v/EPA The Ground Water Rule
(GWR) Implementation
Guidance
United States
Environmental Protection
Agency
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Office of Water (4606M)
EPA816-R-09-004
January 2009
www. epa.gov/safewater/
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Disclaimer
This document provides guidance to states, tribes, and U.S. Environmental Protection
Agency (EPA) exercising primary enforcement responsibility under the Safe Drinking
Water Act (SDWA) and contains EPA's current policy recommendations for complying
with the Ground Water Rule (GWR). Throughout this document, the terms "state" and
"states" are used to refer to all types of primacy agencies including U.S. territories, Indian
tribes, and EPA.
The statutory provisions and EPA regulations described in this document contain legally
binding requirements. This document is not a regulation itself, nor does it change or
substitute for those provisions and regulations. Thus, it does not impose legally binding
requirements on EPA, states, or public water systems. This guidance does not confer legal
rights or impose legal obligations upon any member of the public.
While EPA has made every effort to ensure the accuracy of the discussion in this
guidance, the obligations of the regulated community are determined by statutes,
regulations, or other legally binding requirements. In the event of a conflict between the
discussion in this document and any statute or regulation, this document would not be
controlling.
The general description provided here may not apply to a particular situation based upon
the circumstances. Interested parties are free to raise questions and objections about the
substance of this guidance and the appropriateness of the application of this guidance to a
particular situation. EPA and other decision makers retain the discretion to adopt
approaches on a case-by-case basis that differ from those described in this guidance,
where appropriate.
Mention of trade names or commercial products does not constitute endorsement or
recommendation for their use.
This is a living document and may be revised periodically without public notice. EPA
welcomes public input on this document at any time. Guidance provided in this document
reflects provisions published on November 8, 2006 at 71 FR 65574 and November 21,
2006 at 71FR 67427.
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Table of Contents
Acronyms and Abbreviations ix
Introduction xi
Section 1 Rule Requirements 1
1.1 Introduction 3
1.1.1 History 3
1.1.2 Development of the Ground Water Rule 4
1.1.3 Benefits of the Ground Water Rule 5
1.1.3.1 Quantifiable Health Benefits 5
1.1.3.2 Non-Quantifiable Health Benefits 5
1.2 Requirements of the Rule: Public Water Systems 6
1.2.1 Applicability and Compliance Dates 6
1.2.1.1 To Whom Does The Rule Apply? 6
1.2.1.2 What Are The Compliance Dates? 6
1.2.2 Sanitary Surveys for GWSs [40 CFR 141.401] 7
1.2.3 Ground Water Source Microbial Monitoring [40 CFR 141.402] 8
1.2.3.1 Triggered Source Water Monitoring 8
1.2.3.2 Additional Source Water Sampling 8
1.2.3.3 Assessment Source Water Monitoring 9
1.2.4 Treatment Technique Requirements For GWSs [40 CFR 141.403] 9
1.2.4.1 Treatment Technique Compliance Monitoring [40 CFR 141.403(b)] 10
1.2.5 Public Water System Reporting Requirements [40 CFR 141.405(a)] 11
1.2.6 Public Water System Recordkeeping Requirements [40 CFR 141.405(b)] 12
1.2.7 Public Notification of Drinking Water Violations [40 CFR 141.402 and 40 CFR
141.403(a)] 13
1.2.8 CCR Requirements [40 CFR 141.153] 13
1.2.9 Special Notice Requirements [40 CFR 141.403(a)(7)] 13
1.3 Requirements of the Rule: States or Other Primacy Agencies 14
1.3.1 Special Primacy Requirements [40 CFR 142.16(o)] 15
1.3.2 Records Kept by States [40 CFR 142.14(d)(17)] 15
1.3.3 State Reporting Requirements [40 CFR 142.15(c)(7)] 16
1.4 Summary of Requirements 17
1.4.1 Applicability and Compliance Dates 17
Section 2 Resources and Guidance 21
2.1 Technical Guidance Manuals 23
2.2 Rule Presentation 25
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2.3 Fact Sheet and Quick Reference Guide 25
2.4 Questions & Answers 26
Section 3 State Implementation 33
3.1 Overview of Implementation 35
3.2 Identify Affected Systems 35
3.2.1 General Provisions [40 CFR 141.400(b)] 36
3.2.2 Sanitary Surveys [40 CFR 142.16(o)(2)(i)] 36
3.2.3 Triggered Source Water Monitoring [40 CFR 141.402(a)] 37
3.2.4 Treatment Technique Requirements [40 CFR 141.403(a)] 37
3.2.5 Compliance Monitoring [40 CFR 141.403(b)] 38
3.2.6 Optional Assessment Source Water Monitoring [40 CFR 141.402(b)] 41
3.3 Communicate GWR Requirements to Affected Systems 41
3.3.1 Requirements and Target Notification Time Frames 41
3.3.2 Methods of Communication 44
3.4 Data Management Systems 46
3.5 Address Special Primacy Requirements of the GWR 47
3.6 State Practices or Procedures for Sanitary Surveys 48
3.6.1 Sanitary Surveys for CWSs 48
3.6.2 Sanitary Surveys for NCWSs 49
3.6.3 Significant Deficiencies 49
3.7 State Practices or Procedures for Source Water Microbial Monitoring 49
3.7.1 Triggered Source Water Monitoring 50
3.7.2 Assessment Source Water Monitoring 51
3.7.3 Laboratory Methods 52
3.7.4 Invalidation of a Fecal Indicator-Positive Ground Water Source Sample 53
3.8 Public Notification, CCR, and Special Notice Requirements 53
3.8.1 Public Notification Requirements 54
3.8.2 Consumer Confidence Report (CCR) Requirements 55
3.8.3 Special Notice Requirements 55
3.9 State Practices and Procedures for Treatment Technique Requirements 56
3.9.1 Corrective Action Alternatives 57
3.9.2 Process for Determining 4-log Treatment of Viruses 57
3.9.3 Process for Determining Minimum Residual Disinfectant Concentration Prior to First
User 58
3.9.4 Alternative Technologies for Achieving 4-log Treatment of Viruses 58
3.9.5 Membrane Filtration Requirements to Demonstrate Virus Removal 58
3.9.6 Monitoring and Compliance Requirements for Systems Providing 4-log Treatment of
Viruses 58
3.9.6.1 PWSs Using a Chemical Disinfectant and Serving More than 3,300 People 59
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3.9.6.2 PWSs Using a Chemical Disinfectant and Serving 3,300 People or Fewer 59
3.9.6.3 PWSs Using Membrane Filtration 60
3.9.6.4 PWSs Using State-Alternative Treatment 60
3.9.7 Criteria for Discontinuing 4-log Treatment of Viruses 64
3.9.8 Treatment Technique Violations 64
3.9.9 Monitoring Violations 65
Section 4 State Primacy Revision Application 67
4.1 State Primacy Program Revision 69
4.1.1 The Revision Process 70
4.1.2 The Final Review Process 70
4.2 State Primacy Program Revision Extensions 71
4.2.1 The Extension Process 71
4.2.2 Extension Request Criteria 72
4.2.3 Conditions of the Extension 72
4.3 State Primacy Package 76
4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(l)] 76
4.3.2 Text of the State's Regulation 77
4.3.3 Primacy Revision Crosswalk 77
4.3.4 State Reporting and Recordkeeping Checklist [40 CFR 142.14 and 40 CFR 142.15] 77
4.3.5 Special Primacy Requirements [40 CFR 142.16] 79
4.3.6 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)] 79
4.3.6.1 Guidance for States on Audit Privilege and/or Immunity Laws 80
4.4 Guidance for the Special Primacy Requirements of the GWR 80
4.4.1 Special Primacy Requirement Regarding Legal Authority to Ensure GWSs Conduct
Source Water Monitoring 81
4.4.2 Special Primacy Requirement Regarding Legal Authority to Ensure GWSs Address
Significant Deficiencies 81
4.4.3 Special Primacy Requirement Regarding Legal Authority to Ensure GWSs Address
Source Water Fecal Contamination 82
4.4.4 Special Primacy Requirement Regarding Legal Authority to Ensure GWSs Consult with
the State Prior to Implementing Corrective Action 83
4.4.5 Special Primacy Requirements Regarding Sanitary Surveys 83
4.4.5.1 Frequency and scope of sanitary surveys 84
4.4.5.2 Phased sanitary survey process 85
4.4.5.3 Reduced frequency of sanitary surveys for CWSs 86
4.4.5.4 What constitutes a significant deficiency 87
4.4.5.5 Notice to system of significant deficiencies 91
4.4.6 Special Primacy Requirements Regarding Routine Source Water Microbial Monitoring93
4.4.6.1 Extending 24-hourtime limit to collect triggered source water sample 93
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4.4.6.2 Total coliform-positive sample solely the result of a distribution system deficiency
93
4.4.6.3 Invalidation of fecal indicator-positive samples 94
4.4.6.4 Monitoring at a Location After Treatment 95
4.4.7 Special Primacy Requirements Regarding Treatment Technique Requirements 95
4.4.7.1 Confirmation of system achieving at least 4-log treatment of viruses 96
4.4.7.2 Determine the minimum residual disinfectant concentration 102
4.4.7.3 State-approved alternative technologies 103
4.4.7.4 Monitoring and compliance criteria 103
4.4.7.5 Monitoring, compliance, and membrane integrity testing requirements 108
4.4.7.6 Discontinuation of 4-log virus inactivation, removal, or a state-approved
combination of these technologies 108
Section 5 SDWIS Reporting and SNC Definitions Ill
Section 6 Public Notification, Consumer Confidence Report, and Special Notice Examples 113
Appendices
Appendix A: Primacy Revision Crosswalk
Appendix B: Rule Requirements
Appendix C: Rule Factsheets and Quick Reference Guide
Appendix D: Flowcharts
Appendix E: Example Forms, Letters and Checklists
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List of Tables
Table 1-1. Sanitary Survey Requirements by System Type 7
Table 1-2. GWS Requirements for Reporting to the State Under the GWR 11
Table 1-3. GWS Recordkeeping Requirements Under the GWR 12
Table 1-4. GWS Public Notification Requirements Under the GWR 13
Table 1-5. State Recordkeeping Requirements 15
Table 1-6. State Requirements for Reporting to EPA 16
Table 1-7. Summary of Action Dates for the Ground Water Rule 17
Table 3 -1. GWR Requirements Applying To Different Categories of Water Systems 42
Table 3-2. Laboratory Methods 53
Table 3-3. Public Notification, CCR, and Special Notice Requirements 54
Table 4-1. State Rule Implementation and Revision Timetable for the GWR 69
Table 4-2. State Primacy Revision Checklist 76
Table 4-3. Example Sanitary Survey Deficiencies 89
Table 4-4. CT Values for Inactivation of Viruses by Free Chlorine, pH 6.0-9.0 97
Table 4-5. CT Values for Inactivation of Viruses by Chlorine Dioxide, pH 6.0-9.0 97
Table 4-6. CT Values for Inactivation of Viruses by Ozone 97
Table 4-7. CT Values for Inactivation of Viruses by Free Chlorine, pH 10 98
Table 4-8. Virus Inactivation from UV dose (mJ/cm2) 101
Table 6-1. Public Notification, CCR, and Special Notice Requirements 115
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List of Examples
Example 3-1. Example State Correspondence and Form for GWSs to Notify State if they Provide 4-log
Treatment of Viruses 38
Example 3-2. Example System Notification Letter 45
Example 3-3. Example Monthly Operations Report for GWSs Serving More Than 3,300 People 61
Example 3-4. Example Monthly Operation Report for GWSs Serving 3,300 People or Fewer 63
Example 4-1. Example Extension Request Checklist 74
Example 4-2. Example of Attorney General's Statement 79
Example 4-3. Example Significant Deficiency Notification Letter 91
Example 4-4. Example Summary Monthly Report for a GWS Disinfecting with UV Radiation 105
Example 4-5. Example Daily Operating Log for Calculated Dose Approach 106
Example 4-6. Example Daily Operating Log for UV Intensity Setpoint Approach 107
Example 6-1. Example Tier 1 Public Notification for a Fecal Indicator-Positive Triggered Source Water
Sample 119
Example 6-2. Example of Regulated Contaminant Table and Special Notice in the CCR for Source Water
Fecal Contamination 120
Example 6-3. Example Tier 2 Public Notification for Failure to Comply With State Corrective Action
Plan or Schedule 122
Example 6-4. Example of a Special Notice Regarding a Significant Deficiency 123
Example 6-5. Example Tier 2 Public Notification for Failure to Take Corrective Action 125
Example 6-6. Example of a Notice in the CCR for Failure to Take Corrective Action 126
Example 6-7. Example Tier 2 Public Notification for Failure to Maintain at Least 4-Log Treatment of
Viruses 128
Example 6-8. Example of a Notice in the CCR for Failure to Maintain at Least 4-Log Treatment of
Viruses 129
Example 6-9. Example Tier 3 Public Notification for Failure to Collect Source Water Sample(s)
Following a Routine Total Coliform-Positive Distribution System Sample Result 131
Example 6-10. Example of a Notice in the CCR for Failure to Collect Source Water Sample(s) Following
a Routine Total Coliform-Positive Distribution System Sample Result 132
Example 6-11. Example Tier 3 Public Notification for Failure to Conduct Compliance Monitoring 134
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List of Figures
Figure 1-1. Ground Water Rule Requirements 19
Figure 4-1. Recommended Review Process for State Request for Approval of Program Revisions 71
Figure 4-2. Example Pump Curve for A Ground Water Well 99
Figure 4-3. Schematic of Hydropneumatic System 100
Figure 4-4. Five Pressure Vessels in Series 101
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Acronyms and Abbreviations
ASDWA
CCR
CDC
CFR
CT
CWSs
DBFs
EPA
FR
gpm
GWR
GWS
GWUDI
HQ
HSA
MCL
MCLG
M-DBP Cluster
MMWR
MRDL
MWCO
NCWS
NF
NIPDWR
NPDWR
NRC
NTNCWS
O&M
OECA
OGC
OGWDW
ORC
psi
PWS
PWSS
Q&A
RO
SBREFA
SDWA
Association of State Drinking Water Administrators
Consumer Confidence Report
Centers for Disease Control
Code of Federal Regulations
The Residual Concentration of Disinfectant (mg/L) Multiplied by the Contact Time
(in minutes)
Community Water Systems
Disinfectants and Disinfection Byproducts
U.S. Environmental Protection Agency
Federal Register
Gallon Per Minute
Ground Water Rule
Ground Water System
Ground Water Under the Direct Influence
Headquarters
Hydrogeologic Sensitivity Assessment
Maximum Contaminant Level
Maximum Contaminant Level Goal
Microbial-Disinfectants/Disinfection Byproducts Cluster
Morbidity and Mortality Weekly Report
Maximum Residual Detection Level
Molecular Weight Cut-Off
Noncommunity Water System
Nanofiltration
National Interim Primary Drinking Water Regulation
National Primary Drinking Water Regulation
National Research Council
Nontransient Noncommunity Water System
Operations and Maintenance
Office of Enforcement and Compliance Assurance
Office of General Counsel
Office of Ground Water and Drinking Water
Office of Regional Counsel
Pound-force Per Square Inch
Public Water System
Public Water System Supervision
Question and Answer
Reverse Osmosis
Small Business Regulatory Enforcement Fairness Act
Safe Drinking Water Act
GWR Implementation Guidance
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January 2009
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SDWIS
SNC
Stage 1 DBPR
Stage 2 DBPR
SWAP
SWTR
TCR
TNCWS
TT
UV
WHPP
Safe Drinking Water Information System
Significant Non-complier
Stage 1 Disinfectants and Disinfection Byproducts Rule
Stage 2 Disinfectants and Disinfection Byproducts Rule
Source Water Assessment Program
Surface Water Treatment Rule
Total Conform Rule
Transient Noncommunity Water System
Treatment Technique
Ultraviolet
Wellhead Protection Program
GWR Implementation Guidance
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Introduction
This document provides guidance to states and the U.S. Environmental Protection Agency (EPA)
exercising primary enforcement responsibility under the Safe Drinking Water Act (SDWA), concerning
how the EPA interprets the Ground Water Rule (GWR) promulgated by EPA under the SDWA. It also
provides guidance to the public and the regulated community on how EPA intends to exercise its
discretion in implementing the statute and regulations. This guidance is designed to implement national
policy on these issues. Throughout this document, the terms "state" and "states" are used to refer to all
types of primacy agencies including states, U.S. territories, Indian tribes, and EPA.
The SDWA provisions and EPA regulations described in this document contain legally binding
requirements. This document does not substitute for those requirements, nor is it a regulation itself. It
does not impose legally binding requirements on EPA, states, or the regulated community and may not
apply to a particular situation based upon the circumstances. EPA and state decision makers retain the
discretion to adopt approaches on a case-by-case basis that differ from this guidance, where appropriate.
Any decisions regarding a particular facility will be made based on the applicable statutes and regulations.
Therefore, interested parties are free to raise questions and objections about the appropriateness of the
application of this guidance to a particular situation. EPA will then consider whether or not the
recommendations or interpretations in the guidance are appropriate in that situation based on the law and
regulations. EPA may change this guidance in the future.
This manual contains the following sections:
• Section 1 summarizes the rule requirements of the GWR and presents a timetable of
important dates.
• Section 2 lists the "stand-alone" guidance materials that will help states and public water
systems (PWSs) adopt each new requirement.
• Section 3 discusses state implementation activities.
• Section 4 covers state primacy revision requirements, including a detailed time frame for
application review and approval. This section also contains guidance and references to help
states adopt each new special primacy requirement included in the GWR.
• Section 5 addresses violation determinations and associated reporting requirements to assist
states in their compliance activities.
• Section 6 provides examples of scenarios requiring public notification and/or special
notices, and includes sample language to include in public notices, special notices, and
Consumer Confidence Reports (CCRs).
The appendices of this document also provide information that will be useful to states and EPA
throughout the primacy revision application process.
• Appendix A contains the primacy revision application crosswalk for the GWR.
• Appendix B contains a copy of the final GWR.
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• Appendix C contains fact sheets and a quick reference guide for the GWR.
• Appendix D presents flowcharts to help states and systems implement the GWR.
• Appendix E contains a stand alone version of the State Primacy Revision Checklist and
Example Forms.
Please note that, in several sections, the guidance makes suggestions and offers alternatives that go
beyond the minimum requirements indicated. EPA does this to provide information and/or suggestions
that may be helpful to implementation efforts. Such suggestions are prefaced by "may" or "should" and
are to be considered advisory. They are not required elements of the GWR.
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Section 1
Rule Requirements
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1.1 Introduction
EPA published the Ground Water Rule (GWR) in the Federal Register on November 8, 2006 (Federal
Register Volume 71, Number 216, 65574) and a rule correction on November 21, 2006 (Federal Register
Volume 71, Number 224, 67427). Copies of the Federal Register are available at:
• www.epa.gov/fedrgstr/EPA-WATER/2006/November/Dav-08/w8763.pdf.
• www.epa.gov/fedrgstr/EPA-WATER/2006/November/Dav-2 l/w8763 .pdf
The GWR builds upon the Total Coliform Rule (TCR) by addressing the health risks of fecal
contamination in community water systems (CWSs) and noncommunity water systems (NCWSs) (i.e.,
nontransient noncommunity water systems [NTNCWSs] and transient noncommunity water systems
[TNCWSs]) that use ground water.
The GWR does not apply to public water systems (PWSs) that combine all of their ground water with
surface water before treatment (Subpart H systems). The GWR also does not apply to systems using
ground water sources that have been determined by the state to be ground water under the direct influence
of surface water (GWUDI). A GWUDI source refers to water beneath the surface of the ground with
significant occurrence of insects or other microorganisms, algae, or large-diameter pathogens, or
significant and relatively rapid shifts in water characteristics (e.g., temperature, conductivity) that closely
correlate to climatological or surface water conditions. These systems must comply instead with
requirements for surface water systems.
Key provisions of the GWR include:
• Periodic on-site reviews and inspections of ground water systems (GWSs) requiring
evaluation of eight specific sanitary survey elements and identification of significant
deficiencies.
• Requirements to correct significant deficiencies and eliminate fecal contamination through
specified actions.
• Triggered source water monitoring to test for the presence of fecal indicators (E. coll,
enterococci, or coliphage) in the sample.
• Assessment source water monitoring, as directed by the state, to target high risk GWSs.
• Compliance monitoring to ensure that treatment technologies, installed to treat drinking
water, reliably achieve at least 99.99 percent (4-log) inactivation or removal of viruses.
Section 1 of this guidance manual also offers suggestions and alternatives that go beyond the minimum
primacy agency requirements specified in the GWR. Such suggestions are prefaced by "may" or "should"
and are to be considered advisory.
1.1.1 History
The Centers for Disease Control and Prevention (CDC) maintain a database of information on waterborne
disease outbreaks in the United States. The CDC defines a waterborne disease outbreak as occurring when
at least two persons experience a similar illness after ingesting drinking water from the same source or
system.
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The CDC reports1 that between 1991 (the year in which the TCR went into effect) and 2000, GWSs (both
CWSs and NCWSs) were associated with 68 outbreaks that caused 10,926 illnesses. These accounted for
51 percent of all waterborne disease outbreaks in the United States. The major deficiency in GWSs was
source water contamination, which is either untreated or inadequately treated ground water. Contaminated
source water (classified by the CDC as outbreaks caused by untreated ground water and treatment
deficiencies) was the cause of 79 percent of the outbreaks in GWSs (63 percent of CWS outbreaks and 86
percent of NCWS outbreaks).
Of the 68 outbreaks in GWSs, 14 (21 percent) were associated with specific bacterial pathogens. The
fecal bacterial pathogen, Shigella, caused more reported outbreaks (7 percent) than any other identifiable
agent. Identified viral pathogens were associated with four (6 percent) reported outbreaks. Etiologic
agents were not identified in 39 (57 percent) outbreaks; however, EPA suspects that many of these
outbreaks were caused by viruses, given that it is generally more difficult to analyze for viral pathogens
than bacterial pathogens.
Despite the data, the National Research Council (NRC) believes that the waterborne disease outbreaks in
the CDC database (for both surface and ground waters) represent a small percentage of the actual number.
In practice, most waterborne outbreaks in water systems are not recognized until a sizable proportion of
the population is ill.
EPA estimates that approximately 70 percent of GWSs provide either untreated ground water or provide
treatment of less than 4-log virus inactivation or removal.2 Approximately 18 percent (20 million) of
people served by PWSs that use ground water sources receive water that has not been disinfected, while
over 60 percent (70 million) receive either water that has not been disinfected or water treated to less than
4-log inactivation or removal of viruses. EPA also recognizes that existing outbreak and source water
fecal contamination occurrence data do not appear to support mandatory disinfection of all GWSs.
However, the data indicate that outbreaks in GWSs are a problem, and source contamination and
inadequate treatment (or treatment failures) are responsible for the great majority of outbreaks.
1.1.2 Development of the Ground Water Rule
The Agency's goal in developing the GWR is to reduce the risk of illness caused by microbial
contamination in PWSs relying on ground water. As part of the 1986 Amendments to the Safe Drinking
Water Act (SDWA), Congress directed EPA to promulgate a National Primary Drinking Water
Regulation (NPDWR) requiring disinfection as a treatment technique for all PWSs, including those
served by surface water and ground water. In 1987, EPA began developing a rule to cover GWSs. From
1 The data in this and the subsequent two paragraphs are reported in the following sources:
Barwick, R.S., D.A. Levy, G.F. Craun, M.J. Beach, and R.L. Calderon. 2000. Surveillance for waterborne-disease outbreaks—United
States, 1997-1998. Morbidity and Mortality Weekly Report (MMWR). 49(SS04):l-35.
Kramer, M.H., B.L. Herwaldt, G.F. Craun, R.L. Calderon, and D.D. Juranek. 1996. Waterborne disease: 1993-1994. Journal AWWA.
88(3):66-80.
Lee, S.H., D.A Levy, G.F. Craun, M.J. Beach, and R.L. Calderon. 2002. Surveillance for Waterborne-Disease Outbreaks-United States,
1999-2000. MMWR. 51(SS08):l-28.
Levy, D.A., M.S. Bens, G.F. Craun, R.L. Calderon, and B.L. Herwaldt. 1998. Surveillance for Waterborne-Disease Outbreaks—United
States, 1995-1996. MMWR. 47(SS-5):l-34.
Moore, A.C., B.L. Herwaldt, G.F. Craun, R. L. Calderon, A.K. Highsmith, and D.D. Juranek. 1993. Surveillance for waterborne disease
outbreaks—United States, 1991-1992. MMWR. Surveillance Summary SS-5, U.S. CDC. 42(SS-05):l-22.
2 USEPA, 2006d. Economic Analysis for the Final Ground Water Rule. EPA 815-R-06-014
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1990 to 1997, EPA conducted technical discussions on a number of issues, primarily to establish a
reasonable means of determining whether a ground water source was vulnerable to fecal contamination
and, thus, pathogens. This effort was accomplished through ad hoc working groups with the participation
of EPA Headquarters and regional offices, states, local governments, academicians, and trade
associations.
The SDWA was amended in August 1996 and, as a result, several statutory provisions were added
establishing new drinking water requirements. Specifically, Congress required under section 1412(b)(8)
that EPA develop regulations specifying the use of disinfectants for GWSs "as necessary." These
amendments established a new regulatory framework that required EPA to set criteria for states to
determine whether GWSs need to disinfect.
EPA held a series of stakeholder meetings to present a summary of the findings resulting from technical
discussions held since 1990 and from information generated by internal EPA working groups with the
intention of developing disinfection criteria for GWSs. The purpose of these meetings was to engage all
interested stakeholders in the analysis of data to develop the GWR. In addition, EPA received valuable
input from small system operators as part of an Agency outreach initiative under the Small Business
Regulatory Enforcement Fairness Act (SBREFA).
In addition to stakeholder input, EPA has used the results of numerous field and laboratory studies
conducted over the past 20 years to characterize the epidemiologic, hydrogeologic, well construction,
microbial-source attributes, and treatment technology considerations in the development of the GWR.
1.1.3 Benefits of the Ground Water Rule
1.1.3.1 Quantifiable Health Benefits
The primary benefits of the GWR come from reductions in the risk of microbial illness from drinking
water. In particular, the GWR focuses on reducing illness and death associated with viral infection. It is
likely that the value estimated in the illness calculations used to estimate the benefits of this rule
underestimate the true benefit because they do not include pain and suffering associated with viral and
bacterial illnesses. According to the risk assessment performed for the Economic Analysis,3 the
annualized present value of the GWR is $19.7 million, with a 90-percent confidence interval of $6.5 to
$45.4 million. This result is based on the number of endemic viral illnesses and deaths avoided
attributable to this rule. The GWR will also decrease bacterial illness and death associated with fecal
contamination of ground water.
1.1.3.2 Non-Quantifiable Health Benefits
By reducing bacterial illnesses and deaths, as well as illnesses and deaths associated with viruses, the
GWR provides significant health benefits beyond the quantifiable health benefit estimates. The GWR will
also result in non-health benefits, such as avoided outbreak response costs and increased information that
will provide added benefits to the systems and their customers, by providing information to the water
system operator to ensure the water system continues to provide safe drinking water. The GWR will also
provide the benefit of reducing uncertainty regarding drinking water safety, which may lead to reduced
costs associated with individuals seeking alternative drinking water sources or auxiliary treatment for
their existing sources.
3 USEPA, 2006d. Economic Analysis for the Final Ground Water Rule. EPA 815-R-06-014
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1.2 Requirements of the Rule: Public Water Systems
The following rule requirements are from the GWR published in the Federal Register on November 8,
2006 (Federal Register Volume 71, Number 216, 65574 and a rule correction on November 21, 2006
(Federal Register Volume 71, Number 224, 67427). Copies of the Federal Register are available at:
• www.epa.gov/fedrgstr/EPA-WATER/2006/November/Dav-08/w8763.pdf
• www.epa.gov/fedrgstr/EPA-WATER/2006/November/Dav-2 l/w8763 .pdf
For a copy of the complete rule language, see Appendix B, or visit EPA's Web site at
www. epa. gov/safewater/disinfection/gwr/regulation .html.
This section provides a brief summary of the rule requirements. GWR requirements are explained in more
detail in section 3.
1.2.1 Applicability and Compliance Dates
For more detailed information about to whom this rule applies and the applicable compliance dates, see
section 1.4 of this document.
1.2.1.1 To Whom Does The Rule Apply?
The GWR addresses fecal contamination in systems that use wells or other ground water sources. The
rule applies to CWSs and NCWSs, regardless of size. The GWR applies to all PWSs that:
• Rely entirely on one or more ground water sources;
• Are consecutive systems that receive finished ground water; or,
• Mix surface and ground water, where ground water is added directly to the distribution
system and provided to consumers without treatment equivalent to the treatment provided
for surface water.
