CCRs L-l
Appendix M Amendments to the CCR Rule from Other Rules (New) M-l
List of Tables
Table G-l - EPA's Minimum Detection Limits G-2
Table H-l - Appendix A to Subpart O: Regulated Contaminants (New) H-3
Table H-2 - List of Unregulated and ICR Contaminants H-17
Table 1-1 - CCR Requirements Referencing Source Water Assessment Results 1-3
Table 1-2 - CCR Examples - Source Water Information 1-5
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Appendix A: State Primacy Revision Application Package
- Example Format
This appendix describes the elements of a State's Primacy Revision Application package.
A State Primacy Revision Application package should contain the following sections:
Section I. State Primacy Revision Checklist
> Listing of program elements from 40 CFR 142.10 that the State
may have revised in response to the new rule.
Section II. Text of the State's Regulation
Section HI. Primacy Revision Crosswalk
* Identification of how State regulations correspond to each
requirement prescribed of the federal CCR rule.
Section IV. State Reporting and Recordkeeping Checklist
> Explanation of how State reporting and recordkeeping
requirements are consistent with federal requirements.
Section V. Attorney General's Statement of Enforceability
* Statement that State regulations can be enforced by the State
government.
Example formats for these sections are presented on the following pages.
After a State's primacy revision application has been approved, the Regional Administrator
must provide public notice and opportunity for hearing on EPA's determination. The Regional
Administrator is required to publish in the Federal Register the proposed determination, along with
a statement of supporting reasons, and notification that a public hearing may be requested. An
example of a public notice for Notice of Determination and Public Hearing is also included in this
appendix.
A-l
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Review of State Primacy Revision Application
for the
Consumer Confidence Report (CCR) Rule
CONTENTS:
I. § 142.10 Requirements - State Primacy Revision Checklist
II. Text of the State's Regulation
in. § 141 Requirements - Primacy Revision Crosswalk
IV. § 142.16 - State Reporting and Recordkeeping Requirements
V. Attorney General's Statement of Enforceability
State:
Date Application Submitted:
Date Review Completed:
EPA Region:
Review Staff:
A-2
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Section I. State Primacy Revision Checklist - Example Format
The State Primacy Revision Checklist is a listing of program elements from 40 CFR 142.10
that the State may have revised in response to the new rule. For the CCR rule, most States will
revise only § 142.10(b)(6)(vii) authority to require community water systems (CWSs) to issue CCRs.
State Primacy Revision Checklist
Required Program Elements
§142.10
§142.10(a)
§142.10(b)(1)
§142.10(b)(2)
§142.10(b)(3)
§142.10(b)(4)
§142.10(b)(5)
§142.10(b)(6)(i)
§142.10(b)(6)(ii)
Primary Enforcement
Regulations No Less Stringent
Maintain Inventory
Sanitary Survey Program
Laboratory Certification Program
Laboratory Capability
Plan Review Program
Authority to Apply Regulations
Authority to Sue in Courts of
Competent Jurisdiction
§142.10(b)(6)(iii) Right of Entry
§142.10(b)(6)(iv)
§142.10(b)(6)(v)
§142.10(b)(6)(vi)
§142.10(b)(6)(vii)
§142.10(c)
§142.10(d)
§142.10(e)
§142.10(f)
Authority to Require Records
Authority to Require Public
Notification
Authority to Assess Civil and
Criminal Penalties
Authority to Require CWSs to
Provide CCRs
Maintenance of Records
Variance/Exemption Conditions
Emergency Plans
Administrative Penalty Authority
Revision to
State
Program
(Yes or No)
EPA
Findings/Comments
A-3
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Section II. Text of State's Regulation
The text of the State's regulation should be included in this section.
A-4
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Section III. Primacy Revision Crosswalk - Example Format
The Primacy Revision Crosswalk will be used by EPA in determining, section by section,
whether the State regulations are as stringent as the federal regulations.
Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
FEDERAL
CITATION
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
DEFINITIONS
Customers
Detected
Maximum Contaminant Level Goal
(MCLG)
Maximum Contaminant Level (MCL)
Variances and Exemptions
Treatment Technique (TT)
Action Level (AL)
§141.151(c)
§141.151(d)
§141.153(c)(2)
§141.153(c)(3)(i)
GENERAL REQUIREMENTS -§141.152
EFFECTIVE DATES
CCR delivery dates:
A CWS must deliver the CCR to
customers by:
- October 19, 1999 for the first
CCR.
- July 1, 2000 for the second
CCR.
- July 1 annually thereafter for
subsequent reports.
New CWSs must deliver their first
CCR by July 1 after the first full
calendar year in operation and
annually thereafter.
§141.152(b)
§141.152(0)
A-5
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
FEDERAL
CITATION
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
A CWS that sells water to another
CWS must provide the buyer with
information to prepare the reports by
April 19,1999 for the first CCR and by
April 1 annually thereafter for
subsequent reports. Data must be
provided by these dates unless a
different date is mutually agreed upon
by the seller and buyer and specified
in the contract between the two
parties.
§141.152(d)
CONTENT OF THE OCRs - §141.153; §141.154
CWS must provide an annual report
containing information from
§141.153 and §141.154.
§141.153(a)
Information on the source of the
water delivered
- Identify the type and name
and location of the body or
bodies of water.
- If a source water
assessment is completed,
include the following
information:
- Notify customers of
availability of the
assessment and how to
obtain it.
- Systems are encouraged
to highlight contamination
in the source water
area(s) if the information
is available (Not
Required but
Recommended).
- If the information is available,
provide a brief summary of
the system's susceptibility to
§141.153(b)
§141.153(b)(1)
§141.153(b)(2)
A-6
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
FEDERAL
CITATION
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
potential sources of
contamination using language
provided by the primacy
agency or written by the
operator.
INFORMATION ON DETECTED
CONTAMINANTS
Systems must report information for
the following contaminants subject to
mandatory monitoring (except
Cryptosporidium).
- Regulated contaminants.
- Unregulated contaminants.
- Disinfection byproducts or
microbial contaminants in
finished water.
§141.153(d)(1)
Data for detected contaminants must
be displayed in a table or several
adjacent tables. Display any
additional monitoring results
separately.
§141.153(d)(2)
Systems must use data collected to
comply with EPA and State monitoring
and analytical requirements during the
calendar year 1998 for the first report
and subsequent calendar years after
that.
- Systems that monitor for
regulated contaminants less
than once a year, must
include the date and results of
the most recent sampling and
a brief statement that data
presented is from the most
recent testing done in
accordance with regulations.
- Systems must include results
of monitoring in compliance
§141.153(d)(3)
§141.153(d)(3)(i)
A-7
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
FEDERAL
CITATION
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
with §141.142 and §141.143
for 5 years from the date of
the last sample or until the
detected contaminants
become regulated and subject
to routine monitoring
requirements, whichever
comes first.
Data requirements for detected
regulated contaminants in the
table(s)
- Report MCL as a number
greater than or equal to one.
- Report MCLG in the same
units as the MCL.
§141.153(d)(4)
§141.153(d)(4)(i)
If there is no MCL, then report
the TT or AL as applicable
and the report must include
definitions for TT and AL.
For contaminants subject to
an MCL, except turbidity and
total conforms, report the
highest detected level used to
determine compliance with an
NPDWR and the range of
detected levels expressed in
the same units as the MCL.
- If compliance with the
MCL is determined
annually or less
frequently, report the
highest level at any
sampling point and the
range of detected levels.
§141.153(d)(4)(iv)
§141.153(d)(4)(iv)(A)
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
FEDERAL
CITATION
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
- If compliance with the
MCL is determined by
calculating a running
annual average of all
samples taken at a
sampling point, report the
highest average of any of
the sampling points and
the range of all sampling
points.
- If compliance with the
MCL is determined on a
system-wide basis by
calculating a running
annual average of all
samples at all sampling
points, report the average
and range of detection.
§141.153(d)(4)(iv)(B)
§141.153(d)(4)(iv)(C)
Turbidity Data Requirements
when reported pursuant to:
- §141.13-include the highest
average monthly value.
- §141.71 - include the highest
monthly value and an
explanation of the reasons for
measuring turbidity.
- §141.73 - include the highest
single measurement and the
lowest monthly percentage of
samples meeting turbidity
limits for the filtration
technology used and an
explanation of the reasons for
measuring turbidity.
§141.153(d)(4)(v)
§141.153(d)(4)(v)(A)
§141.153(d)(4)(v)(B)
§141.153(d)(4)(v)(C)
Lead and
Requirements
Copper Data
§141.153(d)(4)(vi)
Include the 90th percentile value
of the most recent round of
A-9
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
sampling and the number of
sampling sites exceeding the
action level.
Total Coliform Data Requirements
- For systems collecting less
than 40 samples per month,
report the highest monthly
number of positive samples.
- For systems collecting at
least 40 samples per month,
report the highest monthly
percentage of positive
samples.
Fecal Coliform Data Requirements
Report the total number of
positive samples.
Likely Source(s) of Detected
Contaminants
The likely source(s) of detected
contaminants to the best of the
operator's knowledge must be
included in the report. If the CWS
operator lacks specific information on
the likely source of detected
contaminants, applicable language
from Appendix A to Subpart O must
be used.
CWSs that distribute water from
multiple hydraulically independent
distribution systems fed by different
raw water sources, should include in
the table a separate column for each
service area and the report should
identify each separate distribution
system. Alternatively, systems could
produce separate reports tailored to
include data for each service area
(Not Required but Recommended).
FEDERAL
CITATION
§141.153(d)(4)(vii)
§141.153(d)(4)(vii)(A)
§141.153(d)(4)(vii)(B)
§141.153(d)(4)(viii)
§141.153(d)(4)(ix)
§141.153(d)(5)
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
A-10
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
FEDERAL
CITATION
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
Systems must clearly identify any data
that indicates violations of MCLs or
TTs and explain:
(1) the length of the violation.
