United States
Environmental Protection
Agency
Variances and Exemptions:
A Quick Reference Guide
For additional information:
• Call the Safe Drinking
Water Hotline at 1-800-
426-4791.
• Visit the EPA Web site at
www.epa.gov/safewater.
• Contact your State's
drinking water
representatives.
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Overview of the Rule
Title
Purpose
General
Compliance
Date
Contaminants
Excluded
Variances and Exemptions Rule, 63 FR 43834-43851, August 14, 1998
General and Small System Variances
Variances allow eligible systems to provide
drinking water that does not comply with a
National Primary Drinking Water Regulation
(NPDWR) on the condition that the system
installs a certain technology and the quality of
the drinking water is still protective of public
health.
There are two types of variances:
1 . General variances are intended for
systems that are not able to comply with a
NPDWR due to their source water quality.
2. Small system variances are intended for
systems serving 3,300 persons or fewer
that cannot afford to comply with a
NPDWR (but may be allowed for systems
serving up to 10,000 persons).
General variances require compliance as
exped tiously as practicable and in accordance
with a compliance schedule determined by the
State. Small system variances require
compliance within 3 years (with a possible 2-
year extension period).
* General variances may generally not be
granted for the maximum contaminant level
(MCL) for total coliforms or any of the
treatment technique (TT) requirements of
SubpartHof 40CFR141.
• Small system variances may not be
granted for NPDWRs promulgated prior to
1986 or MCLs, indicators, and TTs for
microbial contaminants.
Exemptions
Exemptions allow eligible systems additional
time to build capacity in order to achieve and
maintain regulatory compliance with newly
promulgated NPDWRs, while continuing to
provide acceptable levels of public health
protection.
Exemptions do not release a water system
from complying with NPDWRs; rather, they
allow water systems additional time to comply
with NPDWRs.
Systems must achieve compliance as
expeditiously as practicable and in
accordance with the schedule determined by
the State. In addition:
• Initial exemptions cannot exceed 3 years.
• Systems serving < 3,301 persons may be
eligible for one or more additional 2-year
extension periods (not to exceed 6 years).
• Exemptions from the MCL for total
coliforms may generally not be granted.
Utilities Covered
All public
water
systems
Exclusions:
• Systems that have received a small system variance are not eligible for an exemption.
• Small system variances may not be granted for NPDWRs that do not list a small system
variance technology (SSVT).
• Systems that have received an exemption are generally not eligible for a variance.
State
Best Available
Technology (BAT)
Small System
Variance Technology
(SSVT)
Small System
Compliance
Technology (SSCT)
Definitions
For purposes of this document, "State" is used to refer to the primacy agency.
The BAT, TT, or other means identified by EPA for use in complying with a NPDWR.
A treatment technology identified by EPA specifically for use by a small public water
system that will achieve the maximum reduction or inactivation efficiency that is
affordable considering the size of the system and the quality of its source water, while
adequately protecting public health.
A treatment technology that is affordable by small systems and allows systems to
achieve compliance with the requirements of a NPDWR.
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Rule-Related Activities and Responsibilities
Systems
General and
Small
System
Variances
Additional
Activities for
Small
System
Variances
Exemptions
• May apply for, if eligible and unable to meet the
NPDWR.
• Work with the State to hold a public hearing on the
proposed variance.
• Meet all compliance criteria, including schedule set by the
State, once the variance is approved.
• Must provide public notice within 1 year after the system
begins operating under the variance.
• May apply for only if EPA has identified an SSVTfor the
rule.
• Work with the State to provide notice of the proposed
variance to all persons served by the system.
• May apply for, if eligible and unable to meet the
NPDWR.
• Work with the State to hold a public hearing on the
proposed exemption.
• Upon approval, must meet all compliance criteria and
comply with the NPDWR within 3 years. (Note: systems
serving <3,301 persons maybe eligible for an extension).
• Systems must provide public notice within 1 year after the
system begins operating under the exemption.
States
• Review the system's application to determine whether the
system meets all eligibility criteria.
• Before issuing a variance, determine a schedule for
compliance and implementation.
• Work with the system to hold a public hearing on the
variance and notify EPA of all variances.
• Determine whether the system is financially and technically
able to install and operate an EPA-approved SSVT
• Work with the system to provide notice of the proposed
variance to all persons served by the system and EPA.
• Review all small system variances every 5 years.
• Review the system's application to determine whether the
system meets all eligibility criteria.