For the purposes of this document, the term "ground water system" (or GWS) will be used to refer to a
system to which the GWR applies.
1.2.1.2 What Are The Compliance Dates?
Most of the GWR requirements take effect December 1, 2009. These requirements include:
• Triggered source water monitoring.
• Corrective action if a significant deficiency is identified.
• Corrective action if ground water source samples test positive for fecal contamination.
• Written notification from GWSs providing at least 4-log treatment of viruses that
demonstrates the treatment effectiveness.
• Assessment source water monitoring as directed by the state.
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GWSs bringing a new ground water source into service after November 30, 2009 must either meet the
triggered source water monitoring requirements of the GWR or provide 4-log treatment of viruses and
conduct compliance monitoring. After that date, new systems with 4-log treatment of viruses must
provide written notification to the state that they are providing at least 4-log treatment of viruses before or
at the first customer and begin conducting compliance monitoring.
States must complete all initial sanitary surveys for CWSs by December 31, 2012 and for NCWSs (and
CWSs that qualify to have sanitary surveys conducted once every 5 years) by December 31, 2014.
1.2.2 Sanitary Surveys for GWSs [40 CFR 141.401]
GWSs must provide, at the state's request, any existing information that would allow the state to perform
a sanitary survey. Examples of existing information that may be necessary to perform the survey include
past survey reports, source water vulnerability assessments, monitoring and maintenance records,
construction details of system infrastructure components, and operations and management-related records.
As Table 1-1 summarizes, the state is required to perform a sanitary survey for CWSs every 3 years
(except for CWSs that meet certain conditions outlined in sections 3.6.1 and 4.4 of this guidance manual)
and for NCWSs (and CWSs that meet the conditions outlined in sections 3.6.1 and 4.4) every 5 years.
Table 1-1. Sanitary Survey Requirements by System Type
System Type
CWSs
CWSs providing at least 4-log treatment of viruses before or at the
first user for all its ground water sources or CWSs that have an
outstanding performance record, as determined by the state, and no
TCR MCL or monitoring violations since last sanitary survey.1
NCWSs
Timeframe
Every 3 years
Every 5 years
All Initial Sanitary
Surveys Completed by
12/31/2012
12/31/2014
1. The GWR allows states to define outstanding performance. For additional guidance on determining outstanding performance,
see section 4.4 of this document or refer to EPA's Ground Water Sanitary Survey Guidance Manual.
The GWR specifies eight elements integral to an effective sanitary survey. These elements are discussed
in EPA's guidance on how to conduct a sanitary survey of a PWS that is served by ground water
(Sanitary Survey Guidance Manual For Ground Water Systems. EPA 815-R-08-015, October 2008). This
document is available at www.epa.gov/safewater/disinfection/gwr/compliancehelp.html and from the Safe
Drinking Water Hotline (800) 426-4791. The eight elements are:
• Source (protection, physical components, and condition).
• Treatment.
• Distribution System.
• Finished Water Storage.
• Pumps, Pump Facilities, and Controls.
• Monitoring, Reporting, and Data Verification.
• Water System Management and Operations.
• Operator Compliance with State Requirements.
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1.2.3 Ground Water Source Microbial Monitoring [40 CFR 141.402]
The GWRhas three general categories of ground water source microbial monitoring requirements: 1)
triggered source water monitoring, 2) additional source water sampling, and 3) assessment source water
monitoring. This section provides a brief summary of ground water source microbial monitoring
requirements. Monitoring requirements are explained in more detail in section 3.
1.2.3.1 Triggered Source Water Monitoring
Any GWS that does not provide at least 4-log treatment of viruses before or at the first customer and is
notified of a total coliform-positive sample collected in compliance with the TCR (40 CFR 141.21), must
conduct triggered source water monitoring. Triggered monitoring requirements are discussed briefly here
and in more detail in section 3.2.3.
Systems providing 4-log treatment of viruses must notify their state that they provide treatment and must
conduct compliance monitoring (see section 1.2.4.1), or they will also be required to conduct triggered
source water monitoring if they are notified of a total coliform-positive sample collected in compliance
with the TCR. Systems providing 4-log treatment (who are not providing that treatment as a result of a
corrective action) can opt to conduct triggered source water monitoring instead of compliance monitoring,
as long as the state allows it.
When a system is notified of a total coliform-positive sample, the system must collect at least one ground
water source sample from each source in use at the time the total coliform-positive sample was collected.
If approved by the state, a system with more than one ground water source may meet this monitoring
requirement by sampling a representative source or sources. In addition, the state may direct a system to
submit for state approval a triggered source water monitoring plan. The triggered source water monitoring
plan would identify which ground water sources are representative of each monitoring site in the system's
TCR sample siting plan and would be used for representative sampling.
The triggered source water sample must be analyzed for the presence of an approved fecal indicator. If the
triggered source water sample is fecal indicator-positive, the GWS must either take corrective action, as
directed by the state, or if corrective action is not required and the sample is not invalidated by the state,
the system must collect five additional source water samples and analyze them for the presence of an
approved fecal indicator (see section 1.2.3.2).
The GWR allows states to determine that the cause of a total coliform-positive sample collected in
compliance with the TCR is directly related to the distribution system and should therefore not trigger
fecal indicator source water monitoring. States may also invalidate a fecal indicator-positive ground water
source sample under conditions specified in the GWR. If a fecal indicator-positive source sample is
invalidated, the system must collect another source water sample within 24 hours of being notified by the
state of its invalidation decision and have it analyzed for the same fecal indicator that was tested for in the
invalidated sample.
1.2.3.2 Additional Source Water Sampling
If the state does not require corrective action in response to a fecal indicator-positive triggered source
water sample, the system must collect five additional source water samples (from the same source) within
24 hours of being notified of the fecal indicator-positive sample. These additional source water samples
should be analyzed for the same fecal indicator as was analyzed in the triggered source water sample. If
any of the five additional source water samples are fecal indicator-positive, the GWS must take corrective
action.
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1.2.3.3 Assessment Source Water Monitoring
As a complement to the triggered source water monitoring provision, states may require GWSs to conduct
assessment source water monitoring, as needed. This flexible provision gives states the opportunity to
target high risk systems for additional source water monitoring and require corrective action, if necessary.
EPA recommends that states require GWSs that are most susceptible to fecal contamination to conduct
assessment monitoring. States have the flexibility to base assessment source water monitoring, and its
frequency, on the presence or absence of potential sources of fecal contamination identified by their
existing source water protection program. Assessment source water monitoring requirements are
discussed in more detail in sections 3.2.6 and 3.72.
1.2.4 Treatment Technique Requirements For GWSs [40 CFR 141.403]
The GWR treatment technique requirements apply to all GWSs when a significant deficiency is identified
or when a source water sample indicates that a ground water source is fecal indicator-positive. The GWR
requires these systems to consult with the state within 30 days of:
• A significant deficiency is identified, or
- A "significant deficiency" is defined as a defect in design, operation, or maintenance, or
a failure or malfunction of the sources, treatment, storage, or distribution system that
the state determines to be causing, or has potential for causing, the introduction of
contamination into the water delivered to consumers.
• The initial source sample (if corrective action is required by the state) has tested positive for
fecal contamination, or
• One of the five additional ground water source samples has tested positive for fecal
contamination.
As part of their consultation with the state, the systems must address the appropriate corrective action
they should take in response to the deficiency or positive sample. In the situation where a significant
deficiency is identified and the system already provides 4-log treatment of viruses, the system must
nonetheless take corrective action (unless the treatment in place is already addressing the deficiency).
The system must implement at least one of the following corrective actions:
• Correct all significant deficiencies.
• Provide an alternate source of water.
• Eliminate the source of contamination.
• Provide treatment that reliably achieves at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved combination of 4-log virus inactivation and
removal) before or at the first customer for the ground water source.
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Within these 120 days (or the time period specified by the state), the system must either:
• Have completed corrective action according to the applicable state guidance, direction, and
plan review process.
• Be in compliance with a state-approved corrective action plan and schedule.
In addition to the treatment technique requirements, CWSs with source water fecal contamination and
CWSs and NCWSs with significant deficiencies are required to make special notice (in addition to
associated public notification requirements) to the public annually until appropriate corrective action has
been taken. See section 1.2.9 and section 6 for additional information on notification requirements.
1.2.4.1 Treatment Technique Compliance Monitoring [40 CFR 141.403(b)]
In order not to be subject to triggered source water monitoring, a GWS must notify the state that it
provides at least 4-log treatment of viruses before or at the first customer by December 1, 2009, and is
therefore not subject to the triggered source water monitoring requirements. The written notification must
include engineering, operational and other information requested by the state so that the state can evaluate
the submission. The system must then begin compliance monitoring by December 1, 2009. GWSs that
provide at least 4-log treatment of viruses before or at the first customer on or after December 1, 2009,
must notify the state that they provide treatment and conduct compliance monitoring, or they must
comply with the GWR's triggered source water monitoring requirements.
Compliance Monitoring
Systems that use chemical disinfection and serve more than 3,300 people must continuously monitor their
disinfectant concentration. Systems must maintain the minimum disinfectant residual concentration
determined by the state. If continuous monitoring equipment fails, systems must take grab samples every
4 hours until the equipment is repaired. The equipment must be repaired within 14 days.
Systems that use chemical disinfection and serve 3,300 people or fewer must take daily grab samples or
meet the continuous monitoring requirements described above for systems serving more than 3,300
people. If any daily grab sample measurement falls below the minimum state-required residual
disinfectant concentration, the system must take follow-up samples every 4 hours until the residual is
restored to the required level.
Systems using membrane filtration for 4-log treatment of viruses must monitor the membrane filtration
process according to state-specified monitoring requirements and must operate the membrane filtration
according to all state-specified compliance requirements. States can refer to EPA's Membrane Filtration
Guidance Manual (EPA 815-R-06-009, November 2005) for information on membrane filtration system
design and operation, membrane filtration testing requirements, and startup and implementation
considerations.
Systems may use alternative treatment technologies (e.g., ultraviolet [UV] radiation) approved by the
state, if the alternative treatment technology, alone or in combination (e.g., filtration with UV, filtration
with chlorination) can reliably provide at least 4-log treatment of viruses. States can refer to EPA's
Ultraviolet Disinfection Guidance Manual for the Final Long Term 2 Enhanced Surface Water Treatment
Rule (EPA 815-R-06-007, November 2006) for information on UV system design, verification, and
operation. Systems must monitor the alternative treatment according to state-specified monitoring
requirements, and must operate the alternative treatment according to compliance requirements
established by the state.
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New Sources
GWSs that bring a new ground water source into service after November 30, 2009, must meet the
triggered source water monitoring requirements or provide 4-log treatment of viruses. If directed by the
state, a system placing a new ground water source into service after November 30, 2009, must also
conduct assessment source water monitoring. The state will direct the system whether source water
assessment monitoring must begin before the ground water source is used to provide water to the public.
For more information on source water monitoring, refer to EPA's Ground Water Rule Source Water
Monitoring Methods Guidance Manual (EPA 815-R-07-019, July 2007).
If the system provides 4-log treatment of viruses, it must provide written notification to the state that they
are providing at least 4-log treatment of viruses—using inactivation, removal, or a state-approved
combination of 4-log inactivation and removal—before or at the first customer. The written notification
must include engineering, operational and other information requested by the state so that the state can
evaluate the submission. The system must conduct compliance monitoring before or at the first customer
in order to demonstrate the effectiveness and reliability of the treatment source within 30 days of placing
the source in service. If the system discontinues 4-log treatment of viruses the system is subject to the
source water monitoring and analytical methods requirements of 40 CFR 141.402.
1.2.5 Public Water System Reporting Requirements [40 CFR 141.405(a)]
Table 1-2. GWS Requirements for Reporting to the State Under the GWR
GWS Requirements for Reporting to the State
In addition to the requirements of 40 CFR 141.31, GWSs must provide the following
information to the state:
GWSs conducting compliance monitoring under 40 CFR 141.403(b):
Must notify the state any time they fail to meet any state-specified requirements
including, but not limited to: minimum residual disinfectant concentration;
membrane operating criteria or membrane integrity; and, alternative treatment
operating criteria, if operation in accordance with the criteria or requirements is not
restored within 4 hours. The system must notify the state as soon as possible, but
no later than the end of the next business day.
GWSs after completing any corrective action:
Must notify the state within 30 days of completion of the corrective action.
GWSs subject to the requirements of 40 CFR 141.402(a) that do not conduct source water
monitoring under 40 CFR 141.402(a)(5)(ii):
Must provide documentation to the state within 30 days of the total coliform-
positive sample that it met the state criteria.
Rule Cite
40 CFR 141.405(a)
40 CFR 141.405(a)(l)
40 CFR 141.405(a)(2)
40 CFR 141.405(a)(3)
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1.2.6 Public Water System Recordkeeping Requirements [40 CFR 141.405(b)]
Table 1-3. GWS Recordkeeping Requirements Under the GWR
GWS Recordkeeping Requirements
Rule Cite
In addition to the requirements of 40 CFR 141.33, GWSs must maintain the following
information in their records:
40 CFR 141.405(b)
GWSs must maintain:
Documentation of corrective actions. Documentation shall be kept for a period of
not less than 10 years.
40 CFR 141.405(b)(l)
GWSs must maintain:
Documentation of special notice to the public [40 CFR 141.403(a)(7)].
Documentation shall be kept for a period of not less than 3 years.
40 CFR 141.405(b)(2)
GWSs must maintain:
Records of decision under 40 CFR 141.402(a)(5)(ii) and records of invalidation of
fecal indicator-positive ground water source samples. Documentation shall be kept
for a period of not less than 5 years.
40 CFR 141.405(b)(3)
Consecutive GWSs must maintain:
Documentation of notification to the wholesale system(s) of total coliform-positive
samples that are not invalidated under 40 CFR 141.21(c). Documentation shall be
kept for a period of not less than 5 years.
40 CFR 141.405(b)(4)
GWSs (including wholesale systems) that are required to perform compliance monitoring
must maintain:
Records of the state-specified minimum disinfectant residual. Documentation shall
be kept for a period of not less than 10 years.
40 CFR
141.405(b)(5)(i)
GWSs (including wholesale systems) that are required to perform compliance monitoring
must maintain:
Records of the lowest daily disinfectant residual concentration and records of the
date and duration of any failure to maintain the state-prescribed minimum residual
disinfectant concentration for a period of more than 4 hours. Documentation shall
be kept for a period of not less than 5 years.
40 CFR
141.405(b)(5)(ii)
GWSs (including wholesale systems) that are required to perform compliance monitoring
must maintain:
Records of state-specific compliance requirements for membrane filtration and of
parameters specified by the state for state-approved alternative treatment and
records of the date and duration of any failure to meet the membrane operating,
membrane integrity, or alternative treatment operation requirements for more than
4 hours. Documentation shall be kept for a period of not less than 5 years.
40 CFR
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1.2.7 Public Notification of Drinking Water Violations [40 CFR 141.402 and 40 CFR
141.403(a)]
Table 1-4. GWS Public Notification Requirements Under the GWR
GWS Public Notification Requirements
GWSs that detect E. coli, enterococci, or coliphage in a source water sample, as specified
in 40 CFR141.402(a) and 40 CFR141.402(b) except when the state has invalidated the
sample as specified in 40 CFR141.402(d), must provide Tier 1 public notice.
GWSs that fail to take corrective action or be in compliance with a state-approved
corrective action plan within 120 days following a significant deficiency or fecal
indicator-positive source water sample must provide Tier 2 public notice.
GWSs that fail to comply with a state-approved schedule and plan, including state-
specified interim measures, to correct a significant deficiency and/or eliminate fecal
contamination in a ground water source at any time after state approval or state direction
pursuant to 40 CFR 141.403(a)(2) must provide Tier 2 public notice.
GWSs that fail to maintain at least 4-log treatment of viruses (using inactivation, removal,
or a state-approved combination of 4-log virus inactivation and removal) before or at the
first customer under 40 CFR 141.403(a) must provide Tier 2 public notice.
GWSs that fail to conduct required ground water source monitoring, including triggered
source water monitoring when a system has a total coliform-positive sample in the
distribution system [40 CFR 141.402(a)(2)], additional source water monitoring following
a fecal indicator-positive source water sample (if the state does not require corrective
action) [40 CFR 141.402(a)(3)], and, if required by the state, assessment source water
monitoring [40 CFR 141.402(b)], must provide Tier 3 public notice.
GWSs that fail to conduct compliance monitoring (for GWSs that are required to conduct
compliance monitoring) must provide Tier 3 public notice.
Rule Cite
40 CFR 141.202(a)
Table 1(8)
40 CFR 141.203(a)
Table 1(4)
40 CFR 141.203(a)
Table 1(1)
40 CFR 141.203(a)
Table 1(4)
40 CFR141.204(a)
Table 1(1)
40 CFR141.204(a)
Table 1(1)
1.2.8 CCR Requirements [40 CFR 141.153]
CWSs are required to report GWR treatment technique violations and monitoring violations in their
Consumer Confidence Reports (CCRs). In addition, the GWR has special notice requirements for CWS
requiring them to report additional information in their CCRs. These special notice requirements are
summarized in section 1.2.9 and described in more detail in section 3.8.3. More information on general
CCR requirements can be found at www.epa.gov/safewater/ccrl.html.
1.2.9 Special Notice Requirements [40 CFR 141.403(a)(7)]
The GWR requires special notice under specific circumstances. Special notice is a separate requirement
from public notification and CCR requirements. For CWSs, special notice is made in the CCR. NCWSs
will be required to prepare and distribute special notice in a manner approved by their state. For some of
the circumstances requiring special notice, systems will not have committed a violation. Circumstances
that require special notice differ for CWSs and NCWSs.
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Community Water Systems
A CWS that receives notice from the state of a significant deficiency or notification of a fecal indicator-
positive source water sample that is not invalidated by the state must inform its customers of the fecal
indicator-positive ground water sample or of any significant deficiency that is uncorrected in their next
CCR. CWSs with a fecal indicator-positive ground water sample must include certain mandatory
elements in their special notice, including new health effects language for fecal indicators. More details
about these requirements are provided in section 3.8 and an example of a CWS special notice is provided
in section 6.
The system must continue to inform the public with a special notice annually until the state determines
the particular significant deficiency is corrected or the fecal contamination in the ground water source was
addressed.
Noncommunity Water Systems
NCWSs must inform the public served by their water systems in a manner approved by the state of any
significant deficiency that has not been corrected within 12 months of being notified by the state (or
earlier if directed by the state). The system must continue to inform the public annually until the
significant deficiency is corrected.
1.3 Requirements of the Rule: States or Other Primacy Agencies
The following rule requirements are from the GWR published in the Federal Register on November 8,
2006 (Federal Register Volume 71, Number 216, 65574) and the rule correction published November 21,
2006 (Federal Register Volume 71, Number 224, 67427). Copies of the Federal Register are available at:
• www.epa.gov/fedrgstr/EPA-WATER/2006/November/Dav-08/w8763.pdf
• www.epa.gov/fedrgstr/EPA-WATER/2006/November/Dav-2 l/w8763 .pdf
For a copy of the actual rule language, including the published rule correction, see Appendix B, or visit
EPA's Web site at www.epa.gov/safewater/disinfection/gwr.
Section 4 of this guidance manual provides a more detailed discussion of the GWR's primacy
requirements.
In order to receive primacy for the GWR, states must adopt regulations no less stringent than the GWR
requirements. States must submit revisions to their programs, regulations, or authorities no later than
November 8, 2008, although states can request an extension of up to 2 years (i.e., until November 8,
2010). Guidance on primacy requirements is provided in Section 4.
The GWR is structured to give states flexibility to incorporate the rule's requirements into existing state
programs that are diverse in scope. States are given latitude to define several GWR requirements,
including some monitoring requirements, definitions of significant deficiencies, and design and operating
criteria. As a result, states will need to address numerous special primacy requirements in their primacy
packages. Section 4 provides guidance to states on preparing primacy materials for the GWR.
GWR Implementation Guidance 14 January 2009
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Primacy requirements of the GWR include:
• Legal authority to ensure that GWSs conduct source water monitoring, including
determination of the appropriate fecal indicators to use for source water monitoring.
• Legal authority to require correction of significant deficiencies and source water fecal
contamination.
• Legal authority to require source water monitoring, and adoption and implementation of
adequate procedures for sanitary surveys.
• Legal authority to ensure that GWSs consult with the state regarding corrective action(s).
1.3.1 Special Primacy Requirements [40 CFR 142.16(o)]
In addition to adopting basic primacy requirements specified in 40 CFR 142, states are required to adopt
primacy provisions pertaining to specific regulations where implementation of the rule involves activities
beyond general primacy provisions. States must include these rule-distinct provisions in an application for
approval or revision of their programs. Refer to section 4.4 for additional information on special primacy
requirements.
1.3.2 Records Kept by States [40 CFR 142.14(d)(17)]
Table 1-5. State Recordkeeping Requirements
State Recordkeeping Requirements
Each State which has primary enforcement responsibility shall retain, for not less
than 12 years, files which shall include for each such public water system in the
state:
Records of the currently applicable or most recent state determinations,
including all supporting information and an explanation of the technical basis
for each decision, made under the following provisions of the GWR:
Section 142. 16(o)(2)(\) - Records of written notices of significant
deficiencies
Section I4l.403(a)(5)(ii) - Records of corrective action plans and schedule
approval and/or state-specified interim measures.
Section I42.l6(o)(4) - Records of confirmation that a significant deficiency
has been corrected or source water fecal contamination has been addressed.
Section 141.402^(5) - Records of state determinations and records of GWS
documentation for not conducting triggered source water monitoring.
Section 141.402(d) - Records of state determination to invalidate fecal
indicator-positive source water samples.
Section 141.402(a)(2)(ii) - Records of state approval of source water
monitoring plans.
Rule Cite
40CFR142.14(d)
40CFR142.14(d)(17)
40CFR142.14(d)(17)(i)
40CFR142.14(d)(17)(ii)
40CFR142.14(d)(17)(iii)
40CFR142.14(d)(17)(iv)
40CFR142.14(d)(17)(v)
40CFR142.14(d)(17)(vi)
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State Recordkeeping Requirements
Section 142.16(o)(4)(ii) - Records of notices of the minimum residual
disinfection concentration (when using chemical disinfection) needed to
achieve at least 4-log virus inactivation before or at the first customer.
Sections 142.16(o)(4)(iv) and 142.16(o)(4)(v) - Records of notices of state-
specified monitoring and compliance requirements (when using membrane
filtration or alternative treatment) needed to achieve at least 4-log treatment of
viruses (using inactivation, removal, or a state-approved combination of 4-log
inactivation and removal) before or at the first customer.
Sections 141.403(b)(l) and 141.403(b)(2) - Records of written notice from a
GWS that provides at least 4-log treatment of viruses (using inactivation,
removal, or a state-approved combination of 4-log inactivation and removal)
before or at the first customer for a ground water source.
Section 142.16(o)(4)(vi) - Records of written determinations that a GWS may
discontinue 4-log treatment of viruses (using inactivation, removal, or a state-
approved combination of 4-log inactivation and removal).
Rule Cite
40CFR142.14(d)(17)(vii)
40 CFR 142.14(d)(17)(viii)
40CFR142.14(d)(17)(ix)
40CFR142.14(d)(17)(x)
1.3.3 State Reporting Requirements [40 CFR 142.15(c)(7)]
Under 40 CFR 142.15, EPA currently requires states to report to EPA information such as violations,
variance and exemption status, and enforcement actions. Table 1-6 describes the additional reporting
requirements for states under the GWR. Section 5 of this guidance manual provides information on
SDWIS reporting for the GWR.
Table 1-6. State Requirements for Reporting to EPA
State Requirements for Reporting to EPA
Rule Cite
For sanitary surveys:
The month and year in which the most recent sanitary survey was
completed or, for a state that uses a phased review process, the date the
last element of the applicable eight elements was evaluated under 40
CFR 142.16(o)(2) for each GWS.
40CFR142.15(c)(7)(i)
For corrective action requirements:
For any corrective action taken under 40 CFR 141.403 (a), the date the
GWS completed corrective action.
40CFR142.15(c)(7)(ii)
For compliance monitoring:
All GWSs providing at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved combination of 4-log virus
inactivation and removal) before or at the first customer for any ground
water source(s).
40CFR142.15(c)(7)(iii)
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1.4 Summary of Requirements
1.4.1 Applicability and Compliance Dates
The GWR addresses fecal contamination in systems that use ground water sources. The rule applies to
both CWSs and NCWSs, regardless of size. The GWR applies to all PWSs that:
• Rely entirely on one or more ground water sources;
• Are consecutive systems that receive finished ground water; or,
• Mix surface and ground water, where ground water is added directly to the distribution
system and provided to consumers without treatment equivalent to the treatment provided
for surface water.
The GWR does not apply, however, to PWSs that combine all of their ground water with surface water
before the treatment required for surface water systems is applied.
The GWR requires GWSs that provide at least 4-log treatment of viruses using chemical disinfection,
membrane filtration, or a state-approved alternative treatment technology to provide written notification
that demonstrates the treatment effectiveness, no later than December 1, 2009, in order for the systems to
not be required to conduct triggered source water monitoring. These systems must also begin compliance
monitoring by December 1, 2009. The written notification must include engineering, operational and
other information requested by the state so that the state can evaluate the submission.
More information can be obtained from:
A. The GWR published on November 8, 2006 (71 FR 65574 and available at:
www.epa.gov/fedrgstr/EPA-WATER/2006/November/Dav-08/w8763.pdf
and a rule correction published on November 21, 2006 (71 FR 67427) and available at:
www.epa.gov/fedrgstr/EPA-WATER/2006/November/Dav-2 l/w8763 .pdf
B. The EPA Safe Drinking Water Hotline, Telephone: (800) 426-4791
This rule contains no early implementation requirements. The timetable for the GWR is presented in
Table 1-7 summarizes key compliance dates required (bold) by the GWR as well as suggested action
dates (shaded).
Table 1-7. Summary of Action Dates for the Ground Water Rule
Key Dates of Rule
November 8, 2006
November 2 1,2006
November 22, 2006
August 8, 2008
GWR Requirements
GWR published in Federal Register
GWR correction published in Federal Register
GWR promulgated
States are encouraged to submit final primacy applications
to EPA.
or extension requests
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Key Dates of Rule
November 8, 2008
November 30, 2009
December 1, 2009
Augusts, 2010
November 8, 2010
December 31, 2012
December 31, 2014
GWR Requirements
Final primacy revision applications for GWR must be submitted to the
EPA regional administrator, unless state is granted an extension.
New ground water sources put in place after this date must meet triggered
source water monitoring requirements or provide 4-log treatment of
viruses.
GWR compliance date - all GWSs must comply.
GWSs for which the state has identified a significant deficiency
(during a sanitary survey) and GWSs at which at least one of the
five additional ground water source samples (or at state discretion,
the initial source sample) has tested positive for fecal
contamination must comply with the treatment technique
requirements.
GWSs must conduct triggered source water monitoring if the
system does not provide at least 4-log virus inactivation, removal,
or a state-approved combination of these technologies before or at
the first customer and the system is notified that a sample collected
for the TCR is total coliform-positive.
GWSs providing at least 4-log virus inactivation, removal, or a
state-approved combination of these technologies before or at the
first customer must notify the state in writing of the effectiveness
and reliability of the treatment and begin compliance monitoring
in order not to have to comply with the triggered source water
monitoring requirements. The written notification must include
engineering, operational, and other information the state requests.
States with approved extension agreements are encouraged to submit final
primacy applications to EPA.
Final primacy applications must be submitted to the EPA regional
administrator for systems with a full 2 year extension. [40 CFR
142.12(b)(l)]
State must complete first round of sanitary surveys for CWSs (with the
exception, if the state decides, of CWSs that provide at least 4-log treatment
of viruses — using inactivation, removal, or a state-approved combination of
4-log inactivation and removal — before or at the first customer for all its
ground water sources or CWSs that the state has determined have an
outstanding performance record).
State must complete first round of sanitary surveys for NCWSs and any
CWSs that have qualified to have surveys conducted at a frequency of once
every 5 years.
The following flowchart depicts the general requirements of the rule for all systems (Figure 1.1).
Additional rule flowcharts are in Appendix D of this guidance manual.