(2) potential adverse health effects,
using language from Appendix A
to SubpartO.
(3) actions taken by the system to
address the violation.
§141.153(d)(6)
For detected unregulated
contaminants for which monitoring is
required (except Cryptosporidium),
systems must report the average and
range of detection. The report may
include a brief explanation of the
reasons for monitoring for unregulated
contaminants.
§141.153(d)(7)
Information on Cryptosporidium,
Radon, and Other Contaminants
If monitoring indicates
Cryptosporidium may be present in
the source water or finished water,
include a summary of the monitoring
results and an explanation of the
significance of the results.
§141.153(e)
§141.153(e)(1)
If monitoring indicates radon may be
present in finished water, include the
results of monitoring and an
explanation of the significance of the
results.
§141.153(e)(2)
If the system has performed additional
monitoring which indicates the
presence of other contaminants in the
finished water, EPA strongly
encourages systems to report any
results which may indicate a health
concern. For such contaminants,
include monitoring results and an
§141.153(e)(3)
A-ll
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
explanation of the significance of the
results. (Not Required but
Recommended)
Compliance with NPDWR
CWSs must note violations of the
requirements listed below in the CCR.
A brief explanation of violations,
potential adverse health effects, and
steps taken to address the violation
must be included in the report.
Monitoring and reporting of
compliance data.
Filtration and disinfection prescribed
by Subpart H of 40 CFR 141. An
explanation of violations of those
requirements must be included and
contain mandatory language provided
by EPA.
Lead and coppercontrol requirements
prescribed by Subpart I of 40 CFR
141. An explanation of violations of
those requirements must be included
and contain applicable language from
Appendix A to Subpart O.
Treatment techniques for acrylamide
and epichlorohydrin prescribed by
Subpart K of 40 CFR 141. An
explanation of violations of those
requirements must be included and
contain applicable language from
Appendix A to Subpart O.
Recordkeeping of compliance data.
Special monitoring requirements
prescribed by §141.40 for inorganic
and organic contaminants and
§141.41 for sodium.
FEDERAL
CITATION
§141.153(f)
§141.153(f)(1)
§141.153(f)(2)
§141.153(f)(3)
§141.153(f)(4)
§141.153(0(5)
§141.153(0(6)
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
A-12
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
FEDERAL
CITATION
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
Violation of the terms of a variance, an
exemption, or an administrative or
judicial order.
§141.153(f)(7)
Variances and Exemptions
Systems operating under a variance
or exemption must provide:
- An explanation of the reasons
for the variance or
exemption.
- The date of issue.
- A brief status report on the
steps the system is taking to
comply with the terms and
schedules of the variance or
exemption.
- A notice of any opportunity for
public input in the review, or
renewal of the variance or
exemption.
§141.153(g)
§141.153(g)(1)
§141.153(g)(2)
§141.153(g)(3)
§141.153(g)(4)
Additional Information
Systems must provide an explanation
of the contaminants reasonably
expected to be found in drinking
water, including bottled water. The
explanation must:
- Include information on
sources of drinking water,
contaminants that may be
present in source water, and
EPA/FDA regulations.
Systems can use language
provided by EPA in
§141.153(h)(1)(i) through (iii).
or develop their own
comparable language.
§141.153(h)
§141.153(h)(1)
A-13
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
FEDERAL
CITATION
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
The sources of drinking water
(both tap water and bottled water)
include rivers, reservoirs, springs
and wells. As water travels over
the surface of the land or through
the ground, it dissolves naturally -
occurring minerals and, in some
cases, radioactive material, and
can pick up substances resulting
from the presence of animals or
from human activity.
Contaminants that may be
present in source water
include:
Microbial contaminants, such as
viruses and bacteria, which may
come from sewage treatment
plants, septicsystems, agricultural
livestock operations, and wildlife.
Inorganic contaminants, such as
salts and metals, which can be
naturally-occurring or result from
urban stormwater runoff, industrial
or domestic wastewater
discharges, oil and gas
production, mining, or farming.
Pesticides and herbicides, which
may come from a variety of
sources such as agriculture,
urban stormwater runoff, and
residential uses.
Organic chemical contaminants,
including synthetic and volatile
organic chemicals, which are by-
products of industrial processes
and petroleum production and can
also come from gas stations,
urban stormwater runoff, and
septic systems.
A-14
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
Radioactive contaminants, which
can be naturally occurring or be
the result of oil and gas
production and mining activities.
In order to ensure that tap water
is safe to drink, EPA prescribes
regulations which limit the amount
of certain contaminants in water
provided by public water systems.
FDA regulations establish limits
for contaminants in bottled water
which must provide the same
protection for public health.
- Include language in
§141.153(h)(1)(iv), shown
below:
Drinking water, including
bottled water, may reasonably be
expected to contain at least small
amounts of some contaminants.
The presence of contaminants
does not necessarily indicate that
water poses a health risk. More
information about contaminants
and potential health effects can be
obtained by calling the
Environmental Protection
Agency's Safe Drinking Water
Hotline (800-426-4791).
Include the telephone number of the
owner, operator, or designee of the
CWS as a source of additional
information on the report.
Information in the appropriate
language for communities with a large
proportion of non-English speaking
residents
The report must include information in
the appropriate language(s) regarding
the importance ofthe report or contain
FEDERAL
CITATION
§141.153(h)(1)(ii)(E)
§141.153(h)(1)(iii)
§141.153(h)(1)(iv)
§141.153(h)(2)
§141.153(h)(3)
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
A-15
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
a telephone number or address where
residents can contact the system to
obtain a translated copy of the report
or assistance in the appropriate
language.
Information about opportunities for
public participation in decisions that
may affect the quality of the water.
Additional information the CWS
deems necessary for public
education consistent with and not
detracting from the purpose of the
report.
REQUIRED ADDITIONAL HEALTH
INFORMATION
Must display EPA language
concerning increased vulnerability of
segments of the population such as
immuno-compromised persons to
drinking water contaminants.
Informational statement about arsenic
if a system detects arsenic levels > 25
/4J/I, but below the MCL.
Informational statement about nitrate
if a system detects nitrate levels > 5
mg/l, but below the MCL.
Informational statement about the
special impact of lead on children for
systems that detect lead above the
action level in more than 5% and up to
and including 1 0% of homes sampled.
CWSs that detect TTHMs above
0.080 mg/l, but below the MCL in
Section 141.12, as an annual
average, monitored and calculated
under the provisions of Section
141.30, must include health effects
language provided by paragraph (73)
of Appendix A to Subpart O.
FEDERAL
CITATION
§141.153(h)(4)
§141.153(h)(5)
§141.154
§141.154(a)
§141.154(b)
§141.154(c)
§141.154(d)
§141.154(e)
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
A-16
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
REPORT DELIVERY AND
RECORDKEEPING
REQUIREMENTS FOR CWSs
Mail ordirect-deliverthe CCR to
customers.
Use "good faith" efforts to reach non-
bill paying consumers.
No later than the date the CWS is
required to distribute the CCR to its
customers, the CWS must mail a copy
of the CCR to the primacy agency and
within 3 months of the required CCR
delivery date send certification to the
primacy agency that the information is
correct and consistent with the
compliance monitoring data previously
submitted to the primacy agency.
Deliver report to any other agency
identified by primacy agency no later
than required date for distribution to
customers.
CWS must make CCRs available
upon request.
CWS serving 1 00,000 or more must
post CCR on a publicly accessible
Internet site.
FEDERAL
CITATION
§141.155
§141.155(a)
§141.155(b)
§141.155(c)
§141.155(d)
§141.155(e)
§141.155(f)
STATE
CITATION
Document title;
page #; and
§or H
If different
than federal
requirement,
note here and
explain on a
separate sheet
A-17
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Primacy Revision Crosswalk for the CCR Rule
FEDERAL
REQUIREMENT
Mailing Waiver for Systems
Serving Fewer than 10,000
Persons
The following authorities can waive
the mailing requirements for systems
serving fewer than 10,000 persons:
- The Governor of a State or
his/her designee.
- Tribal leader if the Tribe has
met the §142.72
requirements.
- The EPA Regional
Administrator in consultation
with the Tribal government
when no Tribe is deemed
eligible.
A CWS serving fewer than 1 0,000
persons must:
- Publish reports in one or more
local newspapers.
- Inform customers that the
CCR will not be mailed.
- Make the CCR available to
the public upon request.
A CWS serving 500 or fewer persons
can forego requirements of
§141.155(g)(1)(i) and (ii) listed above
if they provide notice at least once a
year to their customers by mail, door-
to-door delivery, or by posting in an
appropriate location that the report is
available upon request.
CWS must keep copies of CCR for
at least 5 years.
FEDERAL
CITATION
§141.155(g)
§141.155(g)(1)
§141 .155(g)(1)(i)
§141.155(g)(1)(ii)
§141.155(g)(1)(iii)
§141.155(g)(2)
§141.155(h)
STATE
CITATION
Document title;
page #; and
§or U
If different
than federal
requirement,
note here and
explain on a
separate sheet
A-18
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Section IV. State Reporting and Recordkeeping Checklist - Example Format
States can use this form to explain how State reporting and recordkeeping requirements are
consistent with federal requirements for recordkeeping, 40 CFR 142.14, and reporting 40 CFR
142.15. If the State's provisions differ from federal requirements, the State can use this form to
explain how their requirements are no less stringent.
State Reporting and Recordkeeping Checklist
Requirement
Are State Policies Consistent with Federal
Requirements? If Not, Explain
§142.16 (f) - Records Kept By The States
Each State that has primary enforcement
responsibility must make CCRs submitted to the
State in compliance with 40 CFR 155(c)
available to the public upon request.