• Before issuing an exemption, determine a schedule for
compliance and implementation.
• Work with the system to hold a public hearing on the
exemption and notify EPA of all exemptions.
General Variances
Eligibility Requirements
No Alternative Using raw water sources that are reasonably available, the system is unable to meet MCLs (SDWA §1 41 5(a)(1 )(A) and 40
Water Source CFR 1 42.40(a)(1 )).
Does Not Pose The State must determine that the granting of the variance will not pose an unreasonable risk to health (URTH) (SDWA
an URTH §1 41 5(a)(1 )(A) and 40 CFR 1 42.40(a)(2)).
Compliance Requirements
Compliance Systems must comply with the NPDWR as soon as practicable and in accordance with a compliance schedule determined by
Date the State (SDWA §1 41 5(a)(1 )(A) and 40 CFR 1 42.41 (c)(4)).
Technology The system must install and operate the BAT, TT, or other means found available by EPA as expeditiously as possible (SDWA
Improvements §1 41 5(a)(1 )(A) and 40 CFR 1 42.42(c)).
Public Hearing Before a variance may take effect, the State must provide notice and opportunity for a public hearing on the variance and
schedule (SDWA§1415(a)(1)(A) and 40 CFR 142.44).
Public Systems must provide public notice within 1 year after the system begins operating under a variance and repeat the notice
Notification annually for the duration of the variance (40 CFR 141.204(b)(1)).
Example Application Process: General Variances
Start
PWS determines it won't be able to comply
with NPDWR by compliance date and
requests variance from the State
State and PWS work together to determine
if the system is eligible for a variance
and hold a public hearing
State informs PWS of vari
within 90 days of receiving the request
PWS must comply
with NPDWR by
compliance date
Denied
ariance decision |
ving the request J
Granted
State issues variance, including schedule
for compliance and implementation, on
condition that system install BAT, TT, or
other treatment means that EPA finds is
available
I
State informs EPA of all variances issued
for NPDWR
Unless EPA revokes variance, system may operate
under variance
Not Revoked
Revoked
PWS implements compliance strategy
and schedule defined by State-issued
variance, meeting all implementation
milestones and informing customers as
directed
State may revise
variance (no later
than the effective
date of EPA's
revocation) based on
EPA review and
re-submit
PWS COMPLIES WITH NPDWR
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Small System Variances
Eligibility Requirements
System Size
SSVT
Affordability
Ensure Adequate
Protection of
Human Health
Generally available for systems serving < 3,301 persons and, with the approval of EPA, systems serving >3,300
persons but <1 0,000 persons (SDWA§1415(e)(1)(A)&(B) and 40 CFR 142.303(a)&(b)).
Systems must install, operate, and maintain in accordance with guidance or regulations issued by the EPA
Administrator, a TT or other means that EPA has identified as a variance technology that is applicable to the
size and source water quality conditions of the system (SDWA §1 41 5(e)(2)(A)&(B) and 40 CFR 1 42.307(b)).
In accordance with the affordability criteria established by the State, the system cannot afford to comply with the
NPDWR for which a small system variance is sought, including compliance through (SDWA §1 41 5(e)(3) and 40
CFR142.306(b)(2)):
• Treatment
• Alternate source of water supply
• Restructuring or consolidation changes
• Financial assistance
The terms of the small system variance must ensure adequate protection of human health given source water
quality, removal efficiencies, and the expected useful life of the SSVT (SDWA §1415(e)(3)(B) and 40 CFR
142.306(b)(5)).
Compliance Requirements
Compliance Date
Technology
Improvements
Public Hearing
Public Notification
Systems must comply with the terms of the small system variance within 3 years, unless the State allows up to
an additional 2 years to make capital improvements. The State must review each variance at least once every 5
years to determine whether the system remains eligible (SDWA §1 41 5(e)(4)&(5) and 40 CFR
142.307(c)(4)&(d)).
Systems must install an SSVT no later than 3 years (with a possible 2-year extension period) after the issuance
of the variance and must be financially and technically capable of installing, operating, and maintaining the
SSVT (40 CFR 142.306(b)(3)&(4)).
Before a small system variance may take effect, the State must work with the system to provide public notice to
everyone served by the system. Public notice must be issued 15 days before the proposed effective date and
30 days prior to a public meeting (40 CFR 142.308(a)).
Systems must provide public notice within 1 year after the system begins operating under a variance and repeat
the notice annually for the duration of the small system variance (40 CFR 141 .204(b)(1 )).