GWR Implementation Guidance
18
January 2009
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Figure 1-1. Ground Water Rule Requirements
All CWSs and NCWSs, regardless of size that:
• Rely entirely on one or more ground water sources;
• Are consecutive systems that receive finished ground water; or,
• Mix surface and ground water, where ground water is added directly to the distribution system and provided to
consumers without treatment equivalent to the treatment provided for surface water.
Ground water systems must provide the state, at the state's
request, information to allow the state to conduct a sanitary
survey every 3 or 5 years
Did the state
dentify any significant
deficiency ?
Eliminate the source of
contamination, correct
the significant
deficiency, or
provide an alternate
water source
Provide treatment that
reliably achieves 4-log
inactivation or removal
of viruses
System must perform
compliance monitoring to
demonstrate 4-log inactivation
or removal of viruses
Does the system
disinfect prior to the
first customer?
Does the entry point
achieve 4-log inactivation or
removal of viruses?
Did the system
collect 5 additional source
water samples?
Has the system
detected fecal contamination
through triggered source
water monitoring?
Was a fecal
indicator detected?
GWR Implementation Guidance
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January 2009
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GWR Implementation Guidance 20 January 2009
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Section 2
Resources and Guidance
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In addition to this Implementation Guidance Manual, a variety of resource materials and technical
guidance documents have been prepared by EPA to facilitate understanding and implementing the GWR.
This section is an overview of each of these resources and includes instructions on how to obtain the
documents.
2.1 Technical Guidance Manuals
The following six technical guidance manuals have been or are being developed to support the GWR.
These manuals will aid EPA, state agencies, and affected PWSs in implementing this rule and will help
ensure that the implementation among these groups is consistent.
• Ground Water Rule Source Assessment Guidance Manual. 815-R-07-023, July 2008. The
objective of this guidance manual is to provide states, tribes, and other primacy agencies
with a brief review of hydrogeologic sensitivity assessments, an overview of the
characteristics of a sensitive aquifer, information about how source water assessments may
be used, and how to determine if a sensitive aquifer has a hydrogeologic barrier. Available at
www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
• Ground Water Rule Source Water Monitoring Guidance. EPA 815-R-07-019. Rev. March
2007. The objective of this guidance document is to provide ground water systems, states,
tribes, and other primacy agencies with a brief review of the source water monitoring
provisions. Since the primacy agencies may select one of three fecal indicators (e.g., E. coll,
enterococci, coliphage) that the system would be required to test for in the ground water
source sample, the source water monitoring guidance manual provides criteria to assist
primacy agencies in their determination of which fecal indicator is most appropriate. EPA
revised this guidance document in March 2008 to clarify text describing the analytical
methods approved for use for source water monitoring under the GWR. Available at
www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
• Complying with the Ground Water Rule: Small Entity Compliance Guide One of the Simple
Tools for Effective Performance (STEP) Guide Series. EPA 815-R-07-018. July 2007. This
guidance document is intended to be an official compliance guide to the GWR for small
public water systems, as required by the Small Business Regulatory Enforcement Fairness
Act of 1996. This guide contains a general introduction and background for the GWR,
describes the specific requirements of the GWR and provides information on how to comply
with those requirements. Available at
www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
• Consecutive System Guide for the Ground Water Rule. EPA 815-R-07-020. July 2007. The
consecutive system guidance manual describes the regulatory requirements of the GWR as it
applies to wholesale GWSs and to the consecutive GWSs that receive and distribute that
ground water supply. Available at
www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
• Ground Water Rule Corrective Action Guidance Manual. 815-R-08-011, November 2008.
The objective of the corrective action guidance manual is to provide states, tribes, other
primacy agencies and ground water systems with an overview of the treatment technique
requirements of the GWR. The guidance manual will provide assistance with determining
the information that should be included in a systems corrective action plan. Available at
www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
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• Sanitary Survey Guidance Manual for Ground Water Systems. 815-R-08-015, October 2008.
The objective of the sanitary survey guidance manual is to provide states, tribes, and other
primacy agencies with a brief review of the sanitary survey regulatory provisions, give
specific examples of what may constitute a significant deficiency, and provide a checklist of
elements that should be evaluated during the course of a sanitary survey inspection.
Available at www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
In addition to the technical guidance manuals developed to support the GWR, EPA has developed other
guidance manuals that may help primacy agencies and affected PWSs with implementing the GWR.
• Guidance Manual for Conducting Sanitary Surveys of Public Water Systems; Surface Water
and Ground Water Under the Direct Influence (GWUDI). EPA 815-R-99-016. April 1999.
Available at www.epa.gov/safewater/mdbp/implement.html.
• Guidance Manual for Compliance with the Filtration and Disinfection Requirements for
Public Water Systems Using Surface Water Sources. March 1991. Available at
www. epa. gov/safewater/mdbp/implement .html.
• Alternative Disinfectants and Oxidants Guidance Manual. EPA 815 -R-99-014. April 1999.
Available at www.epa.gov/safewater/mdbp/implement.html.
• Disinfection Profiling and Benchmarking Guidance Manual. EPA-815 -R-99-013. August
1999. Available atwww.epa.gov/safewater/mdbp/implement.html.
• Disinfection profile/CT spreadsheet. April 2001. Available at
www .epa. gov/safewater/mdbp/implement .html.
• Revised Public Notification Handbook. EPA 816-R-07-003. March 2007. Available at
www.epa.gov/safewater/publicnotification/compliancehelp.html.
• Revised State Implementation Guidance for the Consumer Confidence Report (CCR) Rule.
EPA 816-R-01-002. January 2001. Available at
www.epa.gov/safewater/ccr/compliancehelp.html.
• Preparing Your Drinking Water Consumer Confidence Report Revised Guidance for Water
Suppliers. EPA 816-R-05-002. April 2005. Available at
www.epa.gov/safewater/ccr/compliancehelp.html.
• Manual for the Certification of Laboratories Analyzing Drinking Water. 5th ed. EPA 815-R-
05-004. January 2005. Available at
www .epa. gov/safewater/methods/laboratorycertification .html.
• Simultaneous Compliance Guidance Manual For The Long Term 2 And Stage 2 DBF Rules.
EPA 815-R-07-017. March 2007. Available at
www.epa.gov/safewater/disinfection/lt2/compliance.html.
• Ultraviolet Disinfection Guidance Manual for the Final Long Term 2 Enhanced Surface
Water Treatment Rule. EPA 815-R-06-007. November 2006. Available at
www.epa.gov/safewater/disinfection/lt2/compliance.html.
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• Membrane Filtration Guidance Manual: Overview and Summary. Available at
www.epa.gov/safewater/disinfection/lt2/compliance.html.
• Membrane Filtration Guidance Manual. EPA 815-R-06-009. November 2005. Available at
www.epa.gov/safewater/disinfection/lt2/compliance.html.
For more information, contact EPA's Safe Drinking Water Hotline at (800) 426-4791, or see the Office of
Ground Water and Drinking Water Web site. The GWR and guidance documents are located at
www.epa.gov/safewater/disinfection/gwr.
2.2 Rule Presentation
Presentations that can be used for workshops on the GWR will be available in PowerPoint format on
EPA's Web site: www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
2.3 Fact Sheet and Quick Reference Guide
Factsheets and Quick Reference Guides for the GWR may be useful for conveying basic information
about the rule to water systems, new personnel, and stakeholders. These stand alone documents are
included in Appendix C of this guidance manual. They are:
• Ground Water Rule Factsheet:
- General Rule Requirements. EPA 816-F-08-028. June 2008.
Monitoring Requirements. EPA 816-F-08-025. June 2008.
- Sanitary Surveys. EPA 816-F-08-027. June 2008.
- Public Notification, Consumer Confidence Report, and Special Notice Requirements
for Community Water Systems. EPA 816-F-08-026. June 2008.
- Public Notification and Special Notice Requirements for Noncommunity Water
Systems. EPA 816-F-08-030. June 2008.
• Ground Water Rule: A Quick Reference Guide. EPA 816-F-08-029. June 2008.
• Ground Water Rule Triggered and Representative Monitoring: A Quick Reference Guide.
EPA 815-F-08-004. July 2008.
• Ground Water Rule Compliance Monitoring: A Quick Reference Guide. EPA 815-F-08-008.
July 2008.
• Ground Water Rule Sample Collection and Transport: A Quick Reference Guide. EPA
815-F-08-007. July 2008.
• Total Coliform Rule: A Quick Reference Guide. EPA 816-F-01-035. November 2001.
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2.4 Questions & Answers
Questions and Answers (Q&As) on the GWR will be provided in this section. These questions have been
asked of EPA through the Safe Drinking Water Hotline, implementation training, or other means.
PWS Questions
Background Information
Ql. What is the purpose of the Ground Water Rule (GWR)?
Al. The purpose of the GWR is to provide for increased protection against microbial pathogens,
specifically viral and bacterial pathogens, in public ground water systems (GWSs). EPA is
particularly concerned about GWSs that are susceptible to fecal contamination because these
systems may be at risk of supplying water that contains harmful microbial pathogens.
Q2. To which public water systems (PWSs) does the GWR apply?
A2. The GWR applies to all public GWSs that use wells or other ground water sources except for
PWSs that combine all of their ground water with surface water or with ground water under
the direct influence (GWUDI) of surface water before the water is treated. Consecutive
systems that receive finished ground water are also considered GWSs and must comply with
the requirements of the GWR.
Q3. When do GWSs need to comply with the requirements of the GWR?
A3. As of December 1, 2009, GWSs will be required to comply with the applicable GWR
requirements for:
• Triggered source water monitoring.
• Assessment monitoring (if required by the State).
• Compliance monitoring.
• Corrective actions.
If a GWS does not know by December 1, 2009, whether it provides 4-log inactivation and/or
removal of viruses, the GWS should inform the state in writing that it is not certain whether
it provides 4-log inactivation or removal of viruses, and provide information to the state that
would help determine if it provides enough treatment to reliably achieve 4-log inactivation
or removal. In the meantime, until it is determined whether or not the GWS provides
adequate treatment and the GWS begins compliance monitoring, the GWS should conduct
triggered source water monitoring in response to any routine Total Coliform Rule (TCR)
total coliform-positive samples.
GWR Implementation Guidance 26 January 2009
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Q4. What are the key provisions of the GWR?
A4. The key provisions of the GWR include:
• Periodic on-site reviews and inspections of GWSs and identification of significant
deficiencies.
• Requirements to correct significant deficiencies and eliminate/treat fecal contamination
through specified corrective actions.
• Source water monitoring to test for the presence of fecal indicator(s).
• Compliance monitoring to ensure that treatment technologies installed to treat drinking
water reliably achieve at least 99.99 percent (4-log) inactivation or removal of viruses.
Q5. Where can a PWS find EPA resources on the GWR?
A5. Information can be found online at: www.epa.gov/safewater/disinfection/gwr/.
These include factsheets, quick reference guides, and various guidance manuals.
Q6. How does the GWR apply to seasonal systems?
A6. All public GWSs that use wells or other ground water sources must monitor under the GWR
[either in response to a TCR total coliform-positive result or daily as part of compliance
monitoring] for each day that they provide ground water to the public.
Q7. What is the relationship between the GWR and the TCR?
A7. The TCR and GWR work together. The GWR builds on the TCR by addressing the health
risks of fecal contamination in GWSs. The GWR builds on the public health protection
provided by the TCR by requiring systems to collect a ground water source sample for each
routine distribution system sample taken under the TCR that is total coliform-positive.
Because a total coliform-positive sample in the distribution system may be caused by either
a distribution system problem or source water contamination, the GWR triggered source
water monitoring provision is necessary to distinguish between these two possible causes of
contamination.
Monitoring
Q8. What is the difference between E. coli and fecal coliforms in terms of monitoring?
A8. Fecal coliforms, also referred to as thermotolerant coliforms, are a subset of total coliform
bacteria that are capable of growth and lactose fermentation at elevated incubation
temperatures (44.5°C). The fecal coliform group consists mostly of E. coli, however some
other environmental coliform strains, such as Klebsiella and Citrobactor, have also been
found to be capable of growth at this elevated temperature and are thus included in the fecal
coliform group. Therefore, in the fecal coliform group there may be environmental bacteria
not typically associated with disease in humans. The occurrence of these environmental
bacteria in this group has diminished correlation of this group with fecal contamination and
E. coli has emerged as a more useful indicator of fecal contamination in public water
supplies. E. coli has been included as a fecal indicator under the Ground Water Rule, while
fecal coliforms are not used.
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Q9. If a GWS is informed that it has a TCR total coliform-positive routine sample, but the TCR
repeat samples are negative, does the system still monitor the source water for a fecal
indicator even though the TCR total coliform-positive repeats are negative?
A9. Yes, the GWR requires the system to collect triggered source water sample(s) within 24
hours of learning of a total coliform-positive routine TCR sample result. The TCR repeat
samples have no bearing on whether triggered source water monitoring is required under the
GWR.
Q10. If a system provides 4-log treatment and is conducting compliance monitoring and it has a
total coliform-positive result, does it have to do triggered source water monitoring?
A10. No. Systems approved for and conducting compliance monitoring do not need to meet the
GWR triggered source water monitoring requirements.
Qll. If a GWS provides 4-log treatment and decides to be subject to triggered source water
monitoring rather than compliance monitoring, does the system get a violation if it does not
do compliance monitoring?
All. Not under the GWR, unless the GWS is providing 4-log treatment as part of a corrective
action. Otherwise, under the GWR a GWS has the discretion to choose to be subject to
triggered source water monitoring rather than conduct compliance monitoring. If a GWS
opts to be subject to triggered source water monitoring rather than compliance monitoring,
the GWS is not required to notify the state that it provides 4-log treatment of viruses. States
may, however, have additional notification and compliance monitoring requirements than
those in the GWR.
Q12. Is the minimum disinfection residual concentration for GWSs conducting compliance
monitoring set on a system-by-system basis or is there one level for all the systems?
A12. States have the discretion to set one level for all systems, but EPA recommends states set a
minimum disinfectant residual for each system since achieving virus inactivation depends so
much on contact time, which varies by system and by source (even within systems). EPA has
developed a tool to help water systems determine their disinfection contact time that is
available on EPA's website at www.epa.gov/safewater/disinfection/index.html.
Q13. What are the requirements before a system can bring a new source on-line?
A13. New sources are subject to triggered source water monitoring unless the system will provide
4-log treatment of the water from the source and will conduct compliance monitoring. If a
GWS will be conducting compliance monitoring, the GWR requires compliance monitoring
to begin within 30 days of the source coming on-line. Otherwise, water from the source is
subject immediately to the triggered source water monitoring requirements. States may
require source water monitoring prior to a source coming on-line.
GWR Implementation Guidance 28 January 2009
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Consecutive/Wholesale Systems
Q14. What does a consecutive system (not providing 4-log treatment and not conducting
compliance monitoring) have to do in response to a TCR total coliform-positive result?
A14. In addition to the existing requirements for follow-up under the TCR, the consecutive system
must notify all wholesale system(s) within 24 hours of being notified of the total coliform-
positive sample.
EPA has not developed a prescribed method for GWSs to inform consecutive or wholesale
systems of a positive sample(s) taken under the TCR or GWR. EPA suggests that the
systems contact one another as soon as possible after a positive result. While registered mail
is not likely to be an effective way to reach the wholesale or consecutive system within the
required 24-hour timeframe, written follow-up by mail might be a good idea. GWSs are
encouraged to establish a communication protocol prior to December 1, 2009 so that if
notification becomes necessary, a plan is in place. EPA has developed the Consecutive
System Guide for the Ground Water Rule that provides some ideas on how to communicate
with the wholesale system.
Q15. What does a wholesale ground water system (not providing 4-log treatment or conducting
compliance monitoring under the GWR) have to do in response to a notice from a consecutive
system that it had a TCR total coliform-positive sample?
A15. If a wholesale GWS receives notice from a consecutive system it serves that a sample the
consecutive system took under the TCR is total coliform-positive, the wholesale GWS must
conduct triggered source water monitoring. The wholesale system must collect a sample
from the ground water source(s) serving the consecutive system and analyze the source
water sample(s) for a fecal indicator within 24 hours of being notified by the consecutive
system. If the triggered source water sample is positive for the fecal indicator, the wholesale
system must notify all consecutive systems served by that source within 24 hours of the
positive sample result. The wholesale system and any consecutive systems served by the
fecal indicator-positive source must all notify their consumers within 24 hours of learning of
the result. If the state does not require corrective action for this fecal indicator-positive
sample, the wholesale system must collect five additional source water samples from the
same source within 24 hours of receiving notification of the fecal indicator-positive sample.
State Questions Regarding the GWR
Q16. How does a state set the minimum residual for a system conducting compliance monitoring?
Are there options?
A16. There are options. States must describe how they will make this determination in their
primacy package. States should set a minimum residual level that accounts for variable
contact times and/or baffling factors at the water systems. States may also consider setting a
variable minimum residual level to allow for changes in contact time (CT) (such as seasonal
changes in water flow). CT tables have been developed by EPA and are included in Section
4 of the Ground Water Rule Implementation Guidance Manual.
GWR Implementation Guidance 29 January 2009
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Q17. If a state is requiring all systems to provide 4-log virus treatment and conduct compliance
monitoring, does a system need to provide notification to the state that it provides 4-log
treatment and will be conducting compliance monitoring?
A17. Yes. Under the federal recordkeeping requirements states are required to keep the notice
from the system saying that it provides 4-log treatment and is conducting compliance
monitoring [40 CFR 142.14(d)(17)(ix)]. An example form that GWSs could use to notify
their state that they provide 4-log treatment of viruses is provided in Section 3 of the Ground
Water Rule Implementation Guidance Manual. States may want to recommend to systems
that they check with their state to learn what options they have to satisfy this requirement.
Q18. For corrective actions, can the state select a mix and match of the 4 options?
A18. Yes, states have that discretion. The state may allow systems to do one or more of the
following:
• Correct all significant deficiencies
• Provide an alternate source of water
• Eliminate the source of contamination
• Provide treatment that reliably achieves 99.99 percent (4-log) inactivation and/or
removal of viruses.
Q19. In response to a fecal indicator-positive triggered source water monitoring sample, are states
going to uniformly require additional monitoring, uniformly require all systems to go directly
to corrective action, or decide on a case-by-case basis?
A19. This depends on each state. Some states are planning on universal additional monitoring and
others are planning on requiring corrective action immediately in response to any fecal
indicator positive source water sample.
Q20. Can a state allow a system to skip triggered source water monitoring and go directly to
corrective action?
A20. No. If a GWS is not already providing 4-log treatment and conducting compliance
monitoring, triggered source water sample(s) must be collected in response to a total
coliform-positive routine TCR sample, unless the TCR sample meets one of the two
triggered monitoring exceptions described in the GWR. Triggered source water samples
must be collected regardless of whether or not the GWS will take corrective action.
Q21. Can the state's primacy application be written in a way to provide standing criteria that the
state can use to extend the 24-hour time period for triggered source water monitoring so that
the state doesn't have to do it on a case-by-case basis?
A21. Yes. In addition, states and GWSs can include it as part of a rural/isolated system's approved
monitoring plan. This is consistent with how states addressed this issue in their TCR primacy
packages.
Q22. Does assessment source water monitoring have any related federal monitoring or treatment
technique requirements?
A22. No. Assessment source water monitoring allows for state discretion in determining what is
needed to make the best decision regarding potential fecal contamination. However, if a
GWR Implementation Guidance 30 January 2009
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fecal indicator-positive source sample is found during assessment monitoring, the GWS will
be required under the GWR to fulfill public notification requirements under 40 CFR
141.403(a)(7).
Q23. What is EPA's position on monitoring in unsafe conditions?
A23. Operators should not be sent out to sample in unsafe conditions. Monitoring requirements,
however, should be extended but not waived. The state can provide systems with additional
time (if needed) on a case-by-case basis.
Q24. How frequently are sanitary surveys required?
A24. Sanitary surveys must be conducted for every GWS regardless of its size or type. Each state
must conduct a sanitary survey at community GWSs every 3 years and at community GWSs
that either conduct compliance monitoring or have been deemed by the state to have
outstanding performance every 5 years. Sanitary surveys of noncommunity GWSs must be
conducted every 5 years. Initial sanitary surveys of community GWSs must be completed by
December 31, 2012; initial surveys of community GWSs conducting compliance monitoring
or deemed to have outstanding performance, as well as initial surveys of noncommunity
GWSs, must be completed by December 31, 2014. States can refer to EPA's Ground Water
Rule Factsheet: Sanitary Surveys for more information.
Q25. Is the deadline for sanitary surveys of community GWSs three years after the last one or is
the deadline the end of the calendar year three years later?
A25. The deadline is three years after the last survey was completed. For example, if a sanitary
survey was conducted in June 2010, the next one is due no later than May 31, 2013.
Q26. Can states use information from other programs, like source water protection and operator
certification, to meet the sanitary survey requirements?
A26. Yes. States can use other programs' reviews and results to meet the requirements of the eight
elements of the sanitary survey.
Q27. What information must be kept by the state for the sanitary survey requirements?
A27. For SDWIS, records of sanitary surveys include the month and year of the survey; in
addition, the state should keep copies of the survey itself on file for 12 years [40 CFR
Q28. If a state currently has 60 days to get the Sanitary Survey Report out to the system, can the
state take 60 days to notify the system of its significant deficiency?
A28. No. The GWR gives states only 30 days to provide written notice of any significant
deficiencies found during sanitary surveys. The state can, however, notify the system at the
time of the survey by providing written documentation of the problem (such as a copy of the
sanitary survey report noting the issue).
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Q29. If, during a sanitary survey, the inspector finds a bad seal (but cracked slab is listed in the
primacy package as a significant deficiency), is the state limited to the significant deficiency
in the primacy package?
A29. It depends how the state handled it in its regulation. If possible, states should give
themselves some flexibility when identifying significant deficiencies. One way for a state to
do this is to preface a list of significant deficiencies with language such as "including but not
limited to...". This would give the state some latitude to make a determination on a case-by-
case basis, since foreseeing every possible significant deficiency is impossible. In their
primacy packages, states have to provide only one example of a significant deficiency for
each of the eight elements of the sanitary survey.
Q30. Does the state have to describe in its primacy package what it will require for special notice,
particularly for NCWSs?
A30. No. The state can determine what is most appropriate on a case-by-case basis.
GWR Implementation Guidance 32 January 2009
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Section 3
State Implementation
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3.1 Overview of Implementation
Ground Water Systems (GWSs) are required to take specific actions to comply with the Ground Water
Rule (GWR). Primacy agencies should clearly define the monitoring, reporting, performance, and follow-
up requirements of the GWR to help systems understand how the rule will affect them and what they must
do to comply. To meet this goal, primacy agencies are expected to carry out numerous implementation
activities, including:
• Identifying affected systems by the rule requirements.
• Communicating requirements to the affected systems.
• Updating data management systems.
• Performing sanitary surveys at prescribed intervals for community water systems (CWSs)
and noncommunity water systems (NCWSs).
• Notifying systems of significant deficiencies or source water fecal contamination in a timely
manner and explaining the schedule and steps a system should follow in response.
• Tracking regulated system compliance progress and implementing enforcement action as
needed.
• Determining which fecal indicators the state will allow to be used to meet source water
monitoring requirements.
• Having the authority to designate an appropriate fecal indicator for use in identifying fecal
contamination after a positive total coliform sample under triggered monitoring or optional
assessment monitoring provisions.
• Determining which systems will be required to conduct source water assessment monitoring.
• Directing systems to conduct assessment source water monitoring, in accordance with state-
determined requirements for such monitoring.
• Consulting with systems regarding any system changes.
This section discusses each of these items. To help state implementation efforts, Sections 3 and 4 of this
guidance manual offer suggestions and alternatives that go beyond the minimum primacy agency
requirements specified in the subsections of 40 CFR 142.16. Such suggestions are prefaced by "may" or
"should" and are to be considered advisory. They are not required elements of state applications for
program revision.
3.2 Identify Affected Systems
Different provisions of the GWR apply to different types (i.e., CWS, NCWS) and sizes of GWSs. In
addition, some requirements have different compliance deadlines based on system type. This section
discusses which different GWSs are affected by the various provisions of the GWR.
GWR Implementation Guidance 35 January 2009
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3.2.1 General Provisions [40 CFR 141.400(b)]
The GWR applies to public water systems (PWSs) that use ground water, except for PWSs that combine
all of their ground water with surface water or with ground water under the direct influence of surface
water (GWUDI) (Subpart H systems) before the water is treated. These systems must comply instead with
requirements for surface water systems. Consecutive systems that receive finished ground water are also
considered GWSs and must comply with the requirements of the GWR. States may wish to query or sort
their databases or other inventory information to list all PWSs that use ground water (and do not combine
it with surface water or GWUDI of surface water before treatment).
Mixed Systems
As mentioned, systems using both surface water and ground water, often referred to as "mixed systems,"
may have to comply with GWR requirements. If a PWS does not combine all its ground water with
surface water and treat all of that water according to the treatment requirements for surface water systems,
the system will have to comply with the requirements of the GWR. For example, if a PWS has a ground
water supply that enters the distribution system at a different entry point than the entry point where its
surface water is entering the distribution system, the PWS will have to comply with GWR requirements.
As another example, if a PWS' surface water and ground water supplies enter the distribution system via
a common entry point but some or all of the ground water by-passes the surface water treatment plant, the
system has to comply with the GWR. Those systems that use ground water sources seasonally (and do not
treat all of the ground water as if it were a surface water supply) have to comply with GWR requirements
while the ground water source is in use. Finally, systems that purchase water and have their own source
have to comply with GWR requirements if any of its water sources is ground water, and that ground water
is not treated according to the treatment requirements for surface water systems.
3.2.2 Sanitary Surveys [40 CFR 142.16(o)(2)(i)]
The GWR has minimum primacy requirements that apply to states for the frequency and content of
sanitary surveys of CWSs and NCWSs. Since these are minimum requirements, the state may conduct
more frequent sanitary surveys for any system, and may choose not to limit their sanitary surveys to the
general requirements that are provided in 40 CFR 142.16(o)(2). Note that compliance with the Total
Coliform Rule (TCR) sanitary survey requirements may not meet the revised scope and frequency of
sanitary survey requirements stated here.
Community GWSs
States are required to conduct sanitary surveys of community GWSs at least once every 3 years unless
either of the following conditions applies:
• The GWS provides at least 4-log treatment of viruses (using inactivation, removal, or a state-
approved combination of 4-log inactivation and removal) before or at the first user for all its
ground water sources and conducts state required monitoring to ensure continuous
compliance.
• The GWS has an outstanding performance record, as determined by the state and
documented in previous sanitary surveys and has no history of total coliform maximum
contaminant level (MCL) or monitoring violations under the TCR since the last sanitary
survey.
GWR Implementation Guidance 36 January 2009
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If either of these conditions applies, the state may conduct a sanitary survey of the community GWS once
every 5 years instead of once every 3 years.
The state must conduct the first sanitary survey, to meet the revised sanitary survey scope, for all
community GWSs by December 31, 2012, unless the system has been put on a survey schedule of once
every 5 years, as described above. For such systems, the state must complete all of the first sanitary
surveys by December 31, 2014.
Noncommunity GWSs
States are required to conduct sanitary surveys of noncommunity GWSs at least once every 5 years. The
GWR does not allow additional time between surveys based on whether the NCWS has treatment in place
or has demonstrated outstanding performance. The state must conduct the first sanitary surveys, to meet
the revised sanitary survey scope, for all NCWSs by December 31, 2014.
3.2.3 Triggered Source Water Monitoring [40 CFR 141.402(a)]
Triggered source water monitoring is required for all GWSs that do not provide at least 4-log treatment of
viruses (using inactivation, removal, or a state-approved combination of 4-log virus inactivation and
removal) before or at the first customer for each ground water source and are not conducting compliance
monitoring. Triggered monitoring must be carried out if a system is notified that a sample the system
collected for compliance with the TCR is total-coliform positive.
Consecutive and Wholesale Systems
The GWR has additional triggered source water monitoring requirements that apply to consecutive
systems and their wholesale GWSs. If a consecutive system is notified that a sample it collected for
compliance with the TCR is total-coliform positive, that consecutive system is required to notify its
wholesale system of the positive sample. The wholesale system is then required to perform triggered
source water monitoring, as described above. If a triggered source water sample collected by the
wholesale system is positive for a fecal indicator, the wholesale system must notify all consecutive
systems served by that ground water source of the fecal indicator source water positive result. For more
information and guidance on the GWR requirements for consecutive systems, refer to EPA's Consecutive
System Guide for the Ground Water Rule (EPA 815-R-07-020, July 2007) available at
www.epa.gov/safewater/disinfection/gwr/pdfs/guide gwr consecutive-guidance.pdf GWSs must comply
with the triggered source water monitoring requirement beginning December 1, 2009.