Each State that has primary enforcement
responsibility must maintain a copy of the CCRs
for a period of 1 year.
Each State that has primary enforcement
responsibility must keep a copy of the
certifications obtained pursuant to 40 CFR
141.155(c) fora period of 3 years.
[The Public Notification Rule (65FR 25982) revised
this recordkeeping requirement]
Each State that has primary enforcement
responsibility must report violations of 40 CFR
141, Subpart O in accordance with the
requirements of §142.15(a)(1).
> §142.15(a)(1): Each State which has
primary enforcement responsibility shall
submit quarterly reports to the
Administrator on a schedule and in a
format, prescribed by the Administrator
that contains information on violations
by PWSs during the previous quarter of
State regulations adopted to incorporate
the requirements of the NPDWR.
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Section V. Attorney General's Statement of Enforceability - Example Format
Model Language
I hereby certify, pursuant to my authority as (1) and in accordance with
the Safe Drinking Water Act as amended, and (2) , that in my opinion the laws
of the State/Commonwealth] of (3) [or Tribal ordinances of (4) ]
to carry out the program set forth in the "Program Description" submitted by the (5)
have been duly adopted and are enforceable. The specific authorities provided are contained in
statutes or regulations that are lawfully adopted at the time this Statement is approved and signed
and will be fully effective by the time the program is approved.
Guidance and Model Language For States on Audit Privilege and/or Immunity Laws
In order for EPA to properly evaluate the State's request for approval, the State
Attorney General or independent legal counsel should certify that the State's
environmental audit immunity and/or privilege and immunity law does not affect
its ability to meet enforcement and information gathering requirements under the
Safe Drinking Water Act. This certification should be reasonably consistent with
the wording of the State audit laws and should demonstrate how State program
approval criteria are satisfied.
EPA will apply the criteria outlined in its "Statement of Principles" memo issued
on 2/14/97 in determining whether States with audit laws have retained adequate
enforcement authority for any authorized federal programs. The principles
articulated in the guidance are based on the requirements of federal law,
specifically the enforcement and compliance and State program approval
provisions of environmental statutes and their corresponding regulations. The
Principles provide that if provisions of State law are ambiguous, it will be
important to obtain opinions from the State Attorney General or independent legal
counsel interpreting the law as meeting specific federal requirements. If the law
cannot be so interpreted, changes to State laws may be necessary to obtain federal
program approval. Before submitting a package for approval, States with audit
privilege and/or immunity laws should initiate communications with appropriate
EPA Regional Offices to identify and discuss the issues raised by the State's audit
privilege and/or immunity law.
Model Language For States with No Audit Privilege and/or Immunity Laws
Furthermore, I certify that [State/Commonwealth of (3) ] has not enacted any
environmental audit privilege and/or immunity laws.
A-20
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Model Language For States with Audit Laws that Do Not Apply to the State Agency
Administering the Safe Drinking Water Act
Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the [State/
Commonwealth of (3) ] does not affect (3) ability to meet
enforcement and information gathering requirements under the Safe Drinking Water Act because the
[audit privilege and/or immunity law] does not apply to the program set forth in the "Program
Description." The Safe Drinking Water Act program set forth in the "Program Description" is
administered by (5) ; the [audit privilege and/or immunity law] does not affect
programs implemented by (5) , thus the program set forth in the "Program
Description" is unaffected by the provisions of [State/Commonwealth of (3) ]
[audit privilege and/or immunity law].
Model Language For States with Audit Privilege and/or Immunity Laws that Worked with
EPA to Satisfy Requirements for Federally Authorized, Delegated or Approved Environmental
Programs.
Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the [State /
Commonwealth of (3) ] does not affect (3) ability to meet
enforcement and information gathering requirements under the Safe Drinking Water Act because
[State/Commonwealth of (3) ] has enacted statutory revisions and/or issued a
clarifying Attorney General's statement to satisfy requirements for federally authorized, delegated
or approved environmental programs.
Seal of Office
Signature
Name and Title
Date
(1) Attorney General or attorney for the primacy agency if it has independent legal counsel
(2) 40 CFR 142.12 (c)(l)(iii) for final requests for approval of program revisions
(3) Name of State or Commonwealth
(4) Name of Tribe
(5) Name of Primacy Agency
A-21
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Notice of Determination and Request for Public Hearing - Example Format
ENVIRONMENTAL PROTECTION AGENCY
PUBLIC WATER SYSTEM SUPERVISION PROGRAM REVISION FOR THE
STATE OF [insert name]
AGENCY: ENVIRONMENTAL PROTECTION AGENCY (EPA)
ACTION: Notice of Tentative Approval
SUMMARY: Notice is hereby given that the State of [insert name] is revising its approved Public
Water System Supervision Program. The State of [insert name] has adopted drinking water
regulations requiring consumer confidence reports from all community water systems. EPA has
determined that these revisions are no less stringent than the corresponding federal regulations.
Therefore, EPA intends to approve these State program revisions.
All interested parties may request a public hearing. A request for a public hearing must be submitted
by [insert date 30 days from date of publication in the Federal Register] to the Regional
Administrator at the address shown below. Frivolous or insubstantial requests for a hearing may be
denied by the Regional Administrator. However, if a substantial request for a public hearing is made
by [insert date 30 days from date of publication in the Federal Register], a public hearing will be
held. If no timely and appropriate request for a hearing is received and the Regional Administrator
does not elect to hold a hearing on his own motion, this determination shall become final and
effective on [insert date 30 days from date of publication in the Federal Register].
Any request for a public hearing shall include the following information: (1) The name, address, and
telephone number of the individual organization, or other entity requesting a hearing; (2) A brief
statement of the requesting person's interest in the Regional Administrator's determination and a
brief statement of the information that the requesting person intends to submit at such hearing; (3)
The signature of the individual making the request, or, if the request is made on behalf of an
organization or other entity, the signature of a responsible official of the organization or other entity.
ADDRESSES: All documents relating to this determination are available for inspection between
the hours of a.m. and p.m., Monday through Friday, at the following office:
[insert address ]
FOR FURTHER INFORMATION CONTACT: [insert contact name and information]
(Section 1420 of the Safe Drinking Water Act, as amended (1996), and 40 CFR Part 142 of the
National Primary Drinking Water Regulations)
Dated:
Regional Administrator
EPA, Region
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Appendix B: State/EPA Implementation Agreement
Under 40 CFR 142.12, States must adopt the requirements of the CCR rule within 2 years
of the final rule's publication or by August 21, 2000. States and EPA will implement the regulation
in partnership at least for the first set of reports, since most States will likely not have updated
primacy for this rule by October 19, 1999 when the first reports are due. An implementation
agreement such as a letter from the Region to the State or another document such as Memorandum
of Understanding (MOU) is necessary to document the State and EPA Regional roles that would lead
to successful implementation of the rule. Although the letter from the Region to the State is less
burdensome to most States than a bilateral MOU, it cannot be used after the rule has been
promulgated for 2 years. After August 21, 2000 States that have not submitted a complete and final
primacy revision application must apply for an extension and jointly sign an MOU with EPA. A
sample letter from a Region to a State and a sample MOU is presented on the following pages.
At a minimum, all implementation agreements should cover informing the systems, checking
that all CWSs issued CCRs, and a check on the quality of some CCRs. Such a check could include
all systems serving 10,000 or more, all SNCs, a random check, or some other agreed upon check.
The list of items to track are suggestions. States and Regions may agree upon additional items to
track based on the circumstances in each State. If the State believes it is inappropriate to agree to
a check on the quality of some CCRs, before an EPA policy on compliance assistance is final, then
the Region and State should agree to develop a written plan for the quality check at a later date but
before CCRs are scheduled to be issued (October 1999).
All CWSs must be notified of their responsibility to comply with the CCR regulation and
prepare and distribute the first CCR by October 19, 1999. A sample letter from the State notifying
a CWS of the CCR requirements has also been included in this appendix.
Sample Letter from EPA Region to State B-2
Sample Memorandum of Understanding B-5
Sample CCR Notification Letter from State to Community Water Systems B-9
B-l
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Sample Letter from EPA Region to State
Date
Name of State Agency
Address of State Agency
Re: Regional-State EPA Agreement on Consumer Confidence Report (CCR) Implementation
Dear (Name of State Agency Representative(s)):
On August 19, 1998, the U.S. Environmental Protection Agency (EPA) published final
regulations requiring all community water systems (CWSs) to provide their customers with an
annual water quality report or Consumer Confidence Report (CCR). These regulations amend the
National Primary Drinking Water Regulations, 40 CFR Part 141 and the regulations for
implementation of the National Primary Drinking Water Regulations, 40 CFR Part 142. This
rulemaking took effect September 18, 1998 and stipulates that CWSs must issue their first CCR by
October 19,1999 and then annually by each July 1. EPA's goal, especially for the first set of reports
is to aid and assist States and systems in complying with this new regulation.
In accordance with the updated 40 CFR 142.12, ( Name of State ) must adopt regulations
pertaining to the CCR and submit a complete and final primacy revision application by August 21,
2000, unless granted an extension. Since it is likely that ( Name of State ) will not have their own
rules in place when the first reports are due, EPA Region and ( Name of State Agency ) have
agreed to implement the rule in partnership at least for the first set of reports, until the State receives
updated primacy.
On Date . representatives from the EPA Region and ( Name of State Agency ) met to
discuss the responsibilities of each party during this interim period. This letter records the negotiated
agreement on implementation roles and responsibilities between ( Name of State Agency ) and
EPA Region . The negotiated tasks are shown in the attached sheet.
We look forward to working with ( Name of State Agency ) to make these reports a useful
and effective opportunity to promote the quality of public drinking water.