Example Application Process: Small System Variances
PWS must comply with
NPDWR by compliance
date or apply for an
exemption
EPA identifies SSVT when promulgating
NPDWR
Small PWS serving < 10,000 determines it
won't be able to comply with NPDWR by
compliance date and requests a small
system variance from the State
State and PWS work together to determine
if the system is eligible for a small system
variance, issue public notice, and hold
public hearing
| State inf.
'orms PWS of small system va
decision
Granted
State issues small system variance, including
schedule for compliance and implementation,
on the condition that system install an SSVT
riance
1
State informs EPA of all proposed
small system variances
For systems between 3,301 and 10,000, EPA
must approve the variance. For smaller systems,
unless EPA overturns variance, system may
operate under variance
Not Revoked
Revoked
PWS implements compliance strategy and
schedule defined by State-issued variance,
meeting all implementation milestones and
informing customers as directed
State reviews variance at least once every
5 years after the compliance date
established in the variance to ensure that
system is still eligible and in compliance
with the variance
PWS COMPLIES WITH VARIANCE
State may revise
variance (no later
than the effective
date of EPA's
revocation) based on
EPA review and
re-submit
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Exemptions
Eligibility Requirements
No Alternative
Water Source
Does Not Pose an
URTH
System Operation
Management or
Restructuring
Changes
Unable to Achieve
Compliance
The system is unable to comply with the NPDWR due to compelling factors (which may include economic
factors) or to implement measures to develop an alternative source of water supply to achieve compliance
(SDWA §1 41 6(a)(1 ) and 40 CFR 1 42.50(a)(1 )).
The State must make a determination that the exemption will not pose an URTH and may require interim
compliance measures (SDWA§1416(a)(3) and 40 CFR 142.50(a)(3)).
Systems must have begun operation prior to the effective date of the NPDWR, however, this requirement may
be waived if the system does not have an alternative source of water supply (SDWA §1 41 6(a)(2) and 40 CFR
142.50(a)(2)).
The system cannot reasonably make management or restructuring changes that would result in compliance or
improved quality of the drinking water (SDWA §1 41 6(a)(4) and 40 CFR 1 42.50(a)(4)).
No exemption shall be granted unless (SDWA §1 41 6(b)(2)(B) and 40 CFR 1 42.50(b)(1 ),(2)&(3)):
• Capital improvements are unable to be completed before the NPDWR effective date -or-
• A system that needs financial assistance has entered into an agreement to obtain that assistance -or-
• The system has entered into an enforceable agreement to become part of a regional public water system;
and the system is taking all appropriate steps to meet the standard.
Compliance Requirements
Duration
Public Hearing
Public Notification
Systems must achieve compliance with the MCL as expeditiously as practicable and in accordance with a
compliance schedule determined by the State, but no longer than 3 years from the date of issuance (SDWA
§1416(b)(2)(A) and 40 CFR 142.56).
Systems serving <3,301 persons may be eligible for an additional one or more 2-year periods, but the total
duration of the exemption extensions may not exceed 6 years (SDWA§1416(b)(2)(C) and 40 CFR 142.56).
Before an exemption can take effect, the State must provide notice and opportunity for a public hearing on the
exemption schedule (SDWA§1416(b)(1)(B) and 40 CFR 142.54(a)).
Systems must provide public notice within 1 year after the system begins operating under an exemption and
must repeat the notice annually for the duration of the exemption (40 CFR 141.204(b)(1)).
Example Application Process: Exemptions
Start
PWS determines it won't be able to comply
with NPDWR by compliance date and requests
an exemption from the State
State and PWS work together to determine
if the system is eligible for an exemption
and hold a public hearing
.State informs PWS of exemption decision
within 90 days of receiving the request I
PWS must comply with
NPDWR by compliance date
or apply for a variance
Denied
Granted
State sets a compliance schedule
(taking into account extensions) and
appropriate control measures for PWS
PWS implements compliance strategy
and schedule defined by State-issued
exemption, meeting all implementation
milestones and informing customers
as required
State must decide whether to extend exemption
(if applicable) by determining whether PWS is taking
I all practicable steps to stay on compliance schedule I
Extended
PWS continues to implement compliance
strategy, meeting all state milestones and
informing customers as directed
PWS COMPLIES WITH NPDWR
Office of Water (4606)
EPA816-F-04-005
www.epa.gov/safewater
September 2004
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