3.2.4 Treatment Technique Requirements [40 CFR 141.403(a)]
The GWR treatment technique requirements apply to all GWSs when a significant deficiency is identified
or when a source water sample indicates that a ground water source is fecal indicator-positive. The GWR
requires these systems to consult with the state within 30 days of receiving written notice of the
significant deficiency or written notice of the fecal indicator-positive result. It is important that the state
and the system communicate effectively during this time period. An open, active channel of
communication improves the likelihood of developing a mutually acceptable corrective action schedule
and informed, timely responses from the state to questions the system may have.
GWR Implementation Guidance 37 January 2009
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3.2.5 Compliance Monitoring [40 CFR 141.403(b)]
The GWR's compliance monitoring requirements apply to all community and noncommunity GWSs that
provide at least 4-log treatment of viruses (using inactivation, removal, or a state-approved combination
of 4-log virus inactivation and removal) before or at the first customer for each ground water source.
Existing GWSs must notify the state if they provide 4-log treatment of viruses and begin compliance
monitoring by December 1, 2009. New ground water sources placed in service after November 30, 2009,
that provide at least 4-log virus treatment must begin compliance monitoring within 30 days of placing
the source in service.
Many GWSs have not documented or do not know if they provide 4-log treatment of viruses. Those
systems should notify the state that they provide treatment and submit supporting information, but they
should conduct triggered source water monitoring until the state has accepted information confirming that
the system provides 4-log treatment of viruses. States may want to require systems to submit information
about the extent of baffling in their tanks or clearwells, depending on whether this is a factor in the state's
approach to determining how much disinfection is being provided. An example of a letter and form that
states could use to help treated GWSs submit the necessary information to meet this reporting
requirement is provided in Example 3-1.
Example 3-1. Example State Correspondence and Form for GWSs to Notify State if they
Provide 4-log Treatment of Viruses
State Letterhead
Steven Smith, Director
Aquifer Water Company, PWSID XXXXXXX
Anywhere, USA
RE: Ground water treatment notification
Dear Mr. Smith:
The Ground Water Rule was published on November 8, 2006, to provide increased protection against pathogens in
public water systems that use ground water sources. One requirement of the rule is that public water systems using
ground water as their source must notify the state if they are currently providing 4-log treatment of viruses. This
treatment can be achieved using inactivation (disinfection), removal (filtration), or a combination of inactivation and
removal that has been approved by the state. If you are one of these systems, you are required to notify us by
December 1, 2009.
We have included a form with this letter to help you comply with this requirement. If you have more than one
ground water source, make copies of the form before filling it out and submit one completed copy for each source.
Please complete a copy of the form for each ground water source your utility uses.
An explanation of what constitutes 4-log treatment of viruses is provided on the form. If you are not sure how to
determine how much virus treatment your system has, call us at (555) 555-1234 and we will help you make that
determination. If you understand how to make the determination but do not have the necessary information, check
the box that says "We do not know if our ground water system provides 4-log treatment of viruses." A
representative from our office will call you and advise you how to proceed.
Completed forms should be mailed to us at the address provided on the form. We appreciate your prompt attention
and reply.
Sincerely,
Your Regulator
GWR Implementation Guidance 38 January 2009
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PWSID Number:
System Name:
Contact Person and Phone Number:
Does Your System Provide 4-log Treatment of Viruses?
If your system disinfects with gaseous or liquid chlorine, use the table below to determine the CT that is provided for your
ground water. The CT required will depend on your ground water source's temperature and the free chlorine residual
concentration in your water at the first user. "CT" is an abbreviation for chlorine Concentration multiplied by Time.
To calculate your system's CT, multiply the free chlorine residual (in mg/L) at your first user's service connection by the
shortest amount of time (in minutes) water comes into contact with the chlorine.
1. System's free chlorine residual (in mg/L) at first user's service connection:
X
2. Shortest amount of time (in minutes) water is coming into contact with the chlorine:
3. Multiply number and enter result: Min-mg/L (Total CT)
4. System's ground water source's coldest water temperature:
In Degrees C
On Line A in the table below circle the value that most closely relates to the temperature recorded on line 4 above.
On Line B in the table circle the 4-log inactivation value that is associated with the temperature you circled on line A.
Compare your CT value from Line 3 above with the value you circled in Line B of the table below. If your CT is a
number larger than the number you circled in Line B, then your system probably provides at least 4-log treatment of
viruses.
CT Values for Inactivation of Viruses by Free Chlorine, pH 6.0-9.0
A.
R
Degrees C
4-log
Inactivation
1
11 6
2
107
3
98
4
89
5
80
6
76
7
79
8
68
9
64
10
60
11
S6
12
S9
13
48
14
44
15
40
16
3 8
17
36
18
34
19
39
20
30
CT values provided in the tables are modified by linear interpolation between 5°C increments.
If your system uses a different kind of disinfection (e.g., UV, ozone, chloramines) and/or filters its ground water, call
Susan Jones at the Green County Health Department at (555) 555-1234. She will work with you to determine how many
logs of virus treatment your system provides.
Check the line below that applies to your ground water system:
Our ground water system probably does not provide 4-log treatment of viruses
Our ground water system probably provides 4-log treatment of viruses
We do not know if our ground water system provides 4-log treatment of viruses
GWR Implementation Guidance
January 2009
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The following is an example calculation:
1. System's free chlorine residual (in mg/L) at first user's service connection: 0.5 mg/L
2. Shortest amount of time (in minutes) water is coming into contact with the chlorine: 10 minutes
3. Multiply number and enter result: (0.5 X 10) = 5
4.
X
System's ground water source's coldest water temperature: 10
Min-mg/L (Total CT)
In Degrees C
On Line A in the table below circle the value that most closely relates to the temperature recorded on line 4 above.
On Line B in the table circle the 4-log inactivation value that is associated with the temperature you circled on line A.
Compare your CT value from Line 3 above with the value you circled in Line B of the table below. If your CT is a
number larger than the number you circled in Line B then your system probably provides at least 4-log treatment of
viruses.
This system does not achieve 4-log inactivation of viruses because the value from Line 3 (CT = 5) is smaller than
the value circled on Line B (CT for 10°C = 6).
CT Values for Inactivation of Viruses by Free Chlorine, pH 6.0-9.0
A.
R
Degrees C
4-log
Inactivation
1
11 6
2
107
3
98
4
89
5
80
6
76
7
11
8
68
9
64
'
56
12
59
13
48
14
44
15
40
16
38
17
36
18
34
19
39
20
30
CT values provided in the tables are modified by linear interpolation between 5°C increments.
Please complete this form and mail it to
Susan Jones
Drinking Water Agency
123 Main Street
Anywhere, USA
Note: The CT values provided in this example address water with pH values between 6 and 9. Section 4.4.7.1 provides additional
CT values for water with a pH of 10.
GWSs Serving More Than 3,300 People
GWSs serving more than 3,300 people conducting compliance monitoring must monitor the residual
disinfectant concentration continuously, record the lowest daily residual disinfectant concentration, and
maintain the state-determined minimum disinfectant residual concentration for each day the water is
served to the public. If the continuous monitoring equipment fails, the system must collect grab samples
every 4 hours until the continuous monitoring equipment is returned to service. Continuous monitoring
must be resumed within 14 days.
GWSs Serving 3,300 or Fewer People
Systems serving 3,300 or fewer people conducting compliance monitoring are required to monitor and
record, during peak hourly flow or another time designated by the state, the residual disinfectant
concentration daily for each day that water from the ground water source is served to the public. If the
GWR Implementation Guidance
40
January 2009
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disinfectant residual falls below the state-determined minimum concentration, the system must collect
follow-up samples every 4 hours until the minimum residual disinfectant concentration has been reached.
GWSs Using Membrane Filtration
Systems using membrane filtration for 4-log treatment of viruses must monitor the membrane filtration
process according to state-specified monitoring requirements and must operate the membrane filtration
according to all state-specified compliance requirements.
GWSs Using Alternative Treatment Technologies
Systems may use alternative treatment technologies (e.g., ultraviolet [UV] radiation) approved by the
state, if the alternative treatment technology, alone or in combination (e.g., filtration with UV, filtration
with chlorination) can reliably provide at least 4-log treatment of viruses. Systems must monitor the
alternative treatment according to state-specified monitoring requirements, and must operate the
alternative treatment according to compliance requirements established by the state.
3.2.6 Optional Assessment Source Water Monitoring [40 CFR 141.402(b)]
The GWR provides states with the option to require systems to conduct assessment source water
monitoring at any time and require systems to take corrective action. EPA believes that this optional
provision is an important tool for states that elect to require assessment source water monitoring on a
case-by-case basis. EPA recommends that states require GWSs that are most susceptible to fecal
contamination conduct assessment monitoring. States may use hydrogeologic sensitivity assessments
(HSAs) as a tool to identify high risk systems for assessment source water monitoring. States also have
other information available to them to target high risk systems, such as source water assessments,
wellhead protection plans, and historical monitoring data. Previous data indicating source water fecal
contamination, particularly from TCR monitoring, in combination with GWR triggered source water
monitoring results, can be another important tool. The GWR suggests state-determined assessment source
water monitoring requirements that might be appropriate. These are discussed in more detail in section
3.7.2.
3.3 Communicate GWR Requirements to Affected Systems
States should identify what actions they plan on taking and develop a schedule for carrying out those
actions in order to implement the GWR in a timely and effective manner. One key step for states
implementing the GWR should be communicating with those PWSs affected by the rule and preparing
them to comply with the relevant provisions. Systems should be notified of new requirements early
enough to ensure their ability to budget for and schedule their compliance actions. The more this is done,
the more prepared states and systems will be as compliance dates approach.
This section provides guidance to states on notifying affected PWSs of GWR requirements. This guidance
includes suggestions for organizing outreach efforts based on the provisions and compliance dates that
apply to different categories of systems.
3.3.1 Requirements and Target Notification Time Frames
States often notify systems of upcoming requirements using a form letter that may or may not be tailored
to some degree. Based on the GWR's provisions and different compliance schedules, states may find it
useful to draft and send out different form letters to different categories of systems. States should consider
GWR Implementation Guidance 41 January 2009
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categorizing systems early on in their GWR communication efforts so that each system is provided only
with the provisions and deadlines that apply to them.
Some system categories that may be effective for drafting form letters regarding the GWR are:
• CWSs.
• NCWSs.
• Wholesale systems serving ground water.
• Consecutive systems using ground water.
• GWSs serving more than 3,300 people that are likely to already provide at least 4-log
treatment of viruses.
• GWSs serving 3,300 or fewer people that are likely to already provide at least 4-log
treatment of viruses.
• Systems required by the state to conduct assessment source water monitoring.
Additional requirements specific to different categories of systems are provided in Table 3-1.
Table 3-1. GWR Requirements Applying To Different Categories of Water Systems
PWS Category
GWR Requirement
All GWSs
Provide information to the state as needed for sanitary surveys.
Provide information requested by the state for conducting a hydrogeologic
sensitivity assessment (except consecutive systems).
Conduct triggered source water monitoring if 4-log treatment is not in place
(except consecutive systems).
Address significant deficiencies.
Address fecally contaminated source water (except consecutive systems).
Conduct compliance monitoring if a chemical disinfectant is being used and
triggered source water monitoring requirements are not being met (except
consecutive systems).
CWSs
Participate in sanitary surveys every 3 years (or every 5 years under certain
criteria).
Provide Special Notification of fecal contamination and any unconnected
significant deficiencies (requirements are specific to CWSs).1
GWR Implementation Guidance
42
January 2009
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PWS Category
GWR Requirement
NCWSs
Participate in sanitary surveys every 5 years.
Provide Special Notification of any uncorrected significant deficiencies
(requirements are specific to NCWSs).1
Consecutive Systems
Using Ground Water
If a sample collected in the consecutive system's distribution system for
compliance with the TCR is total coliform-positive, the consecutive system is
required to notify its wholesale system of the positive sample.
Wholesale GWSs
If a sample collected in the distribution system of a consecutive system for
compliance with the TCR is total coliform-positive, the wholesale system
providing water to the consecutive system must collect a sample from its
ground water source(s) and analyze it for a state-designated fecal indicator.
Notify consecutive systems within 24 hours of learning of fecal indicator-
positive result.
GWSs Serving More than
3,300 People that Already
Provide at Least 4-log
Treatment of Viruses
Notify state in writing that system provides 4-log treatment of viruses in order
to conduct compliance monitoring instead of triggered source water
monitoring.
To satisfy compliance monitoring requirements, continuously monitor
residual disinfectant concentration at or before the first customer and record
the lowest residual concentration every day that water from ground water
source is served to public.
For alternative or membrane filtration systems, comply with state-specified
monitoring requirements.
GWSs Serving 3,300 or
Fewer People that Already
Provide at Least 4-log
Treatment of Viruses
Notify the state in writing that system provides 4-log treatment of viruses in
order to conduct compliance monitoring instead of triggered source water
monitoring.
Monitor and record the residual disinfectant concentration, at time designated
by the state, at or before the first customer every day that water from ground
water source is served to public.
For alternative or membrane filtration systems, comply with state-specified
monitoring requirements.
Systems Required by the
State to Conduct
Assessment Source Water
Monitoring
Meet state-determined requirements for assessment source water monitoring.
1. See section 3.8.3 for more information on special notice requirements for CWSs and NCWSs.
GWR Implementation Guidance
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January 2009
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3.3.2 Methods of Communication
Written Notice
Providing written notice of rule requirements to GWSs serves two purposes: (1) the recipient system
obtains a formal notice of upcoming regulatory requirements and a timeline for compliance, and (2) the
primacy agency has a hard-copy document that it may file and use in subsequent compliance tracking
efforts.
Written notification can be in the form of a letter from the state to affected systems. The letter should
include a summary of rule requirements and timeframes and direct the reader to an appropriate contact if
questions arise. States should consider including fact sheets or other summary materials with the letter.
Appendix C of this guidance includes additional publications that are intended to be distributed to water
systems through mailings, training sessions, and other educational forums. These publications (also
available at www.epa.gov/safewater/disinfection/gwr) provide overviews of the GWRto help systems
understand the provisions of the rule and determine which provisions apply. They also describe the
benefits of the rule. Although valuable, these resources do not substitute for official rule language. States
should consider including in the letter the Web site address where their regulatory language can be
accessed.
A sample letter is provided in Example 3-2. In this example, the letter is tailored to systems based on their
compliance deadlines. As described earlier, states may wish to further tailor the letter to accommodate
systems for which the provisions are either limited or unique. Note that some of the requirements listed in
the letter (i.e., corrective action, testing for E. coif) may vary from state to state depending on which
GWR options a state chooses to adopt in its regulation.
Slide Presentation
For some GWSs, written communication alone will not result in full comprehension of the GWR
requirements. Slide presentations can be used by state staff and other training providers to present the
background of the rule, its benefits, and its requirements.
The EPA's Drinking Water Academy is developing a training session on the GWR (available in
Microsoft PowerPoint format). Copies of the presentation may be used to train other state personnel,
technical assistance providers, water system personnel, and the public. EPA's Drinking Water Academy
slides will be available electronically on the EPA Web site at www.epa.gov/safewater/dwa.html.
Guidance Documents
Technical guidance documents developed for the GWR are useful for explaining rule requirements and
specific aspects of rule implementation to system operators, including monitoring and compliance
determination. The guidance documents can be used as stand-alone references or as supporting materials
in GWR training events. See Section 2 for more information on these references.
GWR Implementation Guidance 44 January 2009
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Example 3-2. Example System Notification Letter
State Letterhead
John Smith, Supt.
Town Water System, PWSID XXXXXXX
Town, ST 12345
RE: Ground Water Rule
Dear Mr. Smith:
This letter is to notify you that your public water system (PWS) will be affected by the Ground Water Rule (GWR).
The GWR applies to all PWSs that use ground water as their source of water and do not combine their ground water
with surface water prior to treatment. The requirements of the GWR will take effect December 1, 2009. You are
receiving this letter because our data show your system is a PWS that uses ground water.
Our records show that you do not treat your ground water source before the water is delivered to your customers.
Our records also show that your system is a community water system serving 750 people. Please let us know if this
information is not accurate and our records need to be updated.
Based on these characteristics of your water system, the GWR will affect you in the following ways:
If your monthly routine bacteriological sample is total coliform-positive, you must collect at least one
sample from each ground water source in use at the time the total coliform-positive sample was collected.
This follow-up sample, referred to as a triggered source water sample, must be tested for a state-approved
fecal indicator. For our state, the fecal indicator that has been approved is E. coli.
If your triggered source water sample tests positive for E. coli, you must collect five additional samples
from the source that tested positive and have them analyzed for E. coli.
Since your system serves fewer than 1,000 people, you may use the triggered source water sample collected
from a ground water source (as described above) to meet both the requirements of the GWR and part of the
requirements for repeat sampling under the Total Conform Rule (TCR) when you have a conform positive-
sample in the distribution system.
In the future, your system will be receiving a sanitary survey by the state every 3 years instead of every 5
years.
If your system has an E. coli positive triggered source water sample or if a significant deficiency is
identified at your system and not addressed, you will be required to make special notice to the public that
your source water tested E. coli positive or that an uncorrected significant deficiency exists at your system.
A Quick Reference Guide and Factsheets on the GWR are enclosed. The Quick Reference Guide provides more
information on this regulation, and the Factsheets explain the monitoring and corrective actions in more detail. In
addition to these materials, please refer to additional guidance and the state regulations addressing the GWR
requirements on the state Web site at www.xxxxx.xx.gov. We will be notifying you of upcoming training
opportunities within the next month.
Please contact Ann Smith at this office at (555) 555-1234 if you have any questions about this letter or the GWR and
its effect on your system. We appreciate your attention to this request.
Sincerely,
Enclosures: GWR Quick Reference Guide, GWR Factsheets, [list other enclosures]
GWR Implementation Guidance 45 January 2009
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3.4 Data Management Systems
Although state data management systems vary to suit state-specific requirements and needs, EPA
recommends that all states ensure that their data management systems are capable of efficiently tracking
affected PWSs, compliance status, and other information needed to implement the GWR. States using
SDWIS/State should see the module incorporated in version 2.2.
Under GWR recordkeeping requirements, states are required to keep any currently applicable or most
recent state determinations, along with all supporting information and explanations of the technical basis
of each decision, for the following:
• Written notice of significant deficiencies.
• Corrective action plans, schedule approvals, and state-specified interim measures.
• Confirmation that a significant deficiency has been corrected or the fecal contamination in
the ground water source has been addressed.
• State determinations and records of a GWS' documentation for not conducting triggered
source water monitoring.
• State approvals of source water monitoring plans.
• Notices of the minimum residual disinfection concentration (when using chemical
disinfection) needed to achieve at least 4-log virus inactivation before or at the first
customer.
• Notices of the state-specified monitoring and compliance requirements (when using
membrane filtration or alternative treatment) needed to achieve at least 4-log treatment of
viruses before or at the first customer.
• Written notice from the GWS that it provides at least 4-log treatment of viruses before or at
the first customer for a ground water source.
• Written determinations that the GWS may discontinue 4-log treatment of viruses.
A state may have information in its data system about the application of a disinfectant to the ground water
source. The state may not, however, actually track whether this treatment meets the 4-log inactivation
standard. In some data systems, it may not be possible to tell which disinfecting systems actually provide
4-log inactivation. As a result, there may need to be a separate water system-by-water system review to
determine whether there is adequate inactivation to identify a system as providing 4-log treatment of
viruses. The state's database system may need to be modified to capture this distinction.
GWR Implementation Guidance 46 January 2009
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3.5 Address Special Primacy Requirements of the GWR
States must provide EPA with specific information in their primacy packages in order to obtain federal
approval of their program revisions adopting the provisions of the GWR. Some primacy conditions
address the need for a state to have sufficient legal authority to enforce the GWR's requirements. In
addition, some provisions of the GWR allow state discretion in establishing decision-making criteria.
States will need to explain their intended procedures for implementing those provisions. The special
primacy requirements are listed in 40 CFR 142.16(o) and are discussed in more detail in Section 4.4, and
include but are not limited to the following:
• The state must have the appropriate rules or other legal authority to ensure that GWSs:
• Conduct source water monitoring. (See Section 4.4.1)
• Take the appropriate corrective actions including interim measures, if necessary, needed to
address significant deficiencies. (See Section 4.4.2)
• Take the appropriate corrective actions including interim measures, if necessary, to address
any source water fecal contamination identified during source water monitoring. (See
Section 4.4.3)
• Consult with the state regarding corrective action(s). (See Section 4.4.)
• The state must describe how it will implement a sanitary survey program that includes the
components of, and meets the survey frequencies required by, the GWR. (See Section 4.4.5)
• The state must describe the criteria that will be used for the following issues related to
source water monitoring: (See Section 4.4.6)
• Extending the 24-hour time limit for a system to collect a ground water sample to comply
with the source water monitoring requirements.
• Determining whether the cause of a total-coliform positive sample taken under the TCR is
directly related to the distribution system.
• Determining whether to invalidate a fecal-indicator positive ground water source sample.
• Conditions that would allow source water microbial monitoring at a location after treatment.
• The state must explain the practices and procedures that will be used to enforce the treatment
technique requirements of the GWR, including: (See Section 4.4.7)
• How the state will determine whether a system is achieving at least 4-log treatment of
viruses.
• How the state will determine the minimum residual disinfectant concentration the system
must provide before the first customer, for systems using chemical disinfection.
• Alternative technologies GWSs can use to achieve at least 4-log treatment of viruses.
GWR Implementation Guidance 47 January 2009
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• Monitoring and compliance requirements required for systems using state-approved
alternative technologies to achieve at least 4-log treatment of viruses.
• Monitoring, compliance, and membrane integrity testing requirements that will be used to
demonstrate virus removal for GWSs using membrane filtration.
• Criteria the state will use to determine if a GWS may discontinue 4-log treatment of viruses.
3.6 State Practices or Procedures for Sanitary Surveys
The state must perform sanitary surveys for community and noncommunity GWSs at prescribed time
intervals. These surveys must address the following eight elements:
• Source.
• Treatment.
• Distribution System.
• Finished Water Storage.
• Pumps, Pump Facilities, and Controls.
• Monitoring and Reporting and Data Verification.
• System Management and Operation.
• Operator Compliance with State Requirements.
States should ensure resources are adequate to meet the sanitary survey requirements given the number of
affected GWSs, anticipated follow-up technical assistance and enforcement needs, and other program
demands. Note that compliance with only the TCR sanitary survey criteria may not be adequate to meet
the revised scope and frequency of sanitary survey requirements required under the GWR.
The state may conduct the sanitary surveys in stages or phases if all the applicable elements are evaluated
within the required timeframe. For example, states may opt to use data collected during site visits for
other programs such as the Source Water Assessment Program (SWAP), Wellhead Protection Program
(WHPP), Operator Training and Certification Program, and other technical assistance programs.
3.6.1 Sanitary Surveys for CWSs
Sanitary surveys must be completed by the state for CWSs every 3 years. The state may reduce the
frequency of sanitary surveys of a CWS to every 5 years if the system either provides at least 4-log
treatment of viruses (using inactivation, removal, or a state-approved combination of virus inactivation
and removal) before or at the first customer for each ground water source, or if it has an outstanding
performance record that was documented during previous inspections and no history of total coliform
maximum contaminant level (MCL) or monitoring violations under 40 CFR 141.21 since the previous
sanitary survey. If a state intends to use this provision, it must describe in its primacy package how it will
determine whether a CWS has an outstanding performance record. Guidance on determining outstanding
performance is provided in Section 4.4.
The first sanitary survey for a CWS required to comply with the requirements of the GWR must be
conducted by December 31, 2012, unless the system has been put on a survey schedule of once every 5
years, as described above. For such systems, the first sanitary survey must be completed by December 31,
2014.
GWR Implementation Guidance 48 January 2009
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3.6.2 Sanitary Surveys for NCWSs
States are required to conduct sanitary surveys of noncommunity GWSs at least once every 5 years. The
GWR does not allow additional time between surveys based on whether the NCWS has treatment in place
or has demonstrated outstanding performance. The first sanitary survey for a NCWS required to comply
with the requirements of the GWR must be conducted by December 31, 2014.
3.6.3 Significant Deficiencies
The state must provide GWSs with written notification specifying and describing any significant
deficiencies. Notification must be provided no later than 30 days after identifying the deficiencies. The
notice may specify corrective actions and deadlines the system must meet for implementing the corrective
actions.
Once the system receives written notice of a significant deficiency, the system has up to 30 days to
consult with the state regarding the appropriate corrective action it should take. Within 120 days from the
time the system receives written notice of the significant deficiency, the system must either:
• Complete corrective action according to any applicable state plan review processes or state
guidance and direction, or
• Be in compliance with a state-approved corrective action plan and schedule.
The state must confirm that the significant deficiency has been addressed through either written
confirmation from the GWS or a site visit by the state. The site visit must occur within 30 days after the
state has been notified by the system that the system meets the treatment technique requirements under 40
CFR 141.404(a). The state must maintain a record of the confirmation that a significant deficiency was
corrected and will be required to report this information to EPA.
In its primacy application, the state must define and describe at least one specific significant deficiency in
each of the eight sanitary survey elements. These should take into account:
• A defect in design, operation, or maintenance.
• A failure or malfunction of the sources, treatment, storage, or distribution system that may
be causing, or has the potential to cause, the introduction of contamination into the water
delivered to consumers.
• The state's ability to ensure GWSs take appropriate corrective actions, including interim
measures, to address the significant deficiency.
Guidance on defining significant deficiencies is provided in section 4.4.5.4.
3.7 State Practices or Procedures for Source Water Microbial Monitoring
The GWR requires that GWSs conduct triggered source water monitoring as described below. States also
have the option of directing systems to conduct assessment source water monitoring. While there are no
federal requirements for assessment source water monitoring, the GWR offers some guidelines for states
on the other monitoring requirements.
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EPA believes that the most appropriate fecal indicator may vary from state to state or site to site. This
may be due to regional or site-specific differences or other reasons that may be identified by the state.
More information and guidance on this topic is provided in EPA's Source Water Monitoring Guidance
for Public Water Systems (EPA 815-R06-005, February 2006).
3.7.1 Triggered Source Water Monitoring
The GWR requires systems performing triggered source water monitoring to monitor their ground water
sources for one of three fecal indicators (E. coll, enterococci, or coliphage). The state must demonstrate in
its primacy package it has the legal authority to require GWSs to monitor for the fecal indicator(s)
identified. The state can specify which fecal indicator(s) GWSs will be required to test for in their ground
water sources. States can alternatively approve more than one fecal indicator to be used (e.g., E. coll
and/or enterococci). EPA recommends that states use the same requirements for GWSs performing
assessment source water monitoring.
Triggered source water monitoring must be conducted by a GWS if the system does not provide at least 4-
log treatment of viruses (using inactivation, removal, or a state-approved combination of inactivation and
removal) before or at the first customer for each ground water source and conduct compliance monitoring,
and it is notified of a total coliform-positive result for a sample collected under the TCR (40 CFR
141.21). Systems providing 4-log treatment of viruses must notify their state they provide treatment and
must conduct compliance monitoring, or they will also be required to conduct triggered source water
monitoring if they are notified of a total coliform-positive sample collected in compliance with the TCR.
Within 24 hours of notification of the total coliform-positive sample, the system must collect at least one
source water sample from each ground water source in use at the time the total coliform-positive sample
was collected. The state may extend the 24-hour limit on a case-by-case basis if the system cannot collect
the source water sample within 24 hours due to circumstances beyond its control. In the case of an
extension, the state must specify how much time the system has to collect the sample. See section 4.4.6.1
for additional guidance on extending the 24-hour time limit to collect triggered source water sample.
EPA recognizes that some water systems that use untreated ground water already have sample taps
located at or near the source and prior to the first customer and include raw water monitoring with their
routine TCR monitoring of the distribution system. States decide whether samples collected at these
locations represent water in the distribution system as described in the TCR [40 CFR 141.21(a)]. If a
GWS collects a source water sample as part of its TCR sampling, and the source water sample is analyzed
using an approved method that includes the state-approved fecal indicator, and a distribution system
sample collected at the same time is total coliform-positive, the GWS can use the concurrent source water
sample to satisfy the triggered source water monitoring requirement.
GWSs serving 1,000 people or fewer that detect a total coliform-positive sample during their routine TCR
monitoring may use a repeat TCR sample to satisfy both the GWR triggered source monitoring
requirement and one of the repeat samples required by the TCR if the state allows the system to collect a
repeat TCR sample at the source and the state approves the use of E. coll as a fecal indicator for GWR
triggered source water monitoring.