Sincerely,
EPA Regional Office
B-2
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CCR Implementation Responsibilities
Activities to be carried out by EPA Region
Provide training to State staff and, when possible, to water system operators by April
1999.
Provide ongoing assistance to State with public outreach efforts to inform and educate
consumers about CCR requirements, including coordinating with water associations
to increase awareness of requirements.
Forward national guidance to the State and prepare additional guidance/training
materials as needed.
Keep State informed of the Safe Drinking Water Information System (SDWIS)
reporting requirements during development and implementation.
Track compliance and provide assistance where necessary.
Notify States of all federal enforcement actions.
Activities to be carried out by the State/ (Name of State Agency) :
Notify systems of the requirement to produce and distribute a CCR.
If the State opts to use the mailing waiver for small systems, it will obtain the
Governor's waiver for the small systems mailing requirement, and provide the waiver
to EPA, Region within 60 days of receipt.
Identify other State agencies that should receive copies of the CCR. Provide CWSs
with the names, addresses, and phone numbers of contacts to distribute CCR to within
those agencies by August 1999.
Train State staff and CWSs on the required content for CCRs by April 1999.
Devise a tracking system for CCRs and certification letters by October 1999.
Issue notices to systems which fail to produce and mail a CCR
Good faith effort to check the quality of some CCRs (specify procedures)
Provide copies of the CCR in response to public inquiries after the 1st CCR produced.
B-3
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Notify any new CWSs of the requirements to produce and distribute a CCR by July
1 after the first full year of operation.
Report CCR violation and enforcement information to SDWIS as required after the
first report is due.
B-4
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Sample Memorandum of Understanding
Name of State Agency
U.S. Environmental Protection Agency Region
Memorandum of Understanding
for the
Consumer Confidence Report (CCR) Regulation
On August 19, 1998, the U.S. Environmental Protection Agency (EPA) published final
regulations requiring Consumer Confidence Reports (CCRs) from community public water suppliers.
These regulations amend the National Primary Drinking Water Regulations, Part 141 and the
regulations for implementation of the National Primary Drinking Water Regulations, Part 142. This
rulemaking took effect September 18, 1998 and community water systems (CWSs) have 13 months
in which to publish their first report, or by October 19, 1999.
EPA recognizes that most States will not have their own rules in place until after the first or
second CCR is required to be published by each CWS. The April 28, 1998 revisions to the Primacy
rule extend the time allowed for States to adopt new federal regulations from 18 months to 2 years.
Therefore, the State must adopt regulations pertaining to CCRs and submit complete and final primacy
revision applications by August 21,2000. In addition, States may request an extension of up to 2 years
to adopt new or revised regulations.
This document records the terms of a Primacy Memorandum of Understanding between the ( Name
of State Agency) (the State) and the EPA, Region for the CCR rule, and shall remain effective
from the date this MOU is signed until either August 21, 2000 or the date the State's primacy
application is submitted under 40 C.F.R. § 142.12, whichever comes first. To retain primacy the State
must transmit a final and approvable Primacy Revision Application incorporating the provisions of
FR, August 19, 1998 to EPA, Region by August 21, 2000 or no later than August 21, 2002 if the
State has been granted an extension.
Until the State Primacy Revision Application has been submitted, the State and EPA, Region
will share responsibility for implementing the primary program elements as indicated below. For
the sake of convenience, the implementation milestones that the State and EPA, Region have
agreed to are listed in the attached checklist.
This Memorandum of Understanding, signed by both agencies, outlines the responsibilities of
(Name of State Agency) and EPA, Region and encourages all parties to become partners in this
effort, working toward two very specific goals. The first goal is to achieve a high level of compliance
with the regulation. The second goal is to facilitate successful implementation of the regulation during
the transition period before the State has interim primacy for the rule. In order to accomplish these
goals, education and training will need to be provided to water suppliers on their responsibilities to
produce CCRs that educate and inform the public.
B-5
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Activities to be carried out by the State:
Notify CWSs within 60 days of signing this MOU of the requirement to produce and
distribute a CCR.
If the State opts to use the mailing waiver for small systems, it will obtain the
Governor's waiver for the small systems mailing requirement, and provide the waiver
to EPA, Region within 60 days of receipt.
Identify other State agencies that should receive copies of the CCR. Provide CWSs
with the names, addresses, and phone numbers of contacts within those agencies.
CCRs must be distributed to those agencies within 60 days of signing this MOU.
Train State staff and CWSs on the required content for CCRs.
Devise a tracking system for CCRs and certification letters.
Issue notices to systems which fail to produce and mail a CCR or fail to provide a
certification letter.
Provide copies of the CCR in response to public inquiries.
Notify any new systems of the requirements to produce and distribute a CCR by July
1 after the first full year of operation
Report CCR violation and enforcement information to SDWIS as required.
Activities to be carried out by EPA Region
Provide training to State staff and, when possible, to water system operators.
Coordinate with water associations to increase awareness of requirements.
Assist with public outreach efforts to inform and educate consumers of this upcoming
report.
Prepare guidance as needed, or forward national guidance to the States.
Keep States informed of SDWIS reporting requirements during development and
implementation.
Compliance assistance.
Notify States of all federal enforcement actions.
B-6
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This Memorandum of Understanding will take effect upon the date of the last signature.
Dated this day of , 1999
State Representative, Title
Name of State Agency
Dated this day of , 1999
EPA Representative, Title
* Signatures could be at the level of the Safe Drinking Water Branch Chief for EPA
and the corresponding level at the State. Signatures should have the legal authority
to bind EPA or the State to the duties described herein.
B-7
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An alternate format for documenting EPA and State CCR implementation responsibilities described
in the MOU is provided below. This example format could be attached to the MOU.
Implementation Milestone Checklist
Program Element
Notify Community Water Systems (CWSs) of CCR
requirements.
Give CWSs names, addresses, phone numbers,
and contact names for other State agencies that
must receive CCR.
Assist with public outreach efforts to inform and
educate consumers. Coordinate with water
associations to increase awareness of
requirements.
Prepare guidance as needed or forward national
guidance to the States.
Provide training to State staff and when possible
water system operators.
Obtain Governor's waiver for small systems mailing
requirement(if State uses mailing waiver for small
systems).
Provide a copy of Governor's mailing waiver to
EPA, Reqion
Keep States informed of SDWIS reporting
requirements during development and
implementation.
Report CCR violation and enforcement to SDWIS
as required.
Track compliance with report completion. Report
information to USEPA by February 15, 2000.
Issue notices to CWSs that fail to produce and mail
a CCR or provide a certification letter.
Good faith effort to check the quality of some CCRs
(specify procedures).
Provide copies of the CCR in response to public
inquiries.
Provide compliance assistance.
Notify States of all federal enforcement violations.
Notify any new CWSs of the CCR requirements.
Implementation Milestone
Within 60 days of signing this
MOU but no later than
Within 60 days of signing this
MOU.
Ongoing
Ongoing
Ongoing
As soon as practicable after
regulation becomes effective.
Within 60 days of obtaining
waiver.
Ongoing
Begin after first report due
date.
Ongoing
Second annual reporting period
(beginning 01/2000).
Begin after the first report due
date.
After 1st CCR produced.
Ongoing
Ongoing
As systems become known.
State
EPA
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Sample CCR Notification Letter from the State to Community Water Systems
Dear Community Water System (CWS) Owner/Operator,
I am writing to ask you to prepare a Consumer Confidence Report (CCR) and deliver it to your
customers. Consumer awareness/right-to-know was a theme of the 1996 Safe Drinking Water Act
(SDWA) Amendments. These amendments confirmed the importance of educating the consumer and
added new responsibilities for water systems in this area. The CCR rule is the first new regulation from
EPA in several years and the first to address the public right-to-know provisions of the 1996 SDWA
Amendments.
The CCR rule requires all CWSs to provide drinking water quality reports to their customers,
with the first report due by October 19, 1999 and subsequent reports annually thereafter by July 1.
These reports or CCRs are intended to be short documents written for a non-technical audience and
must contain information on:
Source(s) of local water, and availability of source water assessment data.
Levels of detected contaminants, corresponding Maximum Contaminant Levels
(MCLs) and Maximum Contaminant Level Goals (MCLGs), and typical sources.
Potential health effects of contaminants detected in violation of an MCL/Treatment
Technique (TT), or exceeding an Action Level (AL).
Opportunities for public participation in drinking water related decisions.
Water systems are free to enhance the reports in any useful way, but must follow the required
minimum content and format criteria. Attachment 1 provides an overview of the CCR requirements
and a list of resources to assist you in preparing CCRs.
The CCR provides an excellent opportunity to showcase the good work your system does to
provide customers with the highest quality drinking water. We recommend that CWSs begin preparing
their first CCR well before the October deadline. In order to help systems meet the regulatory
deadlines, EPA has developed a CCR implementation guidance document, a "how to" manual for
CWSs on preparing CCRs, and is developing a computerized "fill-in-the blank" template to create a
CCR. Final versions of these materials are scheduled for release beginning in summer 1999.
In the interim, the Name of State's Drinking Water Program will be conducting CCR
training workshops and preparing educational/outreach materials for systems. We encourage you to
take full advantage of the opportunity the CCR provides to tell the public about the quality of their
drinking water because informed and involved consumers can be strong allies of water systems, large
and small.
Sincerely,
State Drinking Water Program
Attachment
B-9
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Attachment 1
CCR Minimum Report Content Requirements
1. Water System Information
- System contact number for additional information.
- For communities with a large proportion of non-English speaking residents (as determined by
State) information in appropriate language about importance of CCR.
- Dates and times of public meetings.
2. Source(s) of Drinking Water
- Type of water; commonly-used names; and location of water source(s).
- Information on source water assessments, if available: notice of availability, obtaining a copy
of the assessment, and susceptibility information.
3. Definitions for MCL, MCLG, and If Applicable TT, AL, Variances and Exemptions
4. Levels of Any Contaminants Detected
- For comparison must include the corresponding MCL, MCLG, TT, or AL.
- Likely source(s) of detected contaminants.
- Clear indication of any contaminant detected in violation of EPA standard as well as an
explanation of the violation including the length, potential health effects, and actions take to
remedy violation.
5. Information on Cryptosporidium, Radon, and Other Contaminants Which May Indicate a Health
Concern
6. Additional Health Information
- Explanation of contaminants in drinking water, including bottled water.
- Explanation of the vulnerability of immuno-compromised populations (i.e. cancer patients,
people with HIV/Aids or other immune system disorders) to drinking water contaminants.
- Educational statements for arsenic, nitrate, and lead when these contaminants are detected
under conditions specified in the rule.
- Health effects language forTTHMs when detected above 80 ppb but below 100 ppb.
7. Information on National Primary Drinking Water Regulation (NPDWR) Violations
- Explanation of violation, any potential health effects, and steps the system has taken to correct
the violation.
8. Information If System Is Operating under a Variance or Exemption
- Explanation of variance or exemption; reasons for and dates of issue; and notice of public
opportunity for public input in the review.
B-10
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Attachment 1 (cont.)
Report Delivery and Recordkeeping Requirements for CWSs
1. CCR Delivery to Customers
Each CWS must mail or otherwise directly deliver one copy of the CCR to each customer,
unless granted a mailing waiver. (See number 7 below)
2. "Good Faith" Effort for Delivery to Non-Bill Paying Consumers
- CWS must make a "good faith" effort to reach those consumers who they serve but who do
not get water bills, such as renters. "Good faith" efforts mean using a mix of several
methods recommended by the State.
3. Delivery of CCR and Certification to Primacy Agency
- CWS must mail to the State: (1) a copy of the CCR no later than the date the CWS is
required to deliverthe report to its customers; and (2) within 3 months of the required delivery
date, mail certification to the State indicating that the CCR was distributed to customers with
information that is correct and consistent with compliance monitoring data previously
submitted.
4. CCR Delivery to Other Agencies
- CWS must deliver the CCR to any other agency identified by the State no later than the
required date to send the CCR to its customers.
5. CCR Availability to the Public
- CWS must make CCRs available to the public upon request.
6. CCR Availability on the Internet
- CWS serving 100,000 or more persons must post CCR on a publicly accessible Internet site.
7. Mailing Waiver for CWSs Serving Fewer than 10,000 Persons
- The Governor of a State may waive the mailing requirement for CWSs serving fewer than
10,000 persons.
8. CWS Keeping CCR Copies on File
- CWS must keep copies of their CCR on file for at least 3 years.
[The Public Notification Rule (65 FR 25982) revised this recordkeeping requirement]
Additional Resources/Contact Information:
State Drinking Water Program phone number/email address
EPA Safe Drinking Water Hotline (800-426-4791)
EPA website http://www.epa.gov/safewater
American Water Works Association/local affiliate phone number/website/email address
B-ll
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B-12
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Appendix C: CCR Certification - Example Formats
Under Section 141.155(c) of the CCR rule, within 3 months from the date the system is
required to distribute the CCR to its customers, the CWS must send a letter of certification to the
primacy agency certifying that the system has:
Distributed the CCR to its customers, and
Used in the report information that is correct and consistent with compliance
monitoring data previously submitted to the primacy agency.
A system has the option of sending the certification at the same time the CCR is delivered to the
primacy agency. This appendix provides an example format for a certification with the two required
elements.
EPA recommends that States and EPA view the certification letters as another opportunity to
explain how the system is informing customers about the quality of their drinking water and the steps
the system has taken to protect the source of water. Therefore, States are encouraged to have systems
provide additional information on how the CCR was distributed, especially "good faith" efforts to
reach non-bill paying consumers. This appendix provides example formats for certifications with
additional information on CCR distribution.
B-13
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CCR Certification - Basic Example Format
CWS Name:
CWS ID. #:
I confirm that the Consumer Confidence Report has been distributed to customers (and
appropriate notices of availability have been given) in accordance with 40 CFR §141.155.
Further, the system certifies that the information contained in the report is correct and
consistent with the compliance monitoring data previously submitted to the primacy agency.
Certified by: Name
Title
Phone # Date
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CCR Certification - Example Format for Systems without Mailing Waivers
CWS Name:
CWS ID. #:
I confirm that the Consumer Confidence Report has been distributed to customers (and
appropriate notices of availability have been given). Further, the system certifies that the
information contained in the report is correct and consistent with the compliance monitoring
data previously submitted to the primacy agency.
System-specific details on CCR distribution to customers are outlined below: (check all that apply)
CCR was distributed by mail or other direct delivery. Specify other direct delivery methods:
_"Good faith" efforts were used to reach non-bill paying consumers. Those efforts included the
following methods as recommended by the primacy agency:
Posting the CCR on the Internet at:
_Mailing the CCR to postal patrons within the service area, (attach zip codes used).
_Advertising availability of the CCR in news media (attach copy of announcement).
_Publication of CCR in local newspaper (attach copy).
_Posting the CCR in public places (attach a list of locations).
_Delivery of multiple copies to single bill addresses serving several persons such as:
apartments, businesses, and large private employers.
_Delivery to community organizations (attach a list)
_Posted CCR on a publicly accessible Internet site for systems serving 100,000 or more
persons. List Internet site address:
_Delivered CCR to other agencies as specified by the primacy agency (attach a list).
_Other (if additional methods used, attach description)
Certified by: Name
Title
Phone # Date
C-2
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CCR Certification - Example Format for Systems with Mailing Waivers
CWS Name:
CWS ID. #:
I confirm that the Consumer Confidence Report has been distributed to customers (or
appropriate notices of availability have been given) and that the information is correct and
consistent with the compliance monitoring data previously submitted to the primacy agency.
System-specific details on distribution of the CCR to customers are outlined below. CCR or notice
of availability was provided as specified for:
Systems Serving Fewer than 10,000 Persons
Published the CCR in the local newspaper(s). Attach a copy of the notice. List newspaper
and dates below:
Informed customers the CCR will not be mailed. List methods of notification below:
_Developed procedures to make reports available upon request. Specify below:
Systems Serving Fewer than or Equal to 500 Persons
List methods used to inform customers the CCR will not be mailed:
_Developed procedures to make reports available upon request. Specify below:
Certified by: Name
Title
Phone # Date
C-3
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Appendix D: Governor's Mailing Waiver - Example Formats
Under section 141.155 (g) of the CCR rule, the requirement that CWSs mail the CCR to its
customers can be waived. The following authorities can waive the mailing requirements for systems
serving fewer than 10,000 persons:
The Governor of a State or his/her designee.
A Tribal leader if the Tribe has met the requirements under §142.72 for Tribal
eligibility.
The EPA Regional Administrator on some Indian lands where no Tribe has been
deemed eligible.
Systems that have been granted a mailing waiver are still required to follow other CCR rule
requirements including delivery of the report to the primacy agency and any other agency the primacy
agency designates. Refer to Section I, Report Delivery and Recordkeeping Requirements, of the CCR
implementation guidance for information on mailing waivers.
The following pages contain two example formats for mailing waivers for systems serving
fewer than 10,000 persons with a special clause for systems serving fewer than 500 persons. States,
in accordance with their laws, can also establish criteria for obtaining and renewing the waivers. For
example, a State can choose whether the waiver should apply to all systems in a given category or be
system-specific. The first example format is a blanket waiver for systems in a given category and the
second a system-specific mailing waiver.
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Governor's Mailing Waiver - State-Wide Example Format
Authority provided in Section 1414(c)(4)(C) of the Safe Drinking Water Act allows the Governor of
the State of (insert Tribal agency if applicable) to allow community water
systems serving fewer than 10,000 persons not to mail or otherwise provide direct delivery of the
Consumer Confidence Reports (CCRs) to each customer.
The community water systems listed in Attachment A serve fewer than 10,000 persons [and otherwise
meet all direct delivery waiver requirements - optional], a waiver is hereby granted [for the period
beginning January 1 of the calendar year , and ending - optional]. Each water
system must:
(1) Inform customers it will not be providing copies of the CCR by mail or other direct
delivery method.
(2) Publish the report annually in one or more local newspapers serving areas in which the
system's customers are located.
(3) Make copies of the CCR available to the public upon request.
Authority provided in Section 1414(c)(4)(D) of the Safe Drinking Water Act allows the Governor of
the State of (insert Tribal agency if applicable) to determine not to apply
requirements 1 and 2 (listed above) to community water systems which serve 500 persons or fewer,
if the system provides notice to its customers once a year that the CCR is available upon request.
The community water systems listed in Attachment B serve 500 persons or fewer [and otherwise meet
all direct delivery waiver requirements - optional], a waiver is hereby granted [for the period beginning
January 1 of the calendar year , and ending - optional]. Each water system must
provide notice to customers of the availability of the report, at least once per year, by mail, door-to-
door delivery, or posting. Any other methods authorized by the primacy agency should be listed.
All systems with mailing waivers are still required to:
Complete a CCR in accordance with all content requirements.
Provide a copy of the CCR to the primacy agency and any other agency specified by
the primacy agency.
Make copies of the CCR available to the public upon request.
Governor's or His/Her Designee' s Signature Date
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Governor's Mailing Waiver - System-Specific Example Format
Authority provided in Section 1414(c)(4)(C) of the Safe Drinking Water Act allows the Governor of
the State of (insert Tribal agency if applicable) to allow community water
systems serving fewer than 10,000 persons not to mail or otherwise provide direct delivery of the
CCRs to each customer.