In addition to public notification requirements, CWSs are required to provide special notice to the state
and the public if a triggered source water sample is fecal indicator-positive. Guidance on public notice
and special notice is provided in section 3.8.
If a triggered source water sample is fecal indicator-positive, states may require corrective action for the
ground water source where the fecal indicator-positive sample was collected. If the state does not require
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corrective action based on the initial indicator-positive sample, the system must collect five additional
source water samples from the same source within 24 hours of being notified of the fecal indicator-
positive sample. The samples must be tested for the same fecal indicator for which the initial triggered
source water sample tested positive. If one or more of these additional source water samples is fecal
indicator-positive, the system must take corrective action.
Representative source water monitoring
Systems with multiple sources may, if approved by the state, collect samples from representative
source(s) for any total coliform-positive sample. The state may require systems with multiple sources to
submit for approval a triggered source water monitoring plan. A triggered source water monitoring plan
may evaluate each sample site in the system's TCR sample siting plan and identify sources that are
representative of each TCR monitoring site. All water systems are encouraged to include a procedure for
triggered source water monitoring in their standard operating procedures (SOPs). Larger systems with
multiple sources may want to include in their SOPs a triggered source water sampling plan that identifies
which sources are representative of which TCR monitoring sites. The state must approve any
representative monitoring approach to triggered source water monitoring. Additional information on
representative source water monitoring is available in EPA's Triggered and Representative Monitoring
Guide for the Ground Water Rule (Under development).
Consecutive system triggered source water monitoring notification
In addition to all other triggered source water monitoring requirements, a consecutive system that has a
total coliform-positive sample collected under 40 CFR 141.21 must notify the wholesale system within 24
hours of being notified of the total coliform-positive sample.
Wholesale system triggered source water monitoring
In addition to all other triggered source water monitoring requirements, if a wholesale system receives
notice from a consecutive system that a sample collected under 40 CFR 141.21 is total coliform-positive,
the wholesale system must, within 24 hours of being notified, collect a sample from every one of its
ground water sources (unless the system has multiple sources and has been approved by the state to
collect samples from representative source[s] for any total coliform-positive). The samples collected must
be tested for a fecal indicator required by the state. If the sample is fecal indicator-positive, the wholesale
system must notify any consecutive systems served by that source in accordance with 40 CFR 141.202
(Public Notifications of Drinking Water Violations).
Triggered source water monitoring positive sample invalidation
If a state determines and documents in writing that the total coliform-positive sample was solely a result
of a documented distribution system deficiency, the state may invalidate the positive triggered source
water monitoring sample. The state must maintain records of invalidation determinations. See section
4.4.6.3 for further discussion of sample invalidation and situations when it may be appropriate.
3.7.2 Assessment Source Water Monitoring
The GWR gives states the authority to direct GWSs to conduct assessment source water monitoring at the
states' discretion. If a state intends to require assessment source water monitoring, it will need to specify
in its state regulation the pertinent monitoring requirements, including sampling frequency and analytical
methods.
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EPA recommends that states require GWSs that are most susceptible to fecal contamination to conduct
assessment monitoring. States may use hydrogeologic sensitivity assessments (HSAs) as a tool to identify
high risk systems for assessment source water monitoring. HSAs can be an effective screening tool to
identify sensitive hydrogeological settings that transmit water, and any pathogens in the water, quickly
from the surface to the aquifer. Where the type of aquifer is unknown, states should consider conducting
an HSA to identify sensitive aquifers and determine if assessment source water monitoring is appropriate.
States also have other information available to them to target high risk systems, such as source water
assessments, wellhead protection plans, and historical monitoring data. Data indicating past episodes of
source water fecal contamination, particularly from TCR monitoring, in combination with GWR triggered
source water monitoring results, can be another important tool. States should refer to EPA's Source Water
Assessment Guidance Manual for an overview of characteristics of a sensitive aquifer, determining if a
sensitive aquifer has a hydrogeological barrier, and information on how source water assessments and
hydrogeological sensitivity assessments may be used to guide assessment monitoring decisions.
The GWR provides the following general suggestions to states requiring assessment source water
monitoring:
• Collect a total of 12 ground water source samples that represent each month the system
provides ground water to the public.
• Collect samples from each well unless the system obtains written state approval to conduct
monitoring at one or more wells within the PWS that are representative of multiple wells
used by the system and that draw water from the same hydrogeological setting.
• Collect a standard sample volume of at least 100 mL for fecal indicator analysis, regardless
of the fecal indicator or analytical method used.
• Analyze all ground water source samples for the presence of E. coli, enterococci, or
coliphage using one of the analytical methods listed in the GWR.
• Collect ground water source samples at a location prior to any treatment of the ground water
source unless the state approves a sampling location after treatment.
• Collect ground water samples at the well itself unless the system's configuration does not
allow for such sampling and the state approves an alternate sampling location that is
representative of the water quality of that well.
Positive source water samples taken under assessment monitoring are subject to the same requirements
for additional sampling and/or subsequent corrective action as described above under triggered
monitoring requirements.
3.7.3 Laboratory Methods
All triggered source water samples must be collected using a standard sample volume of at least 100 mL,
regardless of fecal indicator or analytical method used. GWSs must test source water samples for the
presence of E. coli, enterococci, or somatic coliphage, depending on which fecal indicator is specified by
the state, and the state must require that laboratories use one of the analytical methods listed in Table 3-2.
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Table 3-2. Laboratory Methods
Fecal Indicator
E. coli
Enterococci
Coliphage
Methodology
Colilert
Colisure
Membrane Filter Method with MI Agar
m-ColiBlue24 Test
E*Colite Test
EC-MUG
NA-MUG
Multiple-Tube Technique
Membrane Filter Technique
Enterolert
Two-Step Enrichment Presence-Absence Procedure
Single Agar Layer Procedure
Method Name
9223 B
9223 B
EPA Method 1604
9221 F
9222 G
9230 B
9230C, EPA Method 1600
EPA Method 1601
EPA Method 1602
Analysis must be conducted in accordance with the documents listed in the final GWR promulgated November 8,2006.
3.7.4 Invalidation of a Fecal Indicator-Positive Ground Water Source Sample
The state can invalidate a fecal indicator-positive triggered source water sample if the system provides the
state with written notice from the laboratory that improper sample analysis occurred, or the state
determines and documents in writing that there is substantial evidence a fecal indicator-positive sample is
due to a circumstance that does not reflect source water quality.
If the state invalidates a fecal indicator-positive ground water source sample, the state must require the
system to collect another source water sample within 24 hours of being notified of sample invalidation.
The system must have the follow-up sample analyzed for the same fecal indicator as the invalidated
sample.
The state may extend the 24-hour limit on a case-by-case basis if the system cannot collect the source
water sample within 24 hours due to circumstances beyond its control. In the case of an extension, the
state must specify how much time the system has to collect the sample. The state must maintain records
of all invalidated fecal indicator-positive ground water source samples.
3.8 Public Notification, CCR, and Special Notice Requirements
Several general categories of notification are required by the GWR:
• Public Notification (PN) Tier 1, 2, or 3 public notification
Community and Noncommunity GWSs
• Consumer Confidence Report (CCR) Water Quality Data Table
Community GWSs
• Special Notice
- Community GWSs - Notice included in CCR
- Noncommunity GWSs
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The type of notification required depends on the violation or scenario that has occurred at the PWS. Table
3-3 summarizes public notification, CCR and special notice requirements of the GWR. Note that special
notice requirements for community GWSs require notification to be included in the system's CCR.
Noncommunity GWSs that are required to make special notice must inform the public served by the water
system in a manner approved by the state. See section 3.8.3 for an explanation of the GWR's special
notice requirements.
Table 3-3. Public Notification, CCR, and Special Notice Requirements
Issue
Unconnected significant deficiency - CWSs1
Uncorrected significant deficiency - NCWSs1
Fecal indicator positive ground water source sample - CWS2
Fecal indicator positive ground water source sample - NCWS2
Fecal indicator-positive ground water source sample (until corrective
action is completed) - CWSs3
TT - Failure to take corrective action - CWSs
TT - Failure to take corrective action - NCWSs
TT - Failure to maintain at least 4-log treatment of viruses for GWSs
conducting compliance monitoring - CWSs
TT - Failure to maintain at least 4-log treatment of viruses for GWSs
conducting compliance monitoring - NCWS
Failure to meet monitoring requirements - CWSs
Failure to meet monitoring requirements - NCWSs
All detects from source water monitoring or range of results for
chemical disinfectants
Notification Required
Special Notice in CCR
Special Notice
Tier 1 PN and Special Notice in CCR
Tier 1 PN
Special Notice in CCR
Tier 2 PN, CCR
Tier2PN
Tier 2 PN, CCR
Tier 2 PN
Tier 3 PN, CCR
Tier 3 PN
CCR Water Quality Data Table
1. Systems must continue to notify the public annually until the significant deficiency has been corrected.
2. Consecutive systems served by the ground water source must also notify the public.
3. CWSs must continue to notify the public annually until the state determines the fecal contamination has been corrected.
3.8.1 Public Notification Requirements
If a ground water source sample collected as a triggered source water sample or collected in response to
the state's direction to conduct source water assessment monitoring is fecal indicator-positive and is not
invalidated, then the PWS must conduct public notification under 40 CFR 141.202. Public notification
must also be made by consecutive systems served by the fecal indicator-positive ground water source.
This Tier 1 notification requirement is regardless of whether the system is a CWS or a NCWS.
For this Tier 1 public notice, systems must use the following standard health effects language for their
public notifications:
Fecal indicators are microbes whose presence indicates that the water may be
contaminated with human or animal wastes. Microbes in these wastes can cause short-
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term health effects, such as diarrhea, cramps, nausea, headaches, or other symptoms.
They may pose a special health risk for infants, young children, some of the elderly, and
people with severely compromised immune systems.
The GWR also requires Tier 2 public notification when PWSs have one of the following violations:
• Failure to take corrective action.
• Failure to maintain at least 4-log treatment of viruses.
The GWR also requires systems to make Tier 3 notification if that have failed to meet the GWR's
monitoring requirements. Examples of Tier 2 and 3 public notices under these circumstances are provided
in Section 6 of this guidance manual.
3.8.2 Consumer Confidence Report (CCR) Requirements
The GWR requires two general categories of notice to be included in the CCR. Community GWSs with
uncorrected significant deficiencies and/or a fecal indicator-positive source water sample must inform
their customers of any significant deficiency that is uncorrected and any fecal-indicator positive source
water sample result in the CCR addressing the appropriate year. Section 3.8.3 describes this special notice
requirement in more detail.
Community GWSs that fail to meet the treatment technique requirements of the GWR are also required to
inform their customers of their treatment technique violations in the CCR. The GWR treatment technique
violations that community GWSs are required to inform their customers of in their CCRs are:
• Failure to take corrective action.
• Failure to maintain at least 4-log treatment of viruses.
3.8.3 Special Notice Requirements
Community GWSs must inform customers in the appropriate year's CCR of any uncorrected significant
deficiencies and any fecal-indicator positive source water sample results. For example:
• A community GWS receives notification from the state of a fecal indicator-positive source
water sample. The system must inform its customers of positive sample in the CCR that
addresses the year in which the sample was taken.
• A community GWS with an uncorrected significant deficiency must inform its customers of
the uncorrected significant deficiency in that year's CCR.
• In a situation where a system had a significant deficiency in the same calendar year (e.g.,
2011) in which a CCR is being published (e.g., published in 2011 but addressing 2010), and
that significant deficiency has not been corrected, the community GWS does not have to
inform its customers until the following CCR (e.g., published in 2012 but addressing 2011).
However, the system needs only to inform its customers of that significant deficiency if the
deficiency remains uncorrected at the time of the following year's CCR publication and
release. The system must continue to notify the public annually until the state determines
that the deficiency or contamination has been addressed.
In addition to the Tier 1 public notification requirement associated with a fecal indicator-positive
triggered source water sample, noncommunity GWSs must also provide special notice within 12 months
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of the system being notified by the state of the deficiency, in a manner approved by the state, of any
significant deficiency that has not been corrected. The state may direct the system to provide this
notification earlier than the 12 months required by the GWR. The system must continue to notify the
public annually until the significant deficiency is corrected.
The noncommunity GWS notification must include:
• The nature of the significant deficiency and the date it was identified by the state.
• The state-approved plan and schedule for correction of the significant deficiency, including
interim measures, progress to date, and any interim measures completed.
• For systems with a large proportion of non-English speaking consumers, as determined by
the state, information in the appropriate language(s) regarding the importance of the notice
or a telephone number or address where consumers may contact the system to obtain a
translated copy of the notice or assistance in the appropriate language.
If directed by the state, a NCWS with significant deficiencies that have been corrected may be required to
inform its customers how the significant deficiencies were corrected and the date they were corrected.
3.9 State Practices and Procedures for Treatment Technique Requirements
The GWR identifies four possible corrective action options. The state must require systems that need to
take corrective actions to take one or more of the following:
• Correct all significant deficiencies.
• Provide an alternate source of water.
• Eliminate the source of contamination.
• Install technologies that reliably achieve at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved combination of 4-log virus inactivation and
removal) before or at the first customer for each ground water source.
The state must report the date the GWS completed the required corrective action. The state must also
maintain:
• Records of written notices from GWSs that document the system is providing at least 4-log
treatment of viruses (using inactivation, removal, or a state-approved combination of 4-log
virus inactivation and removal) before or at the first customer for each ground water source.
• Records of notices sent to systems identifying the residual disinfection concentrations (when
using chemical disinfection) needed to achieve at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved combination of 4-log virus inactivation and
removal) before or at the first customer for each ground water source.
• Notices sent to systems identifying the state-specified monitoring and compliance criteria
(when using membrane filtration or alternative treatment) needed to achieve at least 4-log
treatment of virus before or at the first customer.
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3.9.1 Corrective Action Alternatives
The GWR gives states the option to prescribe specific corrective actions depending on the nature of the
significant deficiency. There may be a number of corrective action alternatives that could be applied to
correct the significant deficiency effectively. The state may choose not to specify corrective action, but
rather allow the system to select the most appropriate corrective action and ultimately be responsible for
the choice.
Two basic approaches that can be taken to ensure significant defects are corrected include:
• Correction of problems by the water system staff, their consulting engineers, and/or
contractor.
• Many deficiencies can be addressed by water system staff and their consultants. However,
the state should assess whether the water system has trained and competent staff before
suggesting approaches that involve water system personnel. The state should consider the
cause of the deficiency (how and why it developed) and judge whether it is reasonable to
expect the water system operator or manager to correct the problem.
• Other deficiencies may be of a nature that would require the oversight of a licensed
professional engineer and may have to go through the state's plan and specification review
and approval (or permitting) processes.
• Technical assistance to the water utility by the regulatory agency, organizations that
specialize in training and technical assistance, and/or peers at other water systems.
• Many water systems may need assistance to eliminate significant deficiencies. The state may
be able to offer the system approaches and resources to assess and address problems.
Assistance may result in training; onsite system specific technical assistance; and referrals to
other available resources at the state, other organizations (e.g., local Rural Water
Associations), and state environmental training centers.
A combination of these approaches may be appropriate, based on the type of significant deficiency.
3.9.2 Process for Determining 4-log Treatment of Viruses
The state must explain the criteria that it will use to determine when a GWS has met the requirements for
4-log treatment of viruses. Criteria may include determination of the appropriate treatment technology,
treatment design and specifications constituting sufficient inactivation and or removal, the minimum
contact time (in minutes) required for compliance to be achieved at the minimum disinfectant residual (in
mg/L), and submission of records of CT (contact time in minutes X residual disinfectant in mg/L,
measured as mg/L-minutes) calculations or records documenting maintenance of a minimum disinfectant
residual.
EPA recommends that states consider using the applicable EPA-developed virus CT tables provided in
section 4 of this Guidance (Tables 4-4 through 4-6) to determine the concentration and contact time
requirements necessary to achieve 4-log virus inactivation using chemical disinfection. If alternative
criteria will be used by GWSs for compliance, the state must describe the treatment and compliance
monitoring basis for the specified 4-log virus inactivation method. The description should include how
the state will factor into its determination contact time correction factors (e.g., baffling factors), pH,
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temperature, flow, and minimal residuals. Section 4.4.7 provides more guidance on determining 4-log
treatment of viruses.
3.9.3 Process for Determining Minimum Residual Disinfectant Concentration Prior to
First User
Systems conducting compliance monitoring and providing chemical disinfection must maintain a
minimum residual disinfectant concentration at or before the first customer. Residual disinfectant
concentration is the concentration of the disinfectant (in milligrams per liter, or mg/L) at a point before or
at the first customer.
The state primacy application must include an explanation and rationale for how the state will decide
what that minimum residual disinfectant concentration will be for each system. If the state sets the
minimum residual disinfectant concentration level on a system-by-system basis, the application should
explain the rationale for this approach and the information required from the systems to be used in the
determination.
3.9.4 Alternative Technologies for Achieving 4-log Treatment of Viruses
States should identify alternative technologies that a GWS may use alone or in combination with other
approved technologies to achieve at least 4-log treatment of viruses, removal, or a state-approved
combination of these technologies before or at the first customer. A state's primacy application should
include a list of the approved alternative technologies.
3.9.5 Membrane Filtration Requirements to Demonstrate Virus Removal
Criteria should ensure maintenance of the integrity of the membrane to prevent passage of virus particles.
Criteria may include routine pressure testing and reporting of the results as prescribed by the membrane
manufacturer, turbidity monitoring, monitoring of an associated chemical parameter (e.g., total dissolved
solids, total organic carbon), and other site-specific variables.
3.9.6 Monitoring and Compliance Requirements for Systems Providing 4-log Treatment
of Viruses
Compliance monitoring must be conducted by a GWS that does not conduct source water monitoring
under 40 CFR 141.403 (a) because the system is providing at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved combination of 4-log virus inactivation and removal) before or
at the first customer for each ground water source. A GWS not required to conduct source water
monitoring must notify the state that it provides at least 4-log treatment of viruses (using inactivation,
removal, or a state-approved combination of 4-log virus inactivation and removal) before or at the first
customer for each ground water source and must begin compliance monitoring. Compliance monitoring
requires the system to monitor the effectiveness and reliability of its treatment before or at the first
customer.
The state must report all GWSs that are providing at least 4-log treatment of viruses (using inactivation,
removal, or a state-approved combination of 4-log virus inactivation and removal) before or at the first
customer for each ground water source. Section 4.4 provides additional guidance on compliance
monitoring and on the establishment of compliance monitoring requirements.
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Under 40 CFR 141.405(a), PWSs that are conducting compliance monitoring must notify the state any
time they fail to meet any state-specified compliance criteria. These state-specified compliance criteria
may include, but are not limited to, minimum residual disinfectant concentration, membrane operating
criteria or membrane integrity, and alternative treatment operating criteria. In addition, some PWSs will
need to report that they did not conduct compliance monitoring according to their requirements or did not
restore monitoring within 4 hours of a problem being identified. The PWS must notify the state as soon as
possible, but in no case later than the end of the next business day. PWSs that must implement a
corrective action must notify the state within 30 days of the completion of state-specified corrective
actions.
3.9.6.1 PWSs Using a Chemical Disinfectant and Serving More than 3,300 People
A GWS that serves more than 3,300 people must monitor the residual disinfectant concentration
continuously. The residual disinfectant concentration must be monitored at a location approved by the
state, and the system must record the lowest level of residual disinfectant concentration for each day that
it is in operation. Every day the GWS serves water to the public, the system must maintain the minimum
state-determined residual disinfectant concentration. If the continuous monitoring equipment fails, the
system must conduct grab sampling every 4 hours until the continuous monitoring equipment is back on
line. The system has 14 days to resume continuous monitoring before a violation is incurred.
States are encouraged to provide GWSs with a form that facilitates compliance with chemical disinfectant
residual monitoring and reporting requirements. Example 3-3 provides a form that could be adapted to
state requirements and distributed to systems serving more than 3,300 people. Some states may wish to
require GWSs to provide all the monitoring data required to calculate daily CTs. If so, the reporting forms
should be modified and additional authority for requiring the necessary monitoring and reporting should
be incorporated into the state's rules.
3.9.6.2 PWSs Using a Chemical Disinfectant and Serving 3,300 People or Fewer
A GWS that serves 3,300 or fewer people must:
• Monitor the residual disinfectant concentration during peak hourly flow or another time
designated by the state, at a location approved by the state.
• Record the level of residual disinfectant concentration for each day it is in operation.
• Take a daily grab sample during the hour of peak flow or at another time specified by the
state. If any daily grab sample measurement falls below the minimum state-determined
residual disinfectant concentration, the GWS must take follow-up samples every 4 hours
until the residual disinfectant concentration returns to above the minimum state-determined
level.
• Maintain the minimum state-determined residual disinfectant concentration every day the
GWS serves water to the public.
A GWS using ground water and serving 3,300 or fewer people may also meet the compliance monitoring
requirements by monitoring the chemical disinfectant residual continuously in accordance with the
requirements for systems serving more than 3,300 people.
Example 3-4 provides a form that could be adapted and used by systems serving 3,300 people or fewer.
Some states may wish to require GWSs to provide all the monitoring data required to calculate daily CTs.
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If so, the reporting forms should be modified and additional authority for requiring the necessary
monitoring and reporting should be incorporated into the state's rules.
3.9.6.3 PWSs Using Membrane Filtration
A GWS that uses membrane filtration to meet the treatment technique requirements must monitor the
membrane filtration process in accordance with state-specified monitoring requirements. A GWS that
uses membrane filtration is in compliance with the treatment requirement to achieve at least 4-log
removal of viruses when:
• The membrane has an absolute molecular weight cut-off or an alternate parameter that
describes the exclusion characteristics of the membrane and can reliably achieve at least 4-
log removal of viruses.
• The membrane process is operated in accordance with state-specified compliance
requirements; and
• The integrity of the membrane is intact.
3.9.6.4 PWSs Using State-Alternative Treatment
A GWS that uses a state-approved alternative treatment to meet the treatment technique requirements
must monitor the alternative treatment in accordance with any state-specified monitoring requirements. A
system that uses a state-approved alternative treatment must operate the alternative treatment in
accordance with any compliance criteria that the state determines to be necessary to demonstrate 4-log
virus inactivation, removal, or a state-approved combination of these technologies.
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Example 3-3. Example Monthly Operations Report for GWSs Serving More Than 3,300
People
Public Water System Name
Public Water System ID
Date
1
2
o
J
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
Time
Source(s) in
use
Lowest free chlorine
residual at entry
point to distribution
system (mg/1)
Reporting Month/Year
County
For systems using
chlorine dioxide,
lowest chlorine
dioxide residual at
entry point (mg/L)
Town, Village, or City
Additional or Other
Treatment
(define here)
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Public Water System Name
Public Water System ID
Date
30
31
Did contin
time this n
If so, were
until the cc
returned tc
Attach gra
Time
uous monitor
sporting mont
grab samples
jntinuous moi
service?
Source(s) in
use
ing equipment
h?
Lowest free chlorine
residual at entry
point to distribution
system (mg/1)
fail at any
collected every four hours
tutoring equipment was
3 sample results and submit
Reported by:
Signature:
with this form.
Reporting Month/Year
County
For systems using
chlorine dioxide,
lowest chlorine
dioxide residual at
entry point (mg/L)
Date continuous monitoring equipm
Date it was returned to service
Title:
Date:
Town, Village, or City
Additional or Other
Treatment
(define here)
snt failed
Operator Certification Number:
Operator Grade Level:
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Example 3-4. Example Monthly Operation Report for GWSs Serving 3,300 People or
Fewer
Public Water System Name
Public Water System ID
Date
1
2
o
J
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
Time
Source(s) in
use
Free chlorine
residual at entry
point to distribution
system (mg/1)
Reporting Month/Year
County
For systems using
chlorine dioxide,
lowest chlorine
dioxide residual at
entry point (mg/L)
Town, Village, or City
Additional or Other
Treatment
(define here)
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Public Water System Name
Public Water System ID
Date
30
31
Time
Source(s) in
use
Was the chlorine residual ever less tha
Free chlorine
residual at entry
point to distribution
system (mg/1)
Reporting Month/Year
County
For systems using
chlorine dioxide,
lowest chlorine
dioxide residual at
entry point (mg/L)
n ms/L?
If so, did you monitor every four hours un
Attach those results and submit them with
Reported by:
Signature:
Town, Village, or City
Additional or Other
Treatment
(define here)
til it returned to ms/L?
this form.
Title:
Date:
Operator Certification Number:
Operator Grade Level:
3.9.7 Criteria for Discontinuing 4-log Treatment of Viruses
A GWS may discontinue providing 4-log treatment of viruses (using inactivation, removal, or a state-
approved combination of 4-log virus inactivation and removal) if the state determines that 4-log treatment
of viruses is no longer necessary. In order for a system to discontinue treatment, the state must make a
determination that the system has met the necessary criteria for discontinuing treatment. The state must
document its determination in writing and maintain a record of the determination.
A system that discontinues 4-log virus treatment of viruses (using inactivation, removal, or a state-
approved combination of 4-log virus inactivation and removal) is subject to triggered source water
microbial monitoring and analytical methods requirements of the GWR.
3.9.8 Treatment Technique Violations
The following treatment technique violations require Tier 2 notice to be given be given to the public [40
CFR subpart Q (Public Notification of Drinking Water Violations)].
• A GWS that has a significant deficiency is in violation of the treatment technique
requirement if, within 120 days (or earlier if directed by the state) of receiving written notice
from the state of the significant deficiency, the system:
- Does not complete corrective action in accordance with applicable state plan review
processes or other state guidance and direction, including state specified interim actions
and measures; or,
Is not in compliance with a state-approved corrective action plan and schedule.
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• Unless the state invalidates a fecal indicator-positive ground water source sample, a GWS is
in violation of the treatment technique requirement if, within 120 days of receiving notice (or
earlier if directed by the state) the system:
- Does not complete corrective action in accordance with any applicable state plan review
processes or other state guidance and direction, including state specified interim
measures; or,
Is not in compliance with a state-approved corrective action plan and schedule.
• A GWS that collects compliance monitoring samples and fails to maintain at least 4-log
treatment of viruses (using inactivation, removal, or a state-approved combination of 4-log
virus inactivation and removal) before or at the first customer for a ground water source, is
in violation of the treatment technique requirement if the failure is not corrected within 4
hours of determining the system is not maintaining at least 4-log treatment of viruses before
or at the first customer.
3.9.9 Monitoring Violations
Any GWS that fails to meet the ground water source microbial monitoring and analytical methods under
40 CFR 141.402 (a) - (f) or fails to meet the compliance monitoring requirements under 40 CFR
141.403(b) is in violation of the monitoring requirements of the GWR. These monitoring requirements
are:
• Triggered source water monitoring.
• Additional source water monitoring.
• Assessment source water monitoring.
• Compliance monitoring.
These monitoring violations require Tier 3 notice to be given to the public pursuant to 40 CFR subpart Q
(Public Notification of Drinking Water Violations).
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GWR Implementation Guidance 66 January 2009
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Section 4
State Primacy Revision
Application
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40 CFR Part 142 sets out requirements for states to obtain and/or retain primary enforcement
responsibility (primacy) for the Public Water System Supervision (PWSS) program as authorized by
Section 1413 of the Safe Drinking Water Act (SDWA). The 1996 SDWA Amendments updated the
process for states to obtain and/or retain primacy. On April 28, 1998, EPA promulgated the Primacy Rule
to reflect these statutory changes (63 FR 23361).
4.1 State Primacy Program Revision
Pursuant to 40 CFR142.12, complete and final requests for approval of program revisions to adopt new or
revised EPA regulations must be submitted to the EPA Administrator no later than 2 years after
promulgation of new or revised federal regulations. Until EPA approves those applications, EPA regions
have responsibility for directly implementing the new or revised regulations although the state and EPA
can agree to implement a rule together during this period.
States that have primacy for all existing National Primary Drinking Water Regulations (NPDWRs) are
considered to have interim primacy for any new or revised regulation. If a state is eligible for interim
primacy, it will have full implementation and enforcement authority. Interim primacy for the Ground
Water Rule (GWR) would begin on the date the state submits it's final and complete primacy revision
application or the effective date of the new state regulation (whichever is later), and ends when EPA
makes a final determination (see Table 4-1).
A state may be granted an extension of up to 2 years to submit its application package. During any
extension period, an extension agreement outlining the state's and EPA's responsibilities is required.