The community water system, , serves fewer than 10,000 persons [and otherwise
meets all direct delivery waiver requirements - optional], a waiver is hereby granted [for the period
commencing January 1 of the calendar year , and ending - optional]. The water
system must:
(1) Inform customers it will not be providing copies of the CCR by mail or other direct
delivery method.
(2) Publish the report annually in one or more local newspapers serving areas in which the
system's customers are located.
(3) Make copies of the CCR available to the public upon request.
Authority provided in Section 1414(c)(4)(D) of the Safe Drinking Water Act allows the Governor of
the State of (insert Tribal agency if applicable) to determine not to apply
requirements 1 and 2 (listed above) to community water systems which serve 500 persons or fewer,
if the system provides notice to its customers once a year that the CCR is available upon request.
The community water system, , serves 500 persons or fewer [and otherwise meets
all direct delivery waiver requirements established by the State - optional], a waiver is hereby granted
[for the period commencing January 1 of the calendar year , and ending - optional].
The water system must provide notice to customers of the availability of the report, at least once per
year, by mail, door-to-door delivery, posting or any other means authorized by the primacy agency
All systems with mailing waivers are still required to:
Complete a CCR in accordance with all content requirements.
Provide a copy of the CCR to the primacy agency and any other agency specified by
the primacy agency.
Make copies of the CCR available to the public upon request
Governor's or His/Her Designee' s Signature Date
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Appendix E: Safe Drinking Water Information System (SDWIS)
Reporting
This appendix provides detailed information on violation and compliance achieved definitions,
and reporting requirements for each CCR violation type. In addition, this appendix contains examples
on what to report, including how to report utilizing the appropriate Safe Drinking Water Information
System/Federal version (SDWIS/FED) Data Transfer File Format (DTF).
Table of Contents
Background E-2
Section I. Federal Reporting Requirements E-2
A. Violations E-2
A.I. CCR Report Violation E-4
A.2. CCR Adequacy/Availability/Content Violation E-7
Section n. Returned to Compliance and Enforcement Action Reporting E-l 1
Section HI. SDWIS/FED Reporting Time-lines E-12
Section IV. SDWIS/FED Technical Specifications E-13
Section V. Sources for Additional Information E-17
List of Exhibits
Exhibit 1 - SDWIS/FED DTF Cl 100-Violation Record Data Elements E-4
Exhibit 2 - SDWIS/FED CCR Rule Violation Type Codes E-4
Exhibit 3 - Definition of Returned to Compliance by Violation Type E-l 1
Exhibit 4 - SDWIS/FED Reporting Time-lines E-12
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Background
This document contains the requirements for State reporting to EPA and the definitions of
violations and returned to compliance under the Consumer Confidence Report (CCR) rule.
Section I. Federal Reporting Requirements
This section discusses the Federal reporting requirements under 40 CFR Section 142.16(f)(4)
and reporting to the Safe Drinking Water Information System/Federal version (SDWIS/FED) of
violations, follow-up and enforcement actions, and when compliance is achieved. Specific guidance
is provided for entry of these data into SDWIS/FED. In addition, examples are provided for each
reporting requirement. These reporting requirements apply only to community water systems (CWSs).
A. Violations
This section of the guidance provides violation and compliance achieved definitions, and
reporting requirements for each violation type. Further, examples on what to report, including how
to report utilizing the appropriate SDWIS/FED Data Transfer File (DTF) format, are provided after
the discussion of each violation type.
Violation reporting will be based on the definitions in Section n, A: Violation Determination,
of the CCR Implementation Guidance.
CCR Report Violation - (major)
occurs when the CWS fails to produce and deliver the report to the
public and provide a copy to the State by the annual due date as
specified in the rule or, State determines the report was grossly
inadequate and must be regenerated and re-delivered, with a copy
provided to the State.
CCR Adequacy/Availability/Content Violation - (minor)
occurs when the State Primacy Agency determines the report is
deficient in language, content, and/or meeting availability requirements
as specified in the rule, or when the system fails to provide the
certification to the State within 3 months of the due date of the CCR.
The requirements of the drinking water regulations result in violation conditions being reported
to SDWIS/FED. The most common characteristics for violations are:
> A unique PWS-ID (DTF element C101).
> A unique violation ID (DTF element CHOI).
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> A code identifying the contaminant or rule for which the violation applies (DTP
elementCllOS).
* A code describing the type of violation (DTP element Cl 105).
* Date range associated with the compliance period (DTP elements C1107 and C1109).
> Number of months in the compliance (or monitoring) period (DTP element Cl 111).
> Analytical result for contaminant (DTP element Cl 123).
> Severity (maj or) violation indicator (DTP element C1131 primarily used for monitoring
violations).
All CCR rule violations will have the same contaminant/rule code, 7000. As a result,
SDWIS/FED will provide (default) the value of 7000 for data element C1103 (to allow for simple
queries). Some States may choose to include a DTP transaction with this value to maintain
consistency with their reporting of other violations from other rules. That will be acceptable as long
as the value reported for Cl 103 is 7000 for violations of this rule. Otherwise the entire violation will
be rejected.
Each violation is defined by a violation type code (DTP element Cl 105). Currently for this
rule, there are 2 types of violations:
71 - CCR Report Violation (maj or)
72 - CCR Adequacy/Availability/Content Violation (minor)
Normally, violations must identify the time frame for which the PWS is in violation (i.e., out
of compliance). In SDWIS/FED, this is characterized by the range of dates in which a specific action
or set of actions was to have taken place (e.g., 10 samples were to be taken during a specific time
period), treatment is to be monitored and results must be within certain levels for a specific period of
time, etc.), and is defined, in SDWIS/FED, by these 3 data elements:
Compliance period begin date (C 1107)
Compliance period end date (C 1109)
Compliance period in months (Cl 111)
For this rule, the requirement is to produce a report by a specific date. If that date is missed,
a violation exists and the time frame will be represented by a single date rather than a date range and
is reported as the compliance period begin date (DTF element Cl 107). The value to be reported is the
due date of the report for violation type 71 (10/19/1999 for the first report, 07/01/2000 for the second,
etc.) Failure to submit the certification to the State is reported as the due date of the report PLUS the
3 months allowed for the system to submit the certification. The compliance period end date (C 1109)
and compliance period in months (Cl 111) should not be reported.
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The severity of the violation is embedded in the violation type code, therefore the major
violation indicator (DTP element Cl 131) is not reported for CCR rule violations.
The following exhibits present the violation record data and the violation types for reporting
CCR rule violations.
Exhibit 1 - SDWIS/FED DTP C1100 Violation Record Data Elements
Number
Description
C101
C1101
C1103*
C1105
C1107
PWS-ID
Violation ID
Contaminant/Rule Code
Violation Type Code
Compliance Period Begin Date
= the report due date for violation type 71 (major)
= the date State determines a violation exists for
violation type 72 (minor)
= the date State determines a violation exists for
violation type 72 (minor) adequacy/availability/content
deficiencies
C1103 will be defaulted by SDWIS/FED with 7000 for all violation types.
Exhibit 2 - SDWIS/FED CCR Rule Violation Type Codes
Violation Type
CCR Report
CCR Adequacy/Availability/Content
Violation Code
71
72
A.l. CCR Report Violation
A CCR Report Violation is defined as failure of the CWS to produce the CCR, deliver it to the
public, and provide a copy of the report to the State by the appropriate deadline. The first CCR is due
by October 19, 1999. It must contain data collected during, or prior to, calendar year 1998, which was
used to determine compliance in calendar year 1998. The second CCR is due by July 1, 2000 and
subsequent reports by July 1, annually thereafter. The system is to provide a copy of the first CCR to
the State by October 19, 1999, the second by July 1, 2000, the third by July 1, 2001, etc. A violation
must be reported to SDWIS/FED if the report is not produced and delivered by the appropriate
deadline within 45 days after the quarter in which the violation occurred. If and when the CCR is
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subsequently delivered to the State, the State would report that the system has returned to compliance.
Examples on how to report the violation and returned to compliance data are provided on the following
pages.
Violation Code 71 CCR Report Violation Examples
Example 1-
A system (AA1234567) does not produce and deliver a copy of the first CCR by October 19,
1999 to the State. By February 15, 2000, the State would report the following CCR Report Violation
to SDWIS/FED.
C101
C1101
C1103*
C1105
C1107
AA1 234567
0000001
7000
71
10/19/1999
PWS-ID
Violation ID
Contaminant Code (Rule Code)
Violation Type Code
Compliance Period Begin Date
*Note: C1 1 03 will be defaulted by SDWIS/FED to 7000 and thus, need not be entered by
the State. C1 1 09, C1 1 1 1 and C1 1 31 are not reported for this violation type.
The DTP transactions for this record are:
Columns
1-2
D1
D1
Columns
3-11
AA1 234567
AA1 234567
Columns
12-18
0000001
0000001
Columns
19-25
Columns
26-31
IC1105
IC1107
Columns
32-71
71
10191999
The same system delivers the CCR to the State on December 15, 1999. The State would report that
the system had returned to compliance as of the date the CCR was received. By February 15, 2000
(within 45 days after the quarter in which the system returned to compliance), the State would report
the following information to SDWIS/FED via the DTF C1200-Enforcement Action Record:
C101
C1201
C1203
C1205
Y5000
AA1 234567
0000003
12/15/1999
SOX
0000001
PWS-ID
Enforcement ID
Enf-Action-Date
Enf-Action-Code
Enf-Link to Violation
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The DTP transactions for this record are:
Columns
1-2
E1
E1
E1
Columns
3-11
AA1 234567
AA1 234567
AA1 234567
Columns
12-18
0000003
0000003
0000003
Columns
19-25
Columns
26-31
IC1203
IC1205
IY5000
Columns
32-71
12151999
SOX
00000001
Example 2 - (Major Adequacy Deficiencies)
A CWS (MM8877665) delivered its CCR to the State by the October 19, 1999 due date. On
December 13, 1999, the State determined the CCR was so deficient that it required the system to
correct and re-deliver the report. By February 15, 2000, the State would report a CCR Report
Violation (not a CCR Adequacy/Availability/Content Violation). The system would revise and
redistribute the CCR providing a copy to the State on May 10, 2000. By August 15, 2000 (45 days
after the quarter in which the returned to compliance enforcement action occurred), the State would
report the returned to compliance information. The following examples display the violation and
return to compliance reporting:
C101
C1101
C1103*
C1105
C1107
MM8877665
0000005
7000
71
10/19/1999
PWS-ID
Violation ID
Contaminant Code (Rule Code)
Violation Type Code
Compliance Period Begin Date
*Note: C1 1 03 will be defaulted by SDWIS/FED to 7000 and thus, need not be entered by
the State.
The DTP transactions for this record are:
Columns
1-2
D1
D1
Columns
3-11
MM8877665
MM8877665
Columns
12-18
0000005
0000005
Columns
19-25
Columns
26-31
IC1105
IC1107
Columns
32-71
71
10191999
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Returned to Compliance Reporting:
C101
C1201
C1203
C1205
Y5000
MM8877665
0000105
05/10/2000
SOX
0000005
PWS-ID
Enforcement ID
Enf-Action-Date
Enf-Action-Code
Enf-Link to Violation
The DTP transactions for this record are:
Columns
1-2
E1
E1
E1
Columns
3-11
MM8877665
MM8877665
MM8877665
Columns
12-18
0000105
0000105
0000105
Columns
19-25
Columns
26-31
IC1203
IC1205
IY5000
Columns
32-71
05102000
SOX
00000005
A.2. CCR Adequacy/Availability/Content Violation
The regulation specifies required language, content, and requirements to make reports available
to the public for the CCR. The regulation also requires a CWS to provide a certification to the State
within 3 months of the CCR due date that the report was distributed to customers and contained
information that was correct and consistent with compliance monitoring data previously submitted to
the State. (Refer to Section I, Report Delivery and Recordkeeping Requirements of the CCR
Implementation Guidance for further information on the CCR certification). The State will determine
compliance with these requirements and when found to be in violation (inadequate for any area or
failure to provide the certification) the State must report a CCR Adequacy/Availability/Content
Violation. This violation type is considered a minor violation and is defined as: meeting some, but not
all, of the requirements. Within 45 days after the quarter in which the report is due or the State
determines that a violation exists, the State would report the violation to SDWIS/FED. Because the
focus will be on whether a system has prepared a CCR or not during the initial implementation of this
rule, reporting of this violation is optional during the first 2 years (1999 and 2000). In 2001, reporting
of this violation is required.
Corrective actions for minor deficiencies will be at the State's discretion. If corrective actions
are required and taken by the system, the State may wish to report the return to compliance data.
Return to compliance reporting is recommended for minor violations but not required. Examples on
how to report the violation and returned to compliance data are provided:
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Violation Code 72 CCR Adequacy/Availability/Content Violation Examples
Example 1 - (Minor Deficiencies)
A system produces and delivers a copy of the third CCR by July 1, 2001. On September 8,
2001, upon review of the report, the State determines that the system failed to include the required
source information. By November 15, 2001 (within 45 days after the end of the quarter in which the
State determined a violation existed), the State would report the following CCR
Adequacy/Availability/Content Violation information:
C101
C1101
C1103*
C1105
C1107
XX1 123456
02G0013
7000
72
09/08/2001
PWS-ID
Violation ID
Contaminant Code (Rule Code)
Violation Type Code
Compliance Period Begin Date
*Note: C1 1 03 will be defaulted by SDWIS/FED to 7000 and thus, need not be entered by
the State.
The DTP transactions for this record are:
Columns
1-2
D1
D1
Columns
3-11
BB1 123456
BB1 123456
Columns
12-18
02G0013
02G0013
Columns
19-25
Columns
26-31
IC1105
IC1107
Columns
32-71
72
09082001
Because the CWS failed to produce an "adequate" report for the third year in a row, the State
issued an Administrative Order against the system on October 10, 2001. Because the State does not
maintain the violation-id or enforcement-id records in its data base it used the generation-id facility
within SDWIS/FED. (See the SDWIS/FED Data Entry Instructions for more information on using
SDWIS/FED generated-ids.) The State reports the enforcement action to SDWIS/FED under the Z5000
link method by providing the violation type (72), the contaminant code (7000), and the begin date
(09/08/2001) as illustrated below. An example of reporting the generated-id for violations is displayed
in the example above and below for enforcements:
C101
C1201
C1203
C1205
Z5000
XX1 123456
02G00001
10/10/2001
SFL
72700009082001
PWS-ID
Enforcement ID
Enf-Action-Date
Enf-Action-Code
Enf-Link to Violation
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The DTP transactions for this record are:
Columns
1-2
E1
E1
E1
Columns
3-11
XX1 123456
XX1 123456
XX1 123456
Columns
12-18
02G0001
02G0001
02G0001
Columns
19-25
Columns
26-31
IC1203
IC1205
IZ5000
Columns
32-71
10102001
SFL
72700009082001
The State may require the system to revise and re-submit the CCR or to take some other action
to address the deficiency. The State should review the following year's CCR to insure that similar
deficiencies are not repeated. The State is encouraged to report the return to compliance information
as in the examples presented in Section A. 1 but is not required to do so.
Example 2 -(Certification Violation)
A system (MM9988777) produces and delivers a copy of the first CCR to the State on
September 12, 1999 (deadline is October 19, 1999). The State reviews and determines it is adequate
in content. However, the system does not submit the required certification within 3 months of the
CCRs required delivery date(due by January 19, 2000). By May 15, 2000 (within 45 days after the
end of the quarter), the State must report the following CCR certification violation information:
C101
C1101
C1103*
C1105
C1107
MM9988777
0000013
7000
72
01/19/2000
PWS-ID
Violation ID
Contaminant Code (Rule Code)
Violation Type Code
Compliance Period Begin Date
*Note: C1 1 03 will be defaulted by SDWIS/FED to 7000 and thus, need not be entered by the
State.
The DTP transactions for this record are:
Columns
1-2
D1
D1
Columns
3-11
MM9988777
MM9988777
Columns
12-18
0000013
0000013
Columns
19-25
Columns
26-31
IC1105
IC1107
Columns
32-71
72
01192000
If and when the system submits the certification, the State may wish to report the returned to
compliance information as in previous examples.
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Section II. Returned to Compliance and Enforcement Action Reporting
Reporting that a system has returned to compliance is required for CCR Report Violations
(Cl 105 vio_type = 71). In addition, all formal enforcement actions taken against violations of this rule
are required to be reported to SDWIS/FED. Both "returned to compliance" and formal enforcements
must be linked to the specific violation(s) they address. While reporting returned to compliance
information is not required for the minor CCR Adequacy/Availability/Content Violations (C1105
vio_type = 72), it is recommended. The following describes the two appropriate ways in which
enforcement and follow-up actions, formal and informal (including returned to compliance), may be
linked to CCR rule violations:
Associated Violation IDs (Y5000) - FY & VIOLATION ID NUMBER.
Entering the specific violation ID(s) to which the enforcement action is related will
establish a link between the enforcement record and each violation record matching the
specific violation ID. If no links are established (reported violation IDs not
found/matched on the data base) the enforcement record will be posted to the database
as an Orphan Enforcement.
Associated Violation Contaminant Groups (Z5000) - TYPE, CONTAMINANT,
COMPLIANCE PERIOD BEGIN DATE (MO, DAY & YR)
Entering the violation type code(s) (71 or 72), the contaminant code (7000) and the
begin date of the compliance period begin date will establish a link between the
enforcement action and all CCR violations which exactly match the enforcement link
data. If no matches are found, the enforcement record will be posted to the database
as an Orphan Enforcement.
If the X5000 or J5000 links are used to qualify the CCR violations, the links between the
enforcement action and the CCR violations will not be made. In the case of J5000 the enforcement
will not be posted. However the enforcement will be posted for the X5000.
Only the Y5000 andZSOOO enforcement/violation linking methods are appropriate for the CCR
rule violations. The use of the J5000 link methods will result in the enforcement/follow-up action
being rejected. Examples of how to report these violation/enforcement link methods are provided in
the violation section above. Exhibit 3 defines returned to compliance by violation type:
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Exhibit 3 - Definition of Returned to Compliance by Violation Type
CCR Report
Violation
Vio_type 71
System subsequently produces and delivers the report to the public
as required under§§141.153,141.154, and §§141.155, and delivers
a copy of the report to the State as required by §§ 141.155(c). An
annual report must be produced for each year beginning with 1998.
The State may allow 2 years data be combined in one report when
the violation has existed for more than 6 months to reduce delivery
expenses, however the combined report must identify data specific
to each year.
CCR
Adequacy/
Availability/
Content
Violation
Viojype 72
System provides additional/required delivery of the report as required
under §§141.155, or System revises the report for adequacy of
content as required under §§141.153 and 141.154 and provides
delivery, etc.
Note: The action(s) needed to achieve compliance are not meant to
replace other activities that are required to be conducted under the
rule forthattime frame nor are they meantto indicate that a violation
did not occur forthe system. Instead, they indicate thatthis violation
no longer continues. Should the system again fail to meet
subsequent requirements of the rule, another violation must be
reported.