Table 4-1. State Rule Implementation and Revision Timetable for the GWR
EPA/State Action
GWR promulgated
State and region establish a process and agree upon a schedule for
application review and approval (optional)
State, at its option, submits draft program revision package to region
including: Preliminary Approval Request, Draft State Regulations and/or
Statutes, Regulation Crosswalk
Regional (and Headquarters if necessary) review of draft
State submits final program revision package to region including:
Adopted State Regulations
Regulation Crosswalk
• 40 CFR 142. 10 Primacy Update Checklist
40 CFR 142. 14 and 142. 15 Reporting and Recordkeeping
40 CFR 142.16 Special Primacy Requirements
Attorney General's Enforceability Certification
Rule compliance date
States with approved extensions submit complete and final program revision
package
Time Frame
November 8, 2006
January 8, 2007
May 8, 2007
Completed within 90 days of state
submittal of draft (suggested)
November 8, 20081
December 1, 2009
Novembers, 20 102
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EPA/State Action
Time Frame
EPA final review and determination:
Regional review [program and Office of Regional Counsel (ORC)]
Headquarters concurrence and waivers [Office of Ground Water
and Drinking Water (OGWDW) and Office of Enforcement and
Compliance Assistance (OECA)]
Public notice
Opportunity for hearing
EPA's determination
Completed within 90 days of state
submittal of final program revision
package
45 days region
45 days Headquarters(HQ)3
1. EPA suggests submitting an application by August 8, 2008 to ensure timely approval. EPA regulations allow states until
November 8,2008 for this submittal. An extension of up to 2 years may be requested by the state.
2. EPA suggests submitting an application by August 8,2010 for states with approved extensions to ensure timely approval.
3. At least one state per region.
4.1.1 The Revision Process
EPA recommends a two-step process for approval of state program revisions. The steps consist of
submission of a draft request (optional) and submission of a complete and final request for program
approval. Figure 4-1 diagrams these processes and their timing.
Draft Request—The state may submit a draft request for EPA review and tentative determination. The
request should contain drafts of all required primacy application materials (with the exception of a draft
Attorney General's Statement). A draft request should be submitted as soon as practicable; EPA
recommends submitting it within 6 months of rule promulgation. EPA will make a tentative determination
as to whether the state program meets the applicable requirements. EPA intends to make a tentative
determination within 90 days.
Complete and Final Request—This submission must be in accordance with 40 CFR 142.12(c)(l) and
(2) and include the Attorney General's statement. The state should also include its response to any
comments or program deficiencies identified in the tentative determination (if applicable). Submission of
only a final request may make it more difficult for states to address any necessary changes within the
allowable time for state rule adoption.
EPA recommends that states submit their complete and final revision package within 21 months of rule
promulgation (or by August 8, 2008 for the GWR). This will ensure that states will have interim primacy
as soon as possible and will prevent backlogs of revision applications to adopt future federal
requirements.
The state and region should agree to a plan and timetable for submitting the state primacy revision
application as soon as possible after rule promulgation—ideally within 2 months of promulgation.
4.1.2 The Final Review Process
Once a state application is complete and final, EPA has a regulatory (and statutory) deadline of 90 days to
review, and approve or disapprove the revised program. OGWDW will conduct a detailed concurrent
review of the first state package from each region. The regional office should submit its comments with
the state's package within 45 days for review by HQ. When the region has identified all significant issues,
OGWDW waives concurrence on all other state programs in that region, although EPA HQ retains the
option to review additional state programs as appropriate. The Office of General Counsel (OGC) has
delegated its review and approval to the ORC.
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In order to meet the 90-day deadline for packages undergoing review by HQ, the review period is equally
split by giving the regions and HQ 45 days each to conduct their respective reviews. For the first package
in each region, regions should forward copies of the primacy revision applications and their evaluations to
the Drinking Water Protection Division Director in OGWDW no later than 45 days after state submittal.
The Drinking Water Protection Division Director takes the lead on the HQ review process.
Figure 4-1. Recommended Review Process for State Request for Approval of Program
Revisions
Timeline
Start
EPA Promulgates the GWR
Establish Process and Tentative
Schedule for State Rule
Approval
State Submits Draft Primacy
Revision Application to EPA
(optional)
40CFR142.12(d)(l)(i)
November 8, 2006
January 8, 2007
May 8,2007
EPA Review and Tentative
Determination (suggested within
90 days)
40CFR142.12(d)(l)(ii)
State Submits Complete and
Final Primacy Revision
Application to EPA
40CFR142.12(d)(2)
November 8, 2008
EPA Review and Determinatio
(within 90 days)
40CFR142.12(d)(3)
2 Months
6 Months
By 24 Months •
1 An extension of up to 2 years may be requested by the state.
4.2 State Primacy Program Revision Extensions
4.2.1 The Extension Process
Under 40 CFR 142.12(b), a state may request that the 2 year deadline for submitting the complete and
final program revision package be extended for up to 2 additional years. The extension request must be
submitted to EPA within 2 years of the date that EPA published the regulation. The Regional
Administrator has been delegated authority to approve extension applications. Concurrence by HQ on
extensions is not required.
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Therefore, the state must either adopt regulations pertaining to the GWR and submit a complete and final
primacy revision application by November 8, 2008, or request an extension of up to 2 years by that date.
4.2.2 Extension Request Criteria
For an extension to be granted under 40 CFR 142.12(b), the state must demonstrate that it is requesting
the extension because it cannot meet the original deadline for reasons beyond its control and despite a
good faith effort to do so. A critical part of the extension application is the state's proposed schedule for
submission of its complete and final request for approval of a revised primacy program. The application
must also demonstrate at least one of the following:
(i) That the state currently lacks the legislative or regulatory authority to enforce the new or revised
requirements;
(ii) That the state currently lacks the program capability adequate to implement the new or revised
requirements; or,
(iii) That the state is requesting the extension to group two or more program revisions in a single
legislative or regulatory action.
In addition, the state must be implementing the EPA requirements to be adopted in its program revision
within the scope of its current authority and capabilities.
4.2.3 Conditions of the Extension
Until the State Primacy Revision Application has been submitted, the state and EPA regional office will
share responsibility for implementing the primary program elements as indicated in the extension
agreement. The state and the EPA regional office should discuss these elements and address terms of
responsibility in the agreement. PWSs should be notified of a contact person at the EPA Region if they
want to ask questions or obtain information about the GWR before the state has primacy.
These conditions will be determined during the extension approval process and are decided on a case-by-
case basis. The conditions must be included in an extension agreement between the state and the EPA
regional office.
Conditions of an extension agreement may include:
• Informing PWSs of the new EPA (and upcoming state) requirements and the fact that the
region will be overseeing implementation of the requirements until they approve the state
program revisions or until the state submits a complete and final revision package if the state
qualifies for interim primacy.
• Collecting, storing, and managing laboratory results, public notices, and other compliance
and operation data required by the EPA regulations.
• Assisting the region in the development of the technical aspects of enforcement actions and
conducting informal follow-up on violations (e.g., telephone calls, letters).
• Providing technical assistance to PWSs.
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• For states whose request for an extension is based on a current lack of program capability
adequate to implement the new requirements, taking steps agreed to by the region and the
state to remedy the deficiency during the extension period.
• Providing the region with all the information required under 40 CFR 142.15 for state
reporting.
Example 4-1 provides a checklist the region can use to review state extensions or to create an extension
agreement.
Until states have primacy, EPA is the primary enforcement authority; however, states historically have
played a role in implementation for various reasons—most important because states have local
knowledge, expertise, and established relationships with their systems.
The state and EPA should be viewed as partners in this effort, working towards 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 between when EPA has primacy
and when the state has primacy, including interim primacy, for the rule. In order to accomplish these
goals and to ensure proper health protection, education, training, and technical assistance will need to be
provided to water suppliers explaining their responsibilities under the GWR. Water suppliers are also
encouraged to refer to the GWR guidance materials, reference guide, and fact sheets listed in section 2.
GWR Implementation Guidance 73 January 2009
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Example 4-1. Example Extension Request Checklist
{Regional Administrator}
Regional Administrator
U.S. EPA Region {Region}
{Street Address}
fCitv. State. Zin?
RE: Request/approval for an Extension Agreement
DearjRegional Administrator}.:
The State of ISlatel is requesting an extension to the date that final primacy revisions are due to EPA for
the Ground Water Rule (GWR) until {insert date - no later than November 8T 2010}, as allowed by 40 CFR
142.12, and would appreciate your approval. Staff of the {State Department/Agency} have conferred with your
staff and have agreed to the requirements listed below for this extension. This extension is being requested because
the State of {State?:
D Is planning to group two or more program revisions into a single legislative or regulatory action.
D Currently lacks the legislative or regulatory authority to enforce the new or revised requirements.
D Currently lacks adequate program capability to implement the new or revised requirements.
{State Department/Agency} will be working with EPA to implement the GWR within the scope of its
current authority and capability, as outlined in the six areas identified in 40 CFR 142.12(b)(3)(i-vi):
i) Informing public water systems (PWSs) of the new EPA (and upcoming state) requirements and the fact that
EPA will be overseeing implementation of the requirements until EPA approves the state revision.
State EPA
Provide copies of regulation and guidance to other state agencies, PWSs, technical assistance
providers, associations, or other interested parties.
Educate and coordinate with state staff, PWSs, the public, and other water associations about the
requirements of this regulation.
Notify affected systems of their requirements under the GWR.
Other:
ii) Collecting, storing, and managing laboratory results, public notices, and other compliance and operation data
required by the EPA regulations.
State EPA
Devise a tracking system for PWS reporting pursuant to the GWR.
Keep PWSs informed of reporting requirements during development and implementation.
Report GWR violation and enforcement information to SDWIS as required.
Other:
iii) Assisting EPA in the development of the technical aspects of the enforcement actions and conducting informal
follow-up on violations (telephones calls, letters, etc.).
State EPA
Issue notices of violation (NOVs) for treatment technique and monitoring/ reporting violations of
the GWR.
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Provide immediate technical assistance to PWSs with treatment technique, MCL and/or
monitoring/reporting violations to try to bring them into compliance.
Refer all violations to EPA for enforcement if they have not been resolved within 60 days of the
incident that triggered the violation. Provide information as requested to conduct and complete any
enforcement action referred to EPA.
Other:
iv) Providing technical assistance to PWSs.
State EPA
Conduct training within the state for PWSs on GWR requirements.
Provide technical assistance through written and/or verbal correspondence with PWSs.
Provide on-site technical assistance to PWSs as requested and needed to ensure compliance with
this regulation.
Coordinate with other technical assistance providers and organizations to provide accurate
information and aid in a timely manner.
Other:
v) Providing EPA with all information prescribed by the State Reporting Requirements in 40 CFR 142.15.
State EPA
Report any violations incurred by PWSs for this regulation each quarter.
Report any enforcement actions taken against PWSs for this regulation each quarter.
Report any variances or exemptions granted for PWSs for this regulation each quarter.
Other:
vi) For states whose request for an extension is based on a current lack of program capability to implement the new
or revised requirements, taking the following steps to remedy the capability deficiency.
State EPA
Acquire additional resources to implement these regulations (list of specific steps being taken
attached as {List A}).
Provide quarterly updates describing the status of acquiring additional resources.
Other:
I affirm that the {State Department/Agency} will implement provisions of the GWR as outlined above.
{Agency Director or Secretary} Date
{Name of State Agency?
I have consulted with my staff and approve your extension for the aforementioned regulation. I affirm that EPA
Region {Region} will implement provisions of the GWR as outlined above.
Regional Administrator Date
EPA Region.
This Extension Agreement will take effect upon the date of the last signature.
GWR Implementation Guidance 75 January 2009
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4.3 State Primacy Package
The Primacy Revision Application package should consist of the following sections:
D State Primacy Revision Checklist
D Text of the State's Regulations
D Primacy Revision Crosswalk
D State Reporting and Recordkeeping Checklist
D Special Primacy Requirements
D Attorney General's Statement of Enforceability
4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(l)]
This section is a checklist of general primacy requirements, as shown in Table 4-2. In completing this
checklist, the state must identify the program elements that it has revised in response to new federal
requirements. If an element has been revised, the state should indicate a "Yes" answer in the
"Revision to State Program" column and should submit appropriate documentation. For elements
that did not require revision, the state need only list the citation and date of state adoption in the "Revision
to State Program" column. During the application review process, EPA will insert findings and comments
in the final column.
The 1996 SDWA Amendments include new provisions for PWS definition and administrative penalty
authority. States must adopt provisions at least as stringent as these new provisions, now codified at 40
CFR 142.2 and 40 CFR 142.10. Failure to revise these elements can affect primacy for the GWR.
States must have primacy or interim primacy for all existing regulations before they can receive primacy
for this regulation. States may bundle the primacy revision packages for multiple rules. If states choose to
bundle requirements, the Attorney General's Statement should reference all of the rules included.
Table 4-2. State Primacy Revision Checklist
Required Program Elements
§142.10
§142.10(a)
§142.10(b)(l)
§142.10(b)(2)
§142.10(b)(3)
§142.10(b)(4)
§142.10(b)(5)
§142.10(b)(6)(i)
Primary Enforcement
Definition of Public Water System*
Regulations No Less Stringent
Maintain Inventory
Sanitary Survey Program
Laboratory Certification Program
Laboratory Capability
Plan Review Program
Authority to apply regulations
Revision to State
Program
EPA
Findings/Comments
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Required Program Elements
§142.10(b)(6)(ii)
§142.10(b)(6)(iii)
§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)
§142.10(g)
Authority to sue in courts of competent
jurisdiction
Right of Entry
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 (if
applicable)**
Emergency Plans
Administrative Penalty Authority*
Electronic Reporting Regulations***
Revision to State
Program
EPA
Findings/Comments
* New requirement from the 1996 Amendments. Regulations published in the April 28, 1998 Federal Register.
** New regulations published in the August 14, 1998 Federal Register.
*** New regulations published in the October 13, 2005 Federal Register.
4.3.2 Text of the State's Regulation
Each primacy application package should include the appropriate text of the state's regulations.
4.3.3 Primacy Revision Crosswalk
The Primacy Revision Crosswalk, in Appendix A, should be completed by states in order to identify state
statutory or regulatory provisions that correspond to each federal requirement. If the state's provisions
differ from federal requirements, the state should explain how its requirements are "no less stringent."
4.3.4 State Reporting and Recordkeeping Checklist [40 CFR 142.14 and 40 CFR 142.15]
The GWR adds 10 new state recordkeeping requirements and three new state reporting requirements.
The state should use the Primacy Revision Crosswalk in Appendix A to demonstrate that state reporting
and recordkeeping requirements are no less stringent than federal requirements. If state requirements are
not the same as federal requirements, the state must explain how its requirements are "no less stringent"
as required under 40 CFR 142.10.
The Primacy Revision Crosswalk includes state recordkeeping requirements [40 CFR 142.14(d)(17)(i) -
(d)(17)(x)] indicating that the state must maintain:
• Records of written notice of significant deficiencies. [40 CFR 142.16(o)(2)(v)]
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• Records of corrective action plans and schedule approval or state-specified interim
measures. [40 CFR 141.403(a)(5)(ii)]
• Records of confirmation under 40 CFR 141.403(a) that a significant deficiency has been
corrected or the fecal contamination in the ground water source has been addressed. [40 CFR
142.16(o)(4)]
• Records of state determinations and records of GWSs' documentation for not conducting
triggered source water monitoring. [40 CFR 141.402(a)(5)]
• Records of invalidation of fecal indicator-positive source water samples. [40 CFR
141.402(d)]
• Records of state approvals of source water monitoring plans. [40 CFR 141.402(a)(2)(ii)]
• Records of notices of the minimum residual disinfection concentration (when using chemical
disinfection) needed to achieve at least 4-log virus inactivation before or at the first
customer. [40 CFR 142.16(o)(4)(ii)]
• Records of notice of the state-specified monitoring and compliance criteria (when using
membrane filtration or alternative treatment) needed to achieve at least 4-log treatment of
viruses (using inactivation, removal, or a state-approved combination of 4-log inactivation
and removal) before or at the first customer. [40 CFR 142.16(o)(4)(iv) and 40 CFR
142.16(o)(4)(v)]
• Records of written notices from the GWS that it provides at least 4-log treatment of viruses
(using inactivation, removal, or a state-approved combination of 4-log virus inactivation and
removal) before or at the first customer for a ground water source. [40 CFR 141.403(b)(l)
and40CFR141.403(b)(2)]
• Records of written determination that a GWS may discontinue 4-log treatment of viruses
(using inactivation, removal, or a state-approved combination of 4-log inactivation and
removal). [40 CFR 142.16(o)(4)(vi)]
The Primacy Revision Crosswalk includes requirements [40 CFR 142.15(c)(7)(i) - (c)(7)(iii)] indicating
that the state must report:
• For each GWS, the month and year in which the most recent sanitary survey was completed
or, for a state that uses a phased review process, the date the last element of the eight
elements was evaluated. [40 CFR 142.16(o)(2)]
• For GWSs that must meet a treatment technique requirement, the date the system completed
the corrective action. [40 CFR 141.403(a)]
• All GWSs providing at least 4-log treatment of viruses (using inactivation, removal, or a
state-approved combination of 4-log virus inactivation and removal) before or at the first
customer for any ground water source(s). [40 CFR 141.403(b)]
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4.3.5 Special Primacy Requirements [40 CFR 142.16]
Special primacy conditions pertain to specific regulations where implementation of the rule involves
activities beyond general primacy provisions. States must include these rule-distinct provisions in an
application for approval or revision of their program. The Special Primacy Requirements section of the
crosswalk is where the state has the opportunity to describe how it will satisfy these provisions. Section
4.4 provides guidance on how states may choose to meet the Special Primacy Requirements of the GWR.
4.3.6 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)]
The complete and final primacy revision application must include an Attorney General's Statement
certifying that the state regulations were duly adopted and are enforceable (unless EPA has waived this
requirement by letter to the state). The Attorney General's Statement should also certify that the state
does not have any audit privilege or immunity laws or, if it has such laws, that these laws do not prevent
the state from meeting the requirements of the SDWA. If a state has submitted this certification with a
previous revision package, then the state should indicate the date of submittal and the Attorney General
need only certify that the status of the audit laws has not changed since the prior submittal. An example of
an Attorney General's Statement is presented in Example 4-2.
Example 4-2. Example of Attorney General's Statement
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)1 [or tribal ordinances of (4)1 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.
I. 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.
II. 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 the ability of £3} 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 (51. thus
the program set forth in the "Program Description" is unaffected by the provisions of [State/Commonwealth of (31]
[audit privilege and/or immunity law].
III. 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 the ability of £3} to meet enforcement and information gathering requirements under the Safe
Drinking Water Act because [State/Commonwealth of (3)1 has enacted statutory revisions and/or issued a
clarifying Attorney General's Statement to satisfy requirements for federally authorized, delegated, or approved
environmental programs.
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Seal of Office
Signature
Name and Title
Date
(1) State Attorney General or attorney for the primacy agency if it has independent legal counsel.
(2) 40 CFR 142.1 l(a)(6)(i) for initial primacy applications or 40 CFR 142.12(c)(l)(iii) for primacy program
revision applications.
(3) Name of state or commonwealth.
(4) Name of tribe.
(5) Name of primacy agency.
4.3.6.1 Guidance 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 SDWA. 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 February 14, 1997,
(www.epa.gov/epaoswer/hazwaste/state/policv/policies.htm) to determine 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.
The guidance for states on Audit Law Privilege and/or Immunity Laws is currently under review. If
amended, EPA will issue an addendum to this document with the revised guidance.
4.4 Guidance for the Special Primacy Requirements of the GWR
In addition to adopting basic primacy requirements specified in 40 CFR 142, states are required to adopt
primacy provisions pertaining to specific regulations where implementation of the rule involves activities
beyond general primacy provisions. The purpose of these provisions is to allow state flexibility in
implementing a regulation that: (1) applies to specific system configurations within the particular state;
and, (2) can be integrated with a state's existing PWSS Program. States must include these rule-distinct
provisions in an application for approval or revision of their programs. This section contains information
and guidance that states can use when addressing the Special Primacy Requirements of the GWR. The
guidance addresses Special Primacy Conditions in the same order that they occur in the rule. In the state
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primacy revision application packages, the state must explain how it intends to accomplish the
requirements of 40 CFR 142.16.
Note: EPA has included the appropriate text from the GWR at the beginning of each subsection.
4.4.1 Special Primacy Requirement Regarding Legal Authority to Ensure GWSs Conduct
Source Water Monitoring
40 CFR 142.16 Special primacy requirements, (o) (1) Legal authority. The application for primacy must
demonstrate the State has: (i) The authority contained in statute or regulation to ensure that GWSs
conduct source water monitoring under 40 CFR 14 1.402 (a) (2), 40 CFR 14 1.402 (a) (3) and 40 CFR
Guidance
This Special Primacy Requirement addresses a state's rules or other authority to ensure a GWS conducts
monitoring at its ground water source(s) for a fecal indicator in response to a total coliform-positive
sample result obtained in compliance with the TCR. This requirement also addresses the state's authority
to require a GWS to collect five additional source water samples from a ground water source that has a
fecal indicator-positive test result. In addition, this primacy requirement addresses the state's authority to
require a wholesale system to test its ground water source(s) for a fecal indicator in response to a total
coliform-positive result obtained in compliance with the TCR by a consecutive system that receives water
from that wholesale system.
In response to this primacy requirement the state should demonstrate it has the authority to require GWSs
to comply with the requirements of 40 CFR 141.402(a)(2), 40 CFR 141.402(a)(3) and 40 CFR
141.402(a)(4)(ii)(A). States that adopt the federal GWR by reference can make this demonstration by
showing they have adopted the federal rule. In addition, the state may provide an explanation for its
choice of fecal indicator. States may want to refer to regional groundwater occurrence studies or
applicable studies comparing the presence of indicators under various wellhead or hydrogeological
conditions. A state should also consider the availability of laboratories that can perform the GWR EPA-
approved analytical method for the fecal indicator(s) selected.
For those states that do not adopt the federal GWR by reference, this primacy requirement may be
satisfied by a description of statutes, rules, and other authorities the state can use to ensure GWSs collect
the necessary samples in accordance with 40 CFR 141.402(a)(2), 40 CFR 141.402(a)(3) and 40 CFR
141.402(a)(4)(ii)(A). States must also have the authority to specify the microbial methods listed in 40
CFR 141.402(c) that will apply, depending on which fecal indicators are selected. The appropriate
section(s) of each source of authority should be cited and copies of the written documents should be
included in the program revision application package.
4.4.2 Special Primacy Requirement Regarding Legal Authority to Ensure GWSs Address
Significant Deficiencies
40 CFR 142.16 Special primacy requirements, (o) (1) Legal authority. The application for primacy must
demonstrate the State has: (ii) The authority contained in statute and regulation to ensure that GWSs take
the appropriate corrective actions including interim measures, if necessary, needed to address significant
deficiencies.
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Guidance
States that adopt the federal GWR by reference can make this demonstration by showing they have
adopted the federal rule (i.e., 40 CFR 141.403). For those not adopting by reference, this Special Primacy
Requirement may be satisfied by a description of statutes, rules, and other authority the state can use to
ensure GWSs take action necessary to address significant deficiencies as required in 40 CFR 141.403.
The appropriate section(s) of each source of authority must be cited and copies of the written documents
must be included in the revision application package.
In addition, states may wish to address their authority to take administrative or legal actions and assess
penalties. Also, states may wish to include a description of how the appropriate rules or other authority,
including formal enforcement actions, will be used to ensure that the GWSs take the steps necessary to
correct significant deficiencies.
EPA believes many states have existing authorities that are adequate to comply with the intent of this
Special Primacy Requirement. These authorities can often be found in broad statutory language designed
to provide public health protection. However, EPA does not believe that the state's existing authority to
address imminent and substantial endangerment is sufficient to meet this Special Primacy Requirement.
The authority must be specific enough to allow the state to require correction of conditions that have the
potential for causing the introduction of contamination into the water delivered to consumers.
Some states may wish, in the rule-making process, to specifically identify significant deficiencies and
provide authority to require correction of each. This has the added benefit of establishing a transparent
process that ensures the state's administrative procedures requirements are met.
4.4.3 Special Primacy Requirement Regarding Legal Authority to Ensure GWSs Address
Source Water Fecal Contamination
40 CFR 142.16 Special primacy requirements, (o) (1) Legal authority. The application for primacy must
demonstrate the State has: (Hi) The authority contained in statute and regulation to ensure that GWSs
take the appropriate corrective actions, including interim measures, if necessary, to address any source
water fecal contamination identified during routine or triggered source water monitoring.
Guidance
This Special Primacy Requirement addresses a state's rules or other authority to ensure a GWS responds
to fecal contamination (identified during source water monitoring that has been triggered by a total
coliform-positive sample result obtained in compliance with the TCR or additional source water
monitoring).
States that adopt the federal GWR by reference, can make this demonstration by showing they have
adopted the federal rule (i.e., 40 CFR 141.403). For others, this primacy requirement can be satisfied by a
description of statutes, rules, and other authorities the state can use to ensure PWSs take the necessary
actions appropriate for the nature and severity of the problem. The appropriate section(s) of each source
of authority must be cited, copies of the written documents must be included in the program revision
application package, and the authority must be equivalent to that provided in 40 CFR 141.403 of the
GWR.
In their applications, states may also wish to address their authority to take administrative or legal actions
and assess penalties. In addition, states may want to include a description of how they will use their
appropriate rules or other authorities to achieve the desired actions on the part of GWSs.
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4.4.4 Special Primacy Requirement Regarding Legal Authority to Ensure GWSs Consult
with the State Prior to Implementing Corrective Action
40 CFR 142.16 Special primacy requirements, (o) (1) Legal authority. The application for primacy must
demonstrate the State has: (iv) The authority contained in statute or regulation to ensure that GWSs
consult with the State regarding corrective action(s).
Guidance
This Special Primacy Requirement addresses a state's rules or other authority to ensure a system with
significant deficiencies or source water fecal contamination consults with the state prior to taking
corrective action as required by 141.403(4). Systems and states should have the flexibility and authority
to determine and require the most appropriate corrective action to address site-specific conditions.
This consultation is intended to allow the state the ability to provide an initial review and engage in a
discussion with the system to ensure that, when appropriate, state plan review/permitting requirements are
met and corrective actions are conducted that are appropriate and protective of public health.
States that adopt the federal GWR by reference can demonstrate authority to require consultation by
showing they have adopted the federal rule (i.e., 141.403). For others, this primacy requirement can be
satisfied by a description of statutes, rules, and other authorities the state can use to ensure GWSs consult
with the state before implementing corrective actions. The appropriate section(s) of each source of
authority must be cited and copies of the written documents must be included in the program revision
application package. States should also determine if they have existing authority to require GWSs to, not
only consult, but to make corrective actions deemed appropriate by the state. If they do not have such
authority, they should address it in their rule-making process.
In their applications, states may also wish to address their authority to take administrative or legal actions
and assess penalties. In addition, states may include a description of the plan for using their appropriate
rules or other authority to achieve the desired actions on the part of PWSs.
4.4.5 Special Primacy Requirements Regarding Sanitary Surveys
40 CFR 142.16 Special primacy requirements, (o) (2) State practices or procedures for sanitary surveys.
In addition to the general requirements for sanitary surveys contained in 40 CFR 142.10(b)(2) a primacy
application must describe how the State will implement a sanitary survey program that meets the
requirements of paragraph (o)(2)(i) of this section.
Guidance
The Special Primacy Requirements of 40 CFR 142.16(o)(2) describe several additional provisions states
must apply to their sanitary survey programs for GWSs. These provisions address the aspects of GWSs
that must be evaluated during the sanitary survey, minimum frequencies for conducting the sanitary
surveys, and identification of "significant deficiencies" that require immediate corrective action. It also
offers states the flexibility to reduce the frequency of sanitary surveys necessary for CWSs with 4-log
virus treatment or those deemed by the state to have outstanding performance and to conduct sanitary
surveys in a phased or staged manner.
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The following guidance addresses each subsection of 40 CFR 142.16(o)(2)(i) through (v) in order;
however, the arrangement and structure of the state's description are discretionary provided the state
gives sufficient detail to demonstrate that its strategy and capacity are adequate for meeting the Special
Primacy Conditions. For more detailed guidance see Guidance Manual for Conducting Sanitary Surveys
of Public Water Systems; Surface Water and Ground Water Under the Direct Influence (GWUDI). (EPA
815-R-99-016, April 1999). Available from the Safe Drinking Water Hotline (800) 426-4791 and at
www. epa. gov/safewater/mdbp/pdf/sansurv/sansurv .pdf.