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Section III. SDWIS/FED Reporting Time-Lines
Exhibit 4 - SDWIS/FED Reporting Time-lines
Category
First
CCR
Second
CCR
Subsequent
CCRs
Violations
CCR due to State by
CCR Report Violation
State must report violation within 45 days
after the end of the quarter in which the
violation occurs
CCR Adequacy/Availability/Content Violation
State must report violation within 45 days
after the end of the quarter in which the
violation is determined
Failure to send certification on time
10/19/1999
02/1 5/2000
02/1 5/2000
05/15/2000
07/01/2000
11/15/2000
11/15/2000
02/15/2001
07/01/200X
11/15/200X
11/15/200X
02/1 5/200X
Note: Certification to the State is required within 3 months after the due date of the CCR.
Compliance determinations with the certification requirement can not be made until the
20th day January 2000 month which falls into the next compliance (SDWIS/FED) reporting
period. Most States allow a 5-10 day grace period to cover mail time. Violations are to
be reported within 45 days after the end of the compliance period in which they were
determined. Therefore, reporting of certification violations will take place in the 2nd
reporting period after the due date of the report.
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Section IV. SDWIS/FED Technical Specifications
The following SDWIS/FED processing decision points and edit criteria is being provided to
assist States and EPA Regional Offices in programming their software to support the reporting
requirements under the CCR rule and to better understand how SDWIS/FED processes that data. A
brief description or definition for the major edit criteria and processing decision points is presented
below. Error Messages and Error Codes related to the definitions which are specific to CCR data (new
in SDWIS/FED) are also listed where appropriate. Existing or "generic" Error Messages or Error
Codes may be found in the PAAA.QUAL.ERRCODES mainframe file, and in the SDWIS/FED
On-line Data Dictionary (ODD) and Error Code Data Base (ECDB) applications. Additional error
codes may be created in the future as conditions warrant.
Any errors encountered while validating or processing the CCR data will be handled in a
manner consistent with the current SDWIS/FED errors process. CCR Violation and Enforcement
transactions that do not pass the validations will be written to the Rej ected Records File. The Rej ected
Records File consists of the invalid records in the DTF file format (in positions 1 through 80). An
error code is added in positions 72 through 74 of the Rejected Records File and is associated with an
error message which is a 42-character description of the error. New error messages have been assigned
unique error codes and have been added to the P AAA. QUAL.ERRCODES mainframe file. This report
will include a line for each rejected transaction, consisting of the DTF transaction, the error code, and
the short (42-character maximum) description of the error. Users may resubmit corrected error
transactions by fixing the problem in the Rej ected Records File and re-transmitting the corrected error
transactions to Production Control. This file will be treated as a SDWIS/FED data file.
For additional information, contact your EPA Regional SDWIS/FED Data Management
Coordinator, Production Control at 703-292-6212, or Fran Haertel at 214-665-8090.
Processing Decision Points and Edit Criteria
Violations
SDWIS/FED shall allow the deletion of an entire CCR violation.
Contaminant Code (Cl 103) shall be optional.
If Contaminant Code is provided it shall be valued at "7000," or the entire violation shall be
rejected.
Error Message: UVO CONTAM CODE & VIO TYPE COMBINATION INVALID
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Contaminant Code (C1103) shall not be modified. An attempt to modify the code will be
rejected at the transaction item level.
Error Message: E92 CANNOT MODIFY CONTAMINANT CODE
Violation type (C1105) shall not be modified. An attempt to modify the code will be rej ected
at the transaction item level.
Error Message: NTR C1105 MAY NOT BE MODIFIED
For Violation type (C1105) "71," the Compliance Period Begin Date (C1107) shall not be
modified. An attempt to modify the date will be rejected at the transaction item level.
Error Message: E91 CANNOT MODIFY BEGIN DATE
For Violation type (C1105) "71," violations, the entire violation shall be rejected if the
Compliance Period Begin Date (C1107) is not equal to "10/19/1999," or "07/01/2yyy" for
years greater than 1999 (i.e., 07/01/1999 is not valid; but 07/01/2000 is valid) beginning with
2000.
Error Message: EZ1 BEGIN DATE MUST BE 10/19/1999 OR 07/01/2XXX
For Violation type (C 1105) "72," violations, Compliance Period Begin Date (C 1107) must be
greater than "10/19/1999,"
Error Message: EZ2 BEGIN DATE MUST BE GREATER THAN 10/19/1999
Compliance Period End Date (C 1109) shall not be allowed as a DTF Transaction. An attempt
to modify the date will be rejected at the transaction item level.
Error Message: EZ3 C1109 AND C1111 ARE INVALID FOR CCR
When posted to the database, Compliance Period End Date (C1109) shall default to
"12/31/2015."
Duration (Cllll) shall not be allowed. An attempt to insert or modify the value will be
rejected at the transaction item level.
Error Message: EZ3 C1109 AND Cllll ARE INVALID FOR CCR
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Awareness Date (Cl 115) shall be optional.
If provided, Awareness Date (C1115) shall be greater than or equal to Compliance Period
Begin Date (Cl 107) and less than or equal to the current date.
Error Message: E9P OR E9R SEE "PAAA.QUAL.ERRCODES"
Analysis Method (Cl 121) shall not be allowed. An attempt to insert or modify the value will
be rejected at the transaction item and form level, respectively.*
Analysis Result (Cl 123) shall not be allowed. An attempt to insert or modify the value will
be rejected at the transaction item and form level, respectively. *
MCL Violated (Cl 125) shall not be allowed. An attempt to insert or modify the value will be
rejected at the transaction item and form level, respectively. *
Samples Required (C1127) shall not be allowed. An attempt to insert or modify the value will
be rejected at the transaction item and form level, respectively. *
Samples taken (C 1129) shall not be allowed. An attempt to insert or modify the value will be
rejected at the transaction item and form level, respectively. *
Major Violation Flag (Cl 131) shall not be allowed. An attempt to insert or modify the value
will be rejected at the transaction item and form level, respectively.*
SE-ID (Cl 143) shall not be allowed. An attempt to insert or modify the value will be rejected
at the transaction item and form level, respectively.*
* All conditions above which are followed by an "*" have the following Error
Code and Message or the generic error message that "Cnnnn is not allowed":
EXO Cnnnn NOT ALLOWED FOR CCR VIOLATIONS
SDWIS/FED shall default major Violation Flag (Cl 131) to "N" when Violation Type Code
equals "72,".
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SDWIS/FED shall default Major Violation Flag (Cl 131) to "Y" when Violation Type Code
equals "71,".
Enforcement Actions
The following requirements apply to Enforcement Actions which are submitted against CCR
Violations. Unless otherwise specified, all existing Enforcement Action edits shall apply to these
transactions.
Only "Y5000," and "Z5000," link types shall cause creation of a link (insertion of a VEA row)
to a CCR Violation (with a Type Code of "71," or "72,").
If a " J5000," and/or an "X5000," identifies a CCR Violation in their matching criteria, no VEA
row shall be created to link the Enforcement to the CCR Violation.
Error Message: EX9 J5000 NOT ALLOWED FOR CCR VIOLATIONS
Because "Orphan Enforcements" are not allowed to be created using a "J5000," link, the
Enforcement Action shall be rejected at the form level if the only Violation qualified by a
J5000 link is a CCR Violation and there are no other valid Y5000 or Z5000 link types for that
Enforcement Action.
Error Message: EX9 J5000 NOT ALLOWED FOR CCR VIOLATIONS, and/or
J5B ORPHAN ENF NOT ALLOWED WHEN ENF REJECTS
The Contaminant Code of "7000," the Violation Types of "71," and "72,," and the Rule Code
of "CCR" are invalid on "J5000," transactions. (The reason there is a J5000 message but not
an X5000 message is that the edit program can tell that the J5000 is invalid by looking at the
Rule or Violation Type. It cannot tell if the X5000 is pointing to a CCR Violation or not, so
it doesn't reject the Enforcement (like the J5000), it just doesn't make the link to any CCR
Violations.)
Error Message: EX9 J5000 NOT ALLOWED FOR CCR VIOLATIONS
Upon a successful link of a Returned to Compliance (RTC) Enforcement Action (C1205 equal
to "EOX" or "SOX") to a CCR Violation, SDWIS/FED shall set the CCR Violation
Compliance Period End Date (Cl 109) to the Enforcement Action Date (C1203) of the linking
Enforcement and set the Violation Addressed Indicator to "y".
REVISED - 1/00 E-16
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A CCR Violation is only addressed when a successfully linked to a Return to Compliance
Enforcement Action (equal to "BOX" or "SOX").
If more than one RTC is linked to a CCR Violation, the Compliance Period End Date (Cl 109)
of the Violation shall be set to the earliest of the Enforcement Action Dates.
If the only RTC linked to a CCR Violation is deleted, SDWIS/FED shall set the Violation
Compliance Period End Date (C1009) to the default value ("12/31/2015,").
If multiple RTCs are linked to a CCR Violation and the RTC with the earliest Enforcement
Action Date is deleted, SDWIS/FED shall set the Violation Compliance Period End Date
(Cl 109) to the earliest Enforcement Action Date of the remaining linked RTC enforcements.
If an RTC already is linked to a CCR Violation and additional RTCs are linked to that
Violation, SDWIS/FED shall set the value of the earliest Enforcement Action Date from
among the existing and new RTCs to the Violation Compliance Period End Date (Cl 109).
NOTE: An effort is under way to reduce the number of error messages in
SDWIS/FED. Where possible, a consolidation of rule specific error
messages into existing generic error messages is being considered. If
and when the decision is made to consolidate and/or change the error
messages, the user community will be notified prior to implementation.
Section V. Sources for Additional Information
Additional technical information on SDWIS/FED reporting information can be obtained by
contacting Fran Haertel of the Infrastructure Branch, Drinking Water Protection Division, Office of
Ground Water and Drinking Water at (214)-665-8090.
REVISED - 1/00 E-17
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