4.4.5.1 Frequency and scope of sanitary surveys
(I): The state must conduct sanitary surveys for all GWSs that address the eight sanitary
survey components listed in this section no less frequently than every 3 years for
community water systems and every 5 years for non-community water systems. The state
may conduct more frequent sanitary surveys for any system. The initial sanitary survey
for community water systems must be conducted by December 31, 2012 and the initial
sanitary survey for non-community water systems must be conducted by December 31,
2014. For the purposes of this paragraph, a "sanitary survey, " as conducted by the state,
includes but is not limited to an onsite review of the water source (identifying sources of
contamination by using results of source water assessments or other relevant information
where available), facilities, equipment, operation, maintenance, and monitoring
compliance of a public water system to evaluate the adequacy of the system, its sources
and operations and the distribution of safe drinking water. The sanitary survey
components are listed in (A)-(H).
(A) Source.
(B) Treatment.
(C) Distribution system.
(D) Finished water storage.
(E) Pumps, pump facilities, and controls.
(F) Monitoring, reporting, and data verification.
(G) System management and operation.
(H) Operator compliance with state requirements.
Guidance
This Special Primacy Requirement addresses the scope of the state's sanitary surveys (eight components
must be included), the minimum frequency for conducting surveys, and the capacity of the state to
conduct these required surveys. States should have adequate resources to comply with these requirements.
States must address scope and frequency of sanitary surveys in their primacy revision application and are
encouraged to address capacity and implementation as well. Some states may have already adopted
relevant authority for these requirements when they adopted the Interim Enhanced Surface Water
Treatment Rule (IESWTR).
Frequency and scope of sanitary surveys
In a state's description of how it will implement a sanitary survey program, the state should demonstrate
that sanitary surveys will address, at a minimum, the eight components listed above. In cases where the
state is currently performing sanitary surveys that meet these minimum requirements, example sanitary
survey forms and completed reports can be used to demonstrate that all eight elements are addressed. If
the state does not believe that it currently performs sanitary surveys that meet the minimum requirements,
the revision application should include details of a plan for upgrading the state's procedures, as necessary,
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including examples of sanitary survey forms that will be used and a description of training for staff
performing sanitary surveys.
The state must show that sanitary surveys will be conducted no less frequently than every 3 years for
CWSs that are not providing at least 4-log treatment of viruses and have not been determined by the state
to have an outstanding performance record. The state must show that sanitary surveys will be conducted
no less frequently than every 5 years for NCWSs and CWSs providing at least 4-log treatment of viruses
or that have been determined by the state to have an outstanding performance record. (See section
4.4.5.3.)
In order to ensure these surveys will be an effective preventive tool for identifying and correcting water
system deficiencies that could pose a threat to public health, states should conduct surveys 3 (or 5) years
from the year the survey was last conducted. Thus, if a sanitary survey for a system on a 3-year cycle is
conducted on June 11, 2008, the next survey should be completed by December 2011. EPA encourages
more frequent sanitary surveys than stated if that is the current practice, or requirement of the state.
Capacity
The state's revision application should address capacity for conducting appropriate sanitary surveys at, or
in excess of, the frequency outlined in 40 CFR 142.16(o)(2)(i). When such capacity exists and the above
requirements are being met or exceeded by an existing program, a summary of the state's sanitary survey
program, including a brief description of past and future schedules, should be sufficient to demonstrate
adequate capacity. The state should also demonstrate that personnel performing the sanitary surveys will
have the professional qualifications and training necessary to assure sanitary surveys are conducted by
appropriately skilled and adequately trained professionals.
A state that does not have an existing sanitary survey program that meets these requirements should
describe its proposed program and estimate the resources directed toward sanitary surveys. The state
should explain how the new requirements will affect its program and whether existing resources will be
adequate. When existing resources are clearly inadequate, the state should provide EPA with a plan for
obtaining additional support before the compliance dates of the rule.
Implementation
Finally, the state should provide EPA with a brief description of its plan for meeting the requirements of
40 CFR 142.16(o)(2)(i) given existing or planned resources, the number of affected GWSs, anticipated
follow-up technical assistance and enforcement needs, and other program demands.
4.4.5.2 Phased sanitary survey process
(ii): The state may use a phased review process to meet the requirements of(o)(2)(i) of this
section if all the applicable elements of(o)(2)(i)(A) through (H) are evaluated within the
required interval.
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Guidance
In view of the fact that states often conduct inspections of one or more of the eight components of a
sanitary survey as part of program efforts separate from the sanitary surveys, the rule allows for those
evaluations and inspections to be used in a staged or phased review process as long as all eight
components are addressed within the required frequency. Other programs whose activities may serve to
address one or more of the components include:
• Source Water Assessment and Protection Program
• Wellhead Protection Program
• Operator Training and Certification Program
• Technical Assistance Programs
• Capacity Development Programs
In addition, some systems are too large or complex to complete a sanitary survey in a single visit. If a
state wishes to conduct sanitary surveys in a staged or phased process, the primacy revision application
should contain a description of relevant programs and activities, how they will be coordinated, the
timeframe, and who the responsible parties will be for follow-up enforcement in response to deficiencies.
A justification is not required if a state chooses not to use the phased approach.
4.4.5.3 Reduced frequency of sanitary surveys for CWSs
(Hi): The state may reduce the sanitary survey frequency for a community water system from
once every three years to no less frequently than every five years if the community water
system either provides at least 4-log treatment of viruses (using inactivation, removal, or
state-approved combination of these technologies) before or at the first customer for all
its ground water sources, or has an outstanding performance record documented in
previous inspections and has no history of total coliform MCL or monitoring violations
under 40 CFR 141.21 (Total Coliform Rule) since the last sanitary survey. In its primacy
application the state must describe how it will decide whether a community water system
has an outstanding performance record.
Guidance
This Special Primacy Requirement allows the state to decrease the frequency of sanitary surveys for some
community GWSs from once every 3 years to once every 5 years. The provision is designed to allow
states to direct their limited resources toward systems that have the greatest potential for posing public
health risks, i.e., those not achieving outstanding performance. States must have a procedure for
determining whether a system should be considered to have outstanding performance. States should also
consider integrating this procedure into the sanitary survey process. The procedure and policy for making
these determinations should provide inspectors with enough direction to ensure consistent
implementation. The policy should also describe who will make the final decision to reduce survey
frequency.
In general, outstanding performance means that a system is well-operated and managed, has a good
record of performance in past sanitary surveys, and has not had any violations in recent years. A state's
specifications for outstanding performance may include factors such as the following:
• No total coliform MCL violations since the last sanitary survey.
• No violations of total coliform monitoring requirements since the last sanitary survey.
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• No violations of primary drinking water regulations during the past 5 years (or similar time
period).
• No waterborne disease outbreaks attributable to the water system during a specified period.
• The last sanitary survey contained no significant deficiencies.
• Existence of emergency preparedness measures and backup facilities.
• Expert management of system (e.g., managers are knowledgeable about providing quality
drinking water; low staff turnover and positive staff morale; well-established water quality
goals).
• Expert operation of the system (e.g., skilled, certified personnel in adequate numbers).
• Existence of quality operations and maintenance (O&M) manuals that are used by the staff.
• Adequate budget and revenues.
• Development and implementation of an effective cross-connection control program.
• Active public outreach programs (e.g., citizen participation committees).
• Stable water source (no interruptions in supply).
• Source water supply drawn from well(s) with sanitary construction, available documentation
(e.g. driller's logs), and protected wellhead areas.
• No identified significant risk of future violations or problems (e.g., equipment past its
service life).
• System capacity sufficient to meet anticipated growth.
• Participation in and achieving treatment goals of an Area-wide Optimization Program
(AWOP) or Partnership for Safe Water.
As noted above, each state should have its own specifications for determining if a system has outstanding
performance. The state may choose to use some or all of the above factors, different factors that have
been developed by the state, or a combination of both.
4.4.5.4 What constitutes a significant deficiency
(iv): The state must describe in its primacy application what constitutes a significant
deficiency in each of the eight sanitary survey elements in paragraphs (o)(2)(i)(A)
through (H) of this section.
Guidance
During sanitary surveys, inspectors often discover a wide range of deficiencies. Some are minor and have
little near-term potential to pose risks to public health or safety. At the other end of the spectrum are
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deficiencies that provide the near-term potential for drinking water to be unsafe or the water system to be
operated in a manner that threatens the safety of operators or the public. States must establish procedures
for inspectors to use to determine the point at which deficiencies become "significant."
The first step in this process is to define what characteristics constitute "significant deficiencies." Many
public health professionals believe that any aspect of a GWS (source, transmission, pumping, treatment,
storage, distribution, operation, maintenance, management, etc.) that may cause, or have potential to
cause, risks to public health or safety should be considered a significant deficiency. EPA does not specify
the definition that a state must use; rather, the Agency suggests that states use their best professional
judgment and expertise to develop and apply their own definitions.
The second step is for the state to develop a procedure whereby inspectors can evaluate system defects
and determine their significance (i.e., whether it meets the state definition of significant deficiency). The
procedure could begin with questions to be asked about each defect. As much as possible, states are
encouraged to develop technically specific definitions of significant deficiencies. A few more general
examples (not intended to be complete) of questions that may help inspectors in making determinations
are the following:
• Is there the potential for contaminants to be introduced to the drinking water due to the
deficiency?
• Would the conditions causing the deficiency be a violation of current state design, treatment,
or operating standards?
• If left uncorrected will the deficiency cause the potential for the introduction of contaminants
at some point in the future?
• Does the deficiency affect treatment in an unacceptable manner?
• Does the deficiency pose risks to the safety of the public or operators?
The GWR requires states to define in their primacy applications at least one significant deficiency in each
of the eight sanitary survey elements (see subsection Examples of possible significant deficiencies). A
description of each significant deficiency identified in the primacy package should also be included.
States are encouraged to go beyond the minimum Special Primacy Requirement of providing at least one
specific significant deficiency in each of the eight sanitary survey elements, and develop a more
comprehensive list of deficiencies that meet the definition of "significant" that require immediate
corrective actions. Such a list may be modified over time based upon state experience, and it is not likely
that all deficiencies will be identified. By establishing its own definition of a significant deficiency and a
list of what deficiencies it considers significant, a state provides consistency throughout all surveys and
among inspectors.
Table 4-3 illustrates one possible approach to categorizing some of the common deficiencies by the
degree of their threat to public health. The list below includes examples of deficiencies that may be
considered significant public health issues. This list is not intended to be comprehensive, but serves as a
guide to states for categorizing significant deficiencies. Other deficiencies could be deemed significant
public health issues.
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Table 4-3. Example Sanitary Survey Deficiencies
(This table is for illustrative purposes only and does not represent federal or state policy)
Finding
No approved construction drawings
Failure to update the water distribution map
Stopping work on system improvements (when stopping work is
not the prudent and reasonable approach)
Loss of distribution system pressure for an extended period of
time
Failure to meet water treatment requirements
Failure to meet water quality MCLs
System continues to operate in a noncompliance mode
Operating in excess of the maximum number of service
connections allowed
System not operating in compliance with water system plan
Minor
X
Moderate
X
X
X
X
Significant
X
X
X
X
Examples of possible significant deficiencies
The following are examples, organized by each of the eight sanitary survey elements, of deficiencies that
states may consider to be significant and require immediate corrective action. (The list is not intended to
be complete.)
• Source
- Not having a secured protective radius around a well.
Wells of improper construction.
• Treatment
Chemical feed rates not adjusted for changes in flow rate.
Inadequate disinfection CT.
- Inadequate application of treatment chemicals.
• Distribution Systems
- TCR sampling plan not representative of distribution system.
Negative pressures at any time.
- Inadequate cross connection controls, either at the treatment facility or in the
distribution system (or failure to have a cross connection control program, when one is
required).
- Unacceptable system leakage that could result in entrance of contaminants.
• Finished Water Storage
- Inadequate internal cleaning and maintenance of storage tank.
- Improper venting of tank.
Lack of proper screening of overflow pipe and drain.
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Inadequate roofing (e.g., holes in the storage tank, improper hatch construction).
- Uncovered finished water reservoir.
• Pumps/Pump Facilities and Controls
- Ponding of water in pump housing.
Inadequate pump capacity.
• Monitoring/Reporting/Data Verification
Failure to properly monitor water quality.
TCR sampling plan not available or not being followed.
- Chronic TCR coliform detections with inadequate remediation.
• Water System Management/Operation
- Lack of properly trained or licensed staff as required by the state.
Lack of approved emergency response plan.
- Failure to meet water supply demands/interruptions to service (inadequate pump
capacity, unreliable water source, lack of auxiliary power).
Inadequate follow-up to deficiencies noted in previous inspection/sanitary surveys.
• Operator Compliance with State Requirements
Operator does not have the correct level of certification as required by the state.
States should make this information available to inspectors performing the sanitary surveys so they can
have guidelines available on which deficiencies meet the state's definition of significant. Inspectors can
also use their state's definition of "significant deficiency" as guidance when they encounter other
deficiencies that may pose a serious public health threat.
If the state determines that a significant public health issue exists, corrective action must be required.
State inspectors may judge other problems as significant enough from a public health viewpoint to require
establishment of a compliance schedule with follow-up action.
References for more detailed guidance
Guidance Manual for Conducting Sanitary Surveys of Public Water Systems; Ground Water. [Under
Development]
Guidance Manual for Conducting Sanitary Surveys of Public Water Systems; Surface Water and Ground
Water Under the Direct Influence (GWUDI) of Surface Water. (EPA 815-R-99-016, April 1999).
Available at www.epa.gov/safewater/mdbp/pdf/sansurv/sansurv.pdf and from the Safe Drinking Water
Hotline. (800)426-4791.
How to Conduct a Sanitary Survey of Small Water Systems, University of Florida Training, Research and
Education for Environmental Occupations Center (developed under EPA Training Grant T902854), 1998.
Available from the National Environmental Training Association, (602) 956-6099.
State Sanitary Survey Resource Directory, AKA EPA/State Joint Guidance on Sanitary Surveys,
Association of State Drinking Water Administrators, 1995. Available from the Safe Drinking Water
Hotline, (800)426-4791.
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4.4.5.5 Notice to system of significant deficiencies
(v): The state must provide GWSs with written notice describing any significant deficiencies
no later than 30 days after the state identifies the significant deficiency. The notice may
specify corrective actions and deadlines for completion of corrective actions.
Guidance
States must describe their process of how they will inform systems of identified significant deficiencies.
The GWR requires states to provide GWSs with written notice describing any significant deficiencies no
later than 30 days after the state identifies the significant deficiency. If the significant deficiency is
identified during a sanitary survey, the state may provide the written notice at the time of the sanitary
survey. For example, some states use forms that are completed during the sanitary survey identifying
significant deficiencies found during the survey. The forms can be carbon copies; the state inspector and
water system representative should both sign the form at the end of the sanitary survey, and each person
should receive a copy of the signed form. EPA believes such an approach would qualify as written
notification for the state and satisfy this notification requirement.
The state may want to notify systems of significant deficiencies in a very brief letter. An example of a
letter format that could be used to make this notification is provided in Example 4-3. Since significant
deficiencies may present a public health risk to consumers, EPA encourages states to notify systems of a
significant deficiency as soon as possible within the allotted 30-day notification period.
Example 4-3. Example Significant Deficiency Notification Letter
State Letterhead
July 21, 2011
James King, Supervisor
and Townsville Town Board
P.O. Box 123
Townsville, ST 12345
RE: Townsville Water District - PWS No. ST1234567
Dear Supervisor King and Town Board Members:
A sanitary survey of the Townsville Water District was conducted on July 17, 2011.1 was accompanied on the
survey by Water Operator Mr. Alex Green, and was also provided information by Mrs. Jenkins. Their assistance is
greatly appreciated. Presented here is a brief description of the system, followed by a summary of my findings from
the survey. Action required by the Water District is explained below.
Water System Description: The Townsville Water District serves the central area of the town. The system has 350
service connections and serves an estimated population of 810 people. The only operational source at this time is
Well #1, located in the town park. The well has two pumps, each capable of 100 gpm; the well is approved for a
daily withdrawal of 150 gpm (216,000 gpd). Chlorine gas (for disinfection) and soda ash (for corrosion control) are
added in the treatment building situated adjacent to the well. Most of the distribution system is PVC pipe installed in
recent years. One steel storage tank holding 380,000 gallons is located at the north end of the district.
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Operation and Maintenance: General operation and maintenance under the direction of Mr. Green has been very
good. The system is in compliance with all monitoring and reporting requirements. Lead and copper levels in the
system have been acceptable since the soda ash injection was installed.
System Deficiencies: Deficiencies found during the survey are noted below. The significant deficiencies must be
addressed immediately. Townsville Water District should contact our office within 20 days of receiving this letter
to notify us that these significant deficiencies have been addressed. Deadlines for addressing the other deficiencies
are provided below.
Significant Deficiency: The chlorine gas canisters are not secured (chained) in the treatment chamber.
They must be chained and secured.
Significant Deficiency: The treatment plant that houses the chlorine gas and soda ash is not locked. A lock
must be installed so the public cannot enter the treatment plant.
Significant Deficiency: Full chlorine gas canisters are stored outside the treatment building in an area that
is accessible to the public. The full canisters must be stored in a secure chamber with proper sensors,
ventilation, and alarm.
Deficiency: The source water meter is not working. It should be repaired or replaced within 6 months.
Deficiency: The cage on the ladder of the storage tank is broken. It should be repaired within 6 months.
Deficiency: The storage tank has not been drained and cleaned in over 15 years. Customer taste and odor
complaints, as well as a significant drop in the chlorine residual in water leaving the storage tank, suggest
there may be silt in the tank that needs to be removed. The tank should be cleaned before the next sanitary
survey (in three years).
Enclosed are forms that summarize the information and document the findings described in this report. If you have
any questions about this report, or your water system in general, please contact our office.
Sincerely,
Jill Smith, P.E.
Senior Sanitary Engineer
Enclosures
cc: Mr. Alex Green
Mrs. Jenkins
State Health Department Central Office
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4.4.6 Special Primacy Requirements Regarding Routine Source Water Microbial
Monitoring
40 CFR 142.16 Special primacy requirements. (o)(3) State practices or procedures for source water
microbial monitoring. The state's primacy application must include a description of the following:
Guidance
The Special Primacy Requirements of 40 CFR 142.16(o)(3) address the rationales the state used when
determining source water monitoring criteria.
The following guidance addresses each subsection of 40 CFR 142.16(o)(3)(i) through (iv) in order;
however, the arrangement and structure of the state's description are discretionary provided the state
gives sufficient detail to demonstrate that its strategy and capacity are adequate for meeting the Special
Primacy Conditions.
4.4.6.1 Extending 24-hour time limit to collect triggered source water sample
(i): Criteria that will be used under 40 CFR 141.403(a)(2)(i) and 141.402(d)(2) for extending
the 24-hour time limit for a system to collect a ground water source sample to comply
with the source water monitoring requirements.
Guidance
In this Special Primacy Requirement, states must address allowable situations that would prevent a GWS
from collecting a required triggered source water sample within the 24-hour time limit. Factors may
include lab availability (e.g., lab closed on the weekend) and mail service. States may allow a delay in
triggered source water sampling when an extreme condition or circumstance would put the sample
collector in danger (e.g., severe weather conditions) or the delay cannot be avoided. If additional time is
allowed for sampling, the system should sample as close to the 24-hour window as possible. EPA
suggests that states require systems to call for pre-approval of the delay.
4.4.6.2 Total coliform-positive sample solely the result of a distribution system deficiency
(ii): Criteria that will be used under 40 CFR 141.402(a)(5) and 141.402(a)(5)(ii) to determine
whether the cause of a total coliform-positive sample taken under 40 CFR 141.21 (Total
Coliform Rule) is directly related to the distribution system.
Guidance
Triggered source water monitoring is required after a total coliform-positive sample is collected from the
distribution system in compliance with the TCR. A GWS may not be required to comply with the
triggered source water monitoring requirement if the GWS provides documentation to the state within 30
days of the total coliform-positive sample that it met the state criteria for distribution system conditions
that cause total coliform-positive samples. In addition the state can determine that a total coliform-
positive sample collected under the TCR was caused by a distribution system deficiency. To meet this
Special Primacy Requirement, states must describe the criteria that will be used to determine whether a
total coliform-positive sample taken under the TCR is directly related to the distribution system. States
may consider that samples constitute documentation of a distribution system deficiency. For example,
follow-up distribution sampling or system repair records may be useful.
GWR Implementation Guidance 93 January 2009
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Some examples are:
• If the water system is known to have recurring documented biofilm problems and the total
coliform-positive sample is convincingly related to biofilm growth in the distribution
system;
• After a storage tank inspection where contamination is evident;
• After main repair or repair of a storage tank;
• In a zone of the distribution system where water pressure is negative or low (e.g., less than
20 psi); or,
• When it is likely that contamination is the result of a cross connection in the distribution
system.
The reasons for triggered source water samples not being taken should be valid and defensible, and past
distribution system problems supporting the total coliform-positive result should have been documented
before the positive coliform sample result was received. For example, if a system attributes a positive
total coliform result to a cross connection, the cross connection should have been previously identified
and documented in writing before the positive total coliform sample was collected. In such a case, EPA
recommends that a plan be put in place to address cross connection problems.
4.4.6.3 Invalidation of fecal indicator-positive samples
(Hi): Criteria for determining whether to invalidate a fecal indicator-positive sample under 40
CFR141.402(d)(l).
Guidance
For this Special Primacy Requirement, states must describe criteria they will use to determine whether a
fecal indicator-positive sample does not reflect the true source water quality and should therefore be
invalidated. Criteria may not be based solely on a belief that improper sample collection procedures were
used. Suspected improper sample collection procedures should not be considered adequate cause because
a sample collector handling error would not be expected to cause fecal contamination.
States must use the provisions for sample invalidation criteria reported in the TCR at 40 CFR 141.21(c).
In summary, these criteria are:
• If the laboratory establishes that improper sample analysis caused the fecal indicator-positive
result.
• If the state has substantial grounds to believe that a fecal indicator-positive result is due to a
circumstance or condition that does not reflect water quality in the ground water source. In
this case, the system must collect another source water sample within 24 hours of being
notified by the state of its invalidation decision, and have that sample analyzed for the same
fecal indicator that was analyzed in the invalidated sample. The state may extend the 24-hour
time limit on a case-by-case basis if the system cannot collect the source water sample
within 24 hours due to circumstances beyond its control. In the case of an extension, the
state must specify how much time the system has to collect the sample.
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• The state should document its decision to invalidate a sample, along with the rationale for
the decision, in writing. The decision should be approved and signed by the supervisor or the
state official who recommended the decision, and the document should be made available to
EPA and the public. The written documentation should state the specific cause of the fecal
indicator-positive sample, and what action was taken by the system in response.
• The state should not invalidate a fecal indicator-positive sample solely on the grounds that
repeat samples were fecal indicator negative.
4.4.6.4 Monitoring at a Location After Treatment
(iv): Criteria the State will use to allow source water microbial monitoring at a location after
treatment under 40 CFR 141.402(e)(l).
Guidance
Systems must collect source water samples at a location prior to any treatment. The state may, however,
allow systems to collect samples after chemical treatment if the state determines that collecting a sample
before treatment is not feasible and if the treatment is unlikely to have an adverse effect on sample
analysis. In general, any preceding treatment should not interfere with the analytical method used to
measure the fecal indicator, nor should the treatment provide any inactivation or removal of the fecal
indicator being tested. For example, ground water treatment with greensand filters frequently uses
potassium permanganate to oxidize iron and manganese before filtering those metals out. Potassium
permanganate may provide some inactivation of, and filtration is likely to remove, viruses and bacteria.
Therefore, it would not be appropriate for a system to collect a triggered source water sample after its
greensand filters. On the other hand, wells that pump sand are often equipped with sand separators that
are unlikely to have an impact on the microbial quality of the water.
States could meet this requirement by stating that sampling locations after treatment will only be allowed
if a system meets two conditions are shown to have been met: 1) the treatment will have no impact on
microbial quality of the water, and 2) it is not possible to directly sample the untreated water.
4.4.7 Special Primacy Requirements Regarding Treatment Technique Requirements
40 CFR 142.16 Special primacy requirements. (o)(4) State practices or procedures for treatment
technique requirements. As a condition of primacy, the State must verify that significant deficiencies or
source water fecal contamination have been addressed. The State must verify within 30 days after the
GWS has reported to the State that it has completed corrective action. The State must verify either
through written confirmation from the GWS or a site visit by the State. Written notice from the GWS
under 141.405 (a) (2) of this chapter may serve as this verification. The State's primacy application must
include the following:
The following guidance addresses each subsection of 40 CFR 142.16(o)(4)(i) through (vi) in order;
however, the arrangement and structure of the state's description are discretionary, provided the state
gives sufficient detail to demonstrate that its strategy and capacity are adequate for meeting the Special
Primacy Conditions.
GWR Implementation Guidance 95 January 2009
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4.4.7.1 Confirmation of system achieving at least 4-log treatment of viruses
(i): The process the state will use to determine that a GWS achieves at least a 4-log treatment
of viruses (using inactivation, removal, or a combination ofinactivation and removal)
before or at the first customer for a ground water source for systems that are not subject
to the source water monitoring requirements of 141.402(a) because the GWS has
informed the State that it provides at least 4-log treatment of viruses.
Guidance
The state must explain the criteria that will be used for determining when a GWS has met the 4-log
inactivation requirements. The state should be explicit in its explanation as to how it will confirm that
systems are achieving 4-log treatment of viruses. Criteria may include determination of the appropriate
treatment technology, treatment design and specifications constituting sufficient inactivation and or
removal, the minimum contact time required for compliance to be achieved at the minimum disinfectant
residual, and submission of records of contact time calculations or records documenting maintenance of a
minimum disinfectant residual.
EPA recommends that the state use applicable EPA-developed virus CT (the product of disinfection
concentration in mg/L and time in minutes) tables to determine the concentration and contact time
requirements necessary to achieve 4-log virus inactivation using chemical disinfection. If alternative
criteria will be used by GWSs for compliance, the state must describe the treatment and compliance
monitoring basis for the specified 4-log virus inactivation method. The description should include how
the state will factor into its determination contact time correction factors (e.g., baffling factors), pH,
temperature, flow, and minimal residuals.
While the GWR does not include CT tables for 4-log inactivation of viruses, states are encouraged to
consider CT tables developed for the Surface Water Treatment Rule as helpful references when
developing minimum disinfection requirements. Table 4-4 provides CT values for inactivation of viruses
by free chlorine in waters with pH values falling within the range of 6.0 to 9.0. Table 4-5 provides CT
values for inactivation of viruses by chlorine dioxide in waters with pH values falling between 6.0 and
9.0. Table 4-6 provides CT values for inactivation of viruses by ozone. Table 4-7 provides CT values for
inactivation of viruses by free chlorine in water with a pH of 10. The CT tables provided in Tables 4-4
through 4-7 have been adapted from tables provided in EPA's Guidance Manual for Compliance with the
Filtration and Disinfection Requirements for Public Water Systems Using Surface Water Sources, March
1991 Edition. No CT table is provided for chloramines because EPA anticipates that CT values needed to
achieve 4-log virus inactivation using chloramines will be prohibitively high for most GWSs.
GWR Implementation Guidance 96 January 2009
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Table 4-4. CT Values for Inactivation of Viruses by Free Chlorine, pH 6.0-9.0
Degrees C
Inactivation
(log)
2
3
4
1
5.8
8.7
11.6
2
5.3
8.0
10.7
3
4.9
7.3
9.8
4
4.4
6.7
8.9
5
4.0
6.0
80
6
3.8
5.6
76
7
3.6
5.2
79
8
3.4
4.8
68
9
3.2
4.4
64
10
3.0
4.0
60
11
2.8
3.8
56
12
2.6
3.6
59
13
2.4
3.4
48
14
2.2
3.2
44
15
2.0
3.0
40
16
1.8
2.8
38
17
1.6
2.6
36
18
1.4
2.4
34
19
1.2
2.2
39
20
1.0
2.0
30
21
1.0
1.8
98
22
1.0
1.6
96
23
1.0
1.4
94
24
1.0
1.2
99
25
1.0
1.0
90
CT values provided in the tables are modified by linear interpolation between 5°C increments.
Table 4-5. CT Values for Inactivation of Viruses by Chlorine Dioxide, pH 6.0-9.0
Degrees C
Inactivation
(log)
2
o
j
4
1
8.4
956
50 1
2
7.7
93 5
459
3
7.0
91 4
41 8
4
6.3
199
376
5
5.6
17 1
334
6
5.3
169
31 7
7
5.0
154
30 1
8
4.8
145
984
9
4.5
137
968
10
4.2
19 8
95 1
11
3.9
190
934
12
3.6
11 1
91 7
13
3.4
103
90 1
14
3.1
94
184
15
2.8
86
167
16
2.7
89
159
17
2.5
77
150
18
2.4
73
149
19
2.2
68
13 3
20
2.1
64
19 5
21
2.0
60
11 7
22
1.8
56
10.9
23
1.7
5 1
10.0
24
1.5
47
9.2
25
1.4
43
8.4
CT values provided in the tables are modified by linear interpolation between 5°C increments.
Table 4-6. CT Values for Inactivation of Viruses by Ozone
Degrees C
Inactivation
(log)
2
3
4
1
0.90
1 40
1.80
2
0.83
1 98
1.65
3
0.75
1 15
1.50
4
0.68
1 03
1.35
5
0.60
090
1.20
6
0.58
088
1.16
7
0.56
086
1.12
8
0.54
084
1.08
9
0.52
089
1.04
10
0.50
080
1.00
11
0.46
074
0.92
12
0.42
068
0.84
13
0.38
069
0.76
14
0.34
056
0.68
15
0.30
0 50
0.60
16
0.29
048
0.58
17
0.28
046
0.56
18
0.27
044
0.54
19
0.26
049
0.52
20
0.25
040
0.50
21
0.23
037
0.46
22
0.21
034
0.42
23
0.19
031
0.38
24
0.17
098
0.34
25
0.15
025
0.30
CT values provided in the tables are modified by linear interpolation between 5°C increments.
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Table 4-7. CT Values for Inactivation of Viruses by Free Chlorine, pH 10
Degrees C
Inactivation (log)
2
3
4
0.5
45
66
90
5
30
44
60
10
22
33
45
15
15
22
30
20
11
16
22
25
7
11
15
States should describe criteria for determining effective contact times provided by typical configurations
for hydropneumatic tanks and other storage facilities that GWSs will use to obtain disinfectant contact
time. For example, hydropneumatic pressure tanks and storage tanks that "ride" or "float" on the
distribution system should not typically be considered for provision of contact time because the
chemically treated water is not obliged to pass through them under all conditions of flow. States should
also explain their approach to making baffling factor determinations. Larger GWSs with gravity storage
can obtain guidance for determining the effectiveness of chemical disinfection in EPA's 1991 edition of
Guidance Manual for Compliance with the Filtration and Disinfection Requirements for Public Water
Systems Using Surface Water Sources. Also, Appendix D in EPA's Disinfection Profiling and
Benchmarking Guidance Manual (EPA-815-R-99-013, August 1999) provides information on baffling
factors, tracer studies and other issues related to determining the amount of disinfectant contact time
provided by water systems.
While the above referenced guidance manuals are especially helpful to surface water systems, they should
not be expected to provide all the information necessary for GWSs. This is true for a few reasons. First,
while both ground and surface water systems are most likely to use free chlorine as a chemical
disinfectant, the target organisms of most concern are very different. In the case of surface water systems,
the target organism is Giardia lamblia. GWSs, on the other hand, target viruses. In comparing the
disinfection requirements for two systems with the same temperature (15 degrees C), pH (7) and chlorine
residual (1.0 mg/L), the respective CT requirements can be very different. For the surface water system
the requirements would be 25 mg/L-min. for 1-log and 75 mg/L-min. for 3-log Giardia lamblia
inactivation; therefore requiring 25 minutes contact time in one case and 75 minutes in the other. For the
GWS the requirement would be 4 mg/L-min. for 4-log virus inactivation. Thus, 4 minutes of contact time.
Therefore, while the surface water guidance recommends consideration of a worst-case scenario at daily
peak hourly flow, this may not be appropriate for all GWSs.
The second major difference between ground and surface water systems is also related to water
production rates. While most surface water plants generally produce water at constant rates and have
clearwells to provide contact time, this is not true for many GWSs, particularly the smaller GWSs (i.e.,
those serving less than 100 people). Small GWSs typically have wells that pump into the distributions
system and are equipped with hydropneumatic tanks intended to limit the cycling of the well pumps. For
these systems a pressure switch turns the well pump on at a minimum distribution system pressure (e.g.,
35 psi), then the well pumps water until an upper pressure is reached, perhaps 65 psi, and the pressure
switch turns the pump off. As shown by the example pump curve in Figure 4-2, the flow rate from the
well varies greatly as the pressure changes during the pump cycle. At the turn-on pressure of 35 psi, the
well production rate is 58 gpm or about 145% of the flow rate at shut-off pressure (65 psi). In atypical
small hydropneumatic tank system, the well may often pump at this higher rate for several minutes during
peak demand periods. Therefore, it is appropriate for states to consider these momentary peaks in water
demand for determining the provisions necessary to ensure adequate contact time.
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Figure 4-2. Example Pump Curve for A Ground Water Well
IN
Si
Pressure
(psig)
4(1 GPM ia
Q (Flow in GPM)
Figure 4-3 shows a schematic drawing of a typical small GWS well equipped with a shallow well pump
and a hydropneumatic tank for limiting the pump's cycling. As shown, the chlorine solution is injected
into the discharge line ahead of the hydropneumatic tank. However, the volume of the tank cannot be
considered for contact time because, when turn-on pressure occurs, the tank is effectively empty. At this
point the pump is producing 58 gpm and, during peak demand times, all water will be bypassing the
hydropneumatic tank and entering the distribution system to satisfy demand. Therefore, there should be
provisions to provide the minimum contact time between the point of chlorine injection and the first
customer. In this example, that means a minimum effective volume of 232 gallons (58 gpm X 4 min. =
232 gallons). Assuming the pipe between the discharge chlorine injection point and the first customer is
all 2-inch diameter, 1,422 feet of pipe would be necessary to provide 4 minutes of contact time at 58 gpm
(i.e., n (2/12')2/4 X 1,422' X 7.48 gallons/ft3 = 232 gallons). For most small systems, it is unlikely that
there is that much pipe between the well and the first customer. As a result, provisions for contact time
will often have to be added to ensure 4-log virus inactivation.
There are a variety of ways contact time can be added in small GWSs. Where possible, it is best and least
expensive to try and add the contact time without the need for re-pumping the treated water. In this
example, one could put 40 feet of 12-inch water main between the chlorine injection point and the first
customer (i.e., FI (l')2/4 X 40' X 7.48 gallons/ft3 = 235 gallons) and, assuming plug flow, there would be
a minimum of 4 minutes contact time at 58 gpm, thus, a CT of 4 mg/L-min. with a free chlorine residual
of l.Omg/L.
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Figure 4-3. Schematic of Hydropneumatic System
Comroli
• . Well
In some cases where there is adequate above-ground, heated storage, pressure vessels with a high length
to diameter ratio can be useful tools for adding contact time without the need for pumping to storage and
re-pumping. Figure 4-4 shows an example of five pressure vessels placed in series to provide contact
time. Assuming each vessel has a diameter of 1.5 feet and a length of 8 feet, they would have a gross
volume of 528 gallons. If the state granted a baffling factor of 0.7, this would provide an effective volume
of 370 gallons, more than enough to ensure 4 minutes contact time.
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Figure 4-4. Five Pressure Vessels in Series
Unlike chemical disinfectants, UV leaves no residual that can be monitored to determine UV dose and
inactivation credit. The UV dose depends on UV intensity (measured by UV sensors), flow rate, and UV
transmittance (UVT). UV intensity measurements may account for UVT depending on sensor locations.
For systems using UV, a relationship between the required UV dose and these parameters should be
established and then monitored at the water treatment plant to ensure sufficient disinfection. Section
4.4.7.4 discusses monitoring of UV treatment in more detail.
EPA has developed a UV dose table for inactivation of viruses (Table 4-8). Data published subsequent to
the GWR proposal has indicated that some viruses, particularly adenoviruses, are more resistant than
other viruses to UV light. Therefore, the final GWR does not include an explicit reference to UV as a
stand-alone technology to achieve 4-log virus inactivation. EPA is concerned that fecally-contaminated
ground water may contain adenoviruses, or other viruses, that are resistant to UV inactivation. EPA is
aware that there is ongoing research addressing the effectiveness of UV in inactivating adenoviruses.
However, at the time this document was developed there was not enough information on the new research
to recommend UV as a stand-alone technology to achieve 4-log virus inactivation. As the findings of this
new research are published and presented, states may decide to utilize this information when reviewing
proposals from GWSs to install UV technologies.
Table 4-8. Virus Inactivation from UV dose (mJ/cm2) l
Target
Pathogen
Viruses
Log Inactivation
0.5
39
1.0
58
1.5
79
2.0
100
2.5
121
3.0
143
3.5
163
4.0
186
1.40CFR141.720(d)(l).
Any UV reactors used for virus inactivation should undergo challenge testing to validate the dose level
delivered so that effective public health protection is provided by systems using UV disinfection. At
present, EPA is unaware of available challenge testing procedures that can be used to validate the
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performance of UV reactors at dose levels needed for a 4-log inactivation of adenovirus. EPA is aware
that there is ongoing research that may affect challenge testing procedures. However, at the time this
document was developed there was not enough information on the new research to recommend UV as a
stand-alone technology to achieve 4-log virus inactivation. As the findings of this new research are
published and presented states may decide to utilize this information when reviewing proposals from
GWSs to install UV technologies.
The UV technology can, however, be used in a series configuration or in combination with other
inactivation or removal technologies to provide a total 4-log treatment of viruses to meet the GWR's
requirements. EPA believes that a UV reactor dose verification procedure for 4-log inactivation of a range
of viruses may be developed in the future. With the future development of UV validation procedures, it
may become feasible for systems to demonstrate that they can achieve 4-log inactivation of viruses with a
single UV light reactor. Therefore, the GWR allows states to approve and set compliance monitoring and
performance parameters for any alternative treatment, including UV light or UV light in combination with
another treatment technology that will ensure that systems continuously meet the 4-log virus treatment
requirements.
The UV doses provided in Table 4-8 account for uncertainty in the UV dose-response relationships of
viral pathogens but do not address other significant sources of uncertainty in full-scale UV disinfection
applications. These other sources of uncertainty are due to the hydraulic effects of the UV installation, the
UV reactor equipment (e.g., UV sensors), and the monitoring approach. Due to these factors, GWSs
installing UV should use UV reactors that have undergone validation testing. This validation testing
should determine the operating conditions under which the reactor delivers the required UV dose for
treatment credit. Operating conditions should include flow, UV intensity as measured by a UV sensor,
and UV lamp status. For more information on UV validation testing, refer to EPA's Ultraviolet
Disinfection Guidance Manual Final (EPA 815-R-06-007, November 2006).
To receive inactivation credit, the UV reactors should be operated within the validated limits. When a UV
reactor is operating outside of these limits, the UV reactor is operating off-specification. Ground water
systems that use UV disinfection to provide inactivation of viruses for GWR compliance should
demonstrate that at least 95 percent of the water delivered to the public during each month is treated by
UV reactors operating within validated limits. Guidance on determining validated operating conditions is
provided in EPA's Ultraviolet Disinfection Guidance Manual Final (EPA 815-R-06-007, November
2006).
4.4.7.2 Determine the minimum residual disinfectant concentration
(ii): The process the state will use to determine the minimum residual disinfectant
concentration the system must provide prior to the first customer for systems using
chemical disinfection.
Guidance
Residual disinfectant concentration is the concentration of the disinfectant (in mg/L) at a point before or
at the first customer. Systems conducting compliance monitoring and providing chemical disinfection
must maintain a minimum residual disinfectant concentration at or before the first customer. This
minimum residual disinfectant concentration is directly related to ensuring the system is achieving at least
4-log treatment of viruses before or by the time the water reaches the first user. The state primacy
application must include an explanation and rationale for how the state will decide what that minimum
residual disinfectant concentration will be for each system. If the state sets the minimum residual
GWR Implementation Guidance 102 January 2009
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disinfectant concentration level on a system-by-system basis, the application will need to explain the
rationale and information that will be required from systems in order to make the determination.
States may consider setting minimum residual disinfectant concentrations on a system-by-system basis in
accordance with CT requirements. Systems with substantial contact time before their first customers can
achieve the required CT at a lower disinfectant residual concentration than systems with limited contact
time. Therefore, states may determine it is appropriate to have different minimum residual disinfectant
concentrations depending on the contact time available before the first customer. Alternatively, states may
decide to require a uniform minimum residual disinfectant concentration that will apply to all systems
using chemical disinfectant. In this case, states would have to take measures in their permitting process to
ensure that adequate contact is available in each system to achieve 4-log virus inactivation. For either
requirement, the state must explain in its primacy application the basis for its approach.
One approach for meeting this primacy requirement would be to point out that the state through its
permitting (plant and specification approval) process, would address each system's specific configuration,
water quality (e.g., temperature, pH), and require conditions of chlorine residual and contact time at peak
momentary demand that would result in a minimum CT capable of inactivating 4-log viruses in
accordance with EPA's CT tables.
4.4.7.3 State-approved alternative technologies
(Hi): The state-approved alternative technologies that GWSs may use alone or in combination
with other approved technologies to achieve at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved combination of inactivation and removal)
before or at the first customer for a ground water source.
Guidance
Under this Special Primacy Requirement states must identify the state-approved alternative technologies
that the GWS may use alone or in combination with other approved technologies to achieve at least 4-log
virus inactivation, removal, or a state-approved combination of these technologies before or at the first
customer. The application should include a list of the approved alternative technologies and the rationale
for allowing the use of the alternative technologies.
States may want to allow themselves flexibility to address technologies that may emerge in the future by
obtaining the authority to review and approve all treatment/disinfection technologies that have potential to
be applied for removal and inactivation of microbial contaminants. If they do this, they should ensure in
their permitting/approval process that there is adequate evidence confirming the long-term ability of the
process(s) to achieve at least 4-log virus treatment.
Systems may claim credit for UV processes for inactivation of viruses. Section 4.4.7.1 explains EPA's
concerns about current limitations of challenge testing of UV reactors with respect to adenoviruses (and
perhaps other viruses) and EPA's recommendations to states regarding the application of UV treatment.
4.4.7.4 Monitoring and compliance criteria
(iv): The monitoring and compliance requirements the state will require for GWSs treating to
at least 4-log treatment of viruses (using inactivation, removal, or a state-approved
combination of inactivation and removal) before or at the first customer for state-
approved alternative treatment technologies.
GWR Implementation Guidance 103 January 2009
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Guidance
State primacy applications should include an explanation of the monitoring requirements and compliance
criteria the state will require for systems using alternative treatment technologies. This includes an
explanation of the types of monitoring and reporting that systems will have to complete and submit to the
state. States may want to consider each technology or combination of technologies, on a case-by-case
basis and require appropriate monitoring for ensuring that a minimum of 4-log virus removal/inactivation
would be achieved during peak momentary demand.
For example, EPA recommends that PWSs check their UV units daily to ensure they are operating
properly. PWSs should monitor their UV reactors to determine if the reactors are operating within
validated conditions. This monitoring should include UV intensity as measured by a UV sensor, flow rate,
lamp status, and other parameters designated by the state. UV reactors should also be regularly monitored
to diagnose operating problems, determine when maintenance is necessary, and maintain safe operation.
In addition to monitoring operational parameters, PWSs should verify the calibration of UV sensors in
accordance with a protocol that the state approves. States are encouraged to refer to EPA's Ultraviolet
Disinfection Guidance Manual Final (EPA 815-R-06-007, November 2006) for more information on
routine monitoring and calibration of UV units.
States are encouraged to require GWSs using UV to prepare and submit monthly reports to the state. The
monthly report should include the percentage of off-specification water for the UV facility and the UV
sensor calibration monitoring. The percentage of UV sensors checked for calibration should also be
reported monthly. All UV sensors in operation that month should be checked. Additionally, the daily low
validated dose or daily low UV intensity, depending on the dose-monitoring strategy, should be reported
to the state monthly.
Example 4-4 provides an example of a summary report that could be completed by the PWS and
submitted to the state on a monthly basis. Examples 4-5 and 4-6 are example operating logs that would be
completed on a daily basis for the calculated dose and UV Intensity Setpoint Approach, respectively. The
forms would be used to record the operating status of the UV equipment and to record the volume of
water discharged during off-specification operation each day. Additional examples of operating logs for
UV are provided in EPA's Ultraviolet Disinfection Guidance Manual (EPA 815-R-06-007, November
2006).
GWR Implementation Guidance 104 January 2009
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Example 4-4. Example Summary Monthly Report for a GWS Disinfecting with UV
Radiation
Reporting Period:
System/Treatment Plant:
PWSID:
Signature of Principal Executive: Date:
Officer or Authorized Agent: Date:
Unit Number
Total
Total Run Time
(hrs)
Total Production
(MG)
Off-Specification Data
Number of Off-
Specification Events
Total Off-Specification
Volume
(MG)
Compliance Certification
Total Volume of Off-Specification Water Produced (MG) [A]
Total Volume of Water Produced (MG) [B]
Total Off-Specification Water Produced (% of Volume of Water Produced) ([A]/[B]*100)
Facility Meets Off-Specification Requirement (< 5% of Volume on a Monthly Basis) (Y/N)
Of the sensors, have been checked for calibration and were within the acceptable range of tolerance.
The Following Reactors had a Sensor Correction Factor
Reactor Number
Sensor Correction Factor
GWR Implementation Guidance
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January 2009
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Example 4-5. Example Daily Operating Log for Calculated Dose Approach
Reporting Period:
System/Treatment Plant:
PWSID:
UV Reactor:
Process Train:
Operator Signature:
Date:
Operational Data
Day
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
Min
Max
Run Time (hrs)
Total Production
(MG)
Maximum Validated Flow Rate:
Min mum Validated UVT:
Target Log Inactivation:
Target Pathogen:
Dose Required (Dreq'd):
Validation Factor (VF):
Dose Requirements
(mJ/cm2)
[A]
Calculated Dose
Validated Dose
VFxCF
Calculated Dose =Dose that is calculated by validated PLC algorithm
VF = Validation factor
CF = UV intensity sensor correction factor.
The CF is only applied if sensors do not meet recommended criteria
(NOTE - a CF will not be needed in most cases)
Data at Daily Minimum Validated Dose
Sensor Correction
Factor2
[B]
Calculated Dose3
(mJ/cm2)
[C]
Daily Minimum
Validated Dose4
([C]/[VF]/[B])
(mJ/cm2)
[D]
Flow Rate
(MGD)
UVT
UV Dose Adequacy
Determination
Validated Dose >
Dreq'd
(Y/N)
^m
Total Off-
Specification
Total Off-
Specification Volume
(MG)
^H
1 Dret)'d is the dose required for the target log inactivation without a VF or Sensor CF applied and can be found in the UVDGM Table 1 .4.
2 Sensor CF will be 1 is no CF is used
3 Calculated dose is calculated using the dose algorithm in the PLC.
4 The Validated Dose is the dose based on the calculated dose that is normalized on the Validation Factor and Correct on Factor
5 Off-specification worksheet (Figure 6.5) should be used to ca culate daily off-specification volume. If UVT, flowrate, and/or Validated Dose off-specification occur simultaneously, the off-specification t me should only be counted once
GWR Implementation Guidance
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January 2009
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Example 4-6. Example Daily Operating Log for UV Intensity Setpoint Approach
Reporting Period:
System/Treatment Plant:
PWSID:
UV Reactor:
Process Train:
Operator Signature:
Date:
Operational Data
Day
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
Min
Max
Run
Time
(hrs)
Total
Production
(MG)
Flow Rate
Min (mgd)
Ave (mgd)
Max (mgd)
Maximum Validated Flow Rate:
Minimum Validated UVT:
Target Log Inactivation:
Target Pathogen:
Intensity Setpoint:
Intensity Requirements
Intensity Setpoint
(W/m2)
[A]
Sensor Correction
Factor1
[B]
Adjusted Intensity
Setpoint
(W/m2)
([A]*[B])
[C]
Daily Minimum Intensity
Daily Minimum
Intensity
(W/m2)
[D]
Minimum Daily
Intensity >
Adjusted Intensity
Setpoint
([D] > [C])
(Y/N)
^m
Total Flow Off-
Specification
Total Flow Off-
Specification3
(MG)
^
1 Sensor CF will be 1 is no CF is used.
UVT measurements are not required but could be useful in addressing operational issues.
3 Off-specification worksheet (Figure 6.5) should be used to calculate daily off-specification volume. If UV intensity or flowrate off-specification occur simultaneously, the off-specification time should only be
counted once
GWR Implementation Guidance
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January 2009
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4.4.7.5 Monitoring, compliance, and membrane integrity testing requirements
(v): The monitoring, compliance and membrane integrity testing requirements the state will
require to demonstrate virus removal for GWSs using membrane filtration technologies.
A GWS that uses membrane filtration to meet the treatment technique requirements must monitor the
membrane filtration process in accordance with state-specified monitoring requirements. A GWS that
uses membrane filtration is in compliance with the treatment requirement to achieve at least 4-log
removal of viruses when:
• The membrane has an absolute molecular weight cut-off or an alternate parameter that
describes the exclusion characteristics of the membrane and can reliably achieve at least 4-
log removal of viruses;
• The membrane process is operated in accordance with state-specified compliance
requirements; and,
• The integrity of the membrane is intact.
Because removal of viruses by membrane filtration does not enable measurement of a residual or
measurable turbidity breakthrough to ensure treatment performance, states must provide alternative
compliance monitoring criteria. Criteria must ensure maintenance of the integrity of the membrane to
prevent passage of virus particles. Criteria may include routine pressure testing and reporting of the
results as prescribed by the membrane manufacturer, turbidity monitoring, monitoring of an associated
chemical parameter, or other site-specific variables.
To grant removal credit to systems using membrane filtration, states should ensure that the membrane
technology is a pressure- or vacuum-driven separation process in which particulate matter is rejected by a
nonfibrous, engineered barrier, primarily through a size exclusion mechanism. The membrane technology
should also allow for routine direct integrity testing while in operation to verify that the removal
efficiency demonstrated through challenge testing is being achieved.
The removal efficiency demonstrated during challenge testing establishes the maximum removal credit
that a membrane filtration process is eligible to receive, provided this value is less than or equal to the
maximum log removal value that can be verified by the direct integrity test (a physical test applied to a
membrane unit to identify and isolate integrity breaches such as leaks). The state may use its discretion
when considering data from challenge studies conducted prior to promulgation of the GWR in lieu of
requiring additional testing. Additional requirements and guidance on membrane filtration is provided in
EPA's Membrane Filtration Guidance Manual: Overview and Summary Factsheet and EPA's Membrane
Filtration Guidance Manual (EPA 815-R-06-009, November 2005).
4.4.7.6 Discontinuation of 4-log virus inactivation, removal, or a state-approved combination of
these technologies
(vi): The criteria, including public health-based considerations and incorporating on-site
investigations and source water monitoring results, the state will use to determine if a
GWS may discontinue 4-log treatment of viruses (using inactivation, removal, or a state-
approved combination of inactivation and removal) before or at the first customer.
GWR Implementation Guidance 108 January 2009
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Guidance
A GWS may discontinue 4-log treatment of viruses if the state determines and documents in writing that
4-log treatment of viruses is no longer necessary for that ground water source. The state primacy
application must include an explanation of what criteria the state will use to determine whether a water
system may discontinue its 4-log treatment of viruses. These criteria should be strict enough to not
compromise public health protection if the 4-log treatment were to be discontinued. EPA encourages
states to set rigorous requirements for discontinuing treatment. Criteria may include results of on-site
investigations, source water monitoring, and documentation of well rehabilitation. For example, system
and state could document that a source of contamination has been completely removed and will no longer
present a threat to the ground water source being treated. If the state were to determine and document that
source water protection actions eliminated the source of fecal contamination, the state may decide to
allow the GWS to discontinue its treatment.
Examples of when it may be appropriate to discontinue treatment are:
• The previous source is replaced by a source that has been shown to be less sensitive
hydrogeologically and free from contamination based on source water monitoring;
• A well with structural conditions resulting in impairment of its water quality (e.g., not
terminated above grade, inadequate well cap, lack of sanitary seal, improper grouting) is
rehabilitated and conditions no longer exist; and,
• A year of monthly source water monitoring for a fecal indicator and detailed evidence that
the well is drawing water from a protected confined or semi-confined aquifer.
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GWR Implementation Guidance 110 January 2009
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Section 5
SDWIS Reporting and SNC
Definitions
Note: This section is published under a separate cover.
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Section 6
Public Notification, Consumer
Confidence Report, and
Special Notice Examples
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Several general categories of notification are required by the Ground Water Rule (GWR):
• Public Notification (PN) Tier 1, 2, or 3 public notification
Community and Noncommunity GWSs
• Consumer Confidence Report (CCR) Water Quality Data Table
Community GWSs
• Special Notice
- Community GWSs - Notice included in CCR
- Noncommunity GWSs
The type of notification required depends on the violation or scenario that has occurred at the public water
system (PWS). Table 6-1 summarizes public notification, CCR and special notice requirements of the
GWR. Note that special notice requirements for community GWSs require notification to be included in
the system's CCR. Noncommunity GWSs that are required to make special notice must inform the public
served by the water system in a manner approved by the state. Section 3.8 of this guidance manual
addresses the GWR's public notice requirements.
Table 6-1. Public Notification, CCR, and Special Notice Requirements
Issue
Uncorrected significant deficiency - CWSs1
Unconnected significant deficiency - NCWSs1
Fecal indicator positive ground water source sample - CWS2
Fecal indicator positive ground water source sample - NCWS2
Fecal indicator-positive ground water source sample (until corrective
action is completed) - CWSs3
TT - Failure to take corrective action - CWSs
TT - Failure to take corrective action - NCWSs
TT - Failure to maintain at least 4-log treatment of viruses for GWSs
conducting compliance monitoring - CWSs
TT - Failure to maintain at least 4-log treatment of viruses for GWSs
conducting compliance monitoring - NCWS
Failure to meet monitoring requirements - CWSs
Failure to meet monitoring requirements - NCWSs
All detects from source water monitoring or range of results for
chemical disinfectants
Notification Required
Special Notice in CCR
Special Notice
Tier 1 PN and Special Notice in CCR
Tier 1 PN
Special Notice in CCR
Tier 2 PN, CCR
Tier 2 PN
Tier 2 PN, CCR
Tier2PN
Tier 3 PN, CCR
Tier 3 PN
CCR Water Quality Data Table
1. Systems must continue to notify the public annually until the significant deficiency has been corrected.
2. Consecutive systems served by the ground water source must also notify the public.
3. CWSs must continue to notify the public annually until the state determines the fecal contamination has been corrected.
This section provides examples of public notifications, CCR excerpts and special notices that satisfy
notification requirements of the GWR. In the examples provided, language in italics is required by 40
GWR Implementation Guidance
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January 2009
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CFR Appendix A to Subpart O of Part 141 or by 40 CFR Appendix B to Subpart Q of Part 141. The
following scenarios are addressed:
• Scenario 1: Source Water Sample is Positive for a Fecal Coliform Indicator - Community
GWS
• Scenario 2: System Fails to Comply With a State Corrective Action Plan or Schedule -
Noncommunity GWS
• Scenario 3: System Fails to Take Corrective Action Following a Significant Deficiency -
Community GWS
• Scenario 4: System Fails to Maintain at Least 4-log Treatment of Viruses - Community GWS
• Scenario 5: System Fails to Collect a Source Water Sample - Community GWS
• Scenario 6: System Fails to Conduct Compliance Monitoring - Noncommunity GWS
The organization of the templates provided here follows the organization of the templates for other
notification requirements that are currently available in EPA's:
• Revised Public Notification Handbook - EPA 816-R-07-003, March 2007. Available at
www.epa.gov/safewater/publicnotification/pdfs/guide_publicnotification_pnhandbook.pdf
• Public Notification Handbook for Transient Non-community Water Systems - EPA 816-R-
07-004, March 2007. Available at
www.epa.gov/safewater/publicnotification/pdfs/guide_publicnotification_pnhandbook tncw
s.pdf.
Readers are encouraged to refer to these manuals for additional public notification guidance. Systems
with a large proportion of non-English speaking consumers should refer to these manuals for examples of
notices that use language other than English to provide key information.
GWR Implementation Guidance 116 January 2009
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Scenario 1: A Source Water Sample is Positive for a Fecal Coliform Indicator
System Description - System A
System A is a community GWS serving 1,500 people. The system has two wells in use year-round and
does not provide 4-log treatment of viruses before or at the first customer.
Situation
On April 2, 2010, the system collects its two routine monthly TCR samples for April. The system is
notified by the laboratory on the afternoon of April 4 that one of its routine samples is total-coliform
positive. On the morning of April 5, the system collects samples from both wells and delivers the samples
to the laboratory for analysis. The analysis shows that one of the two source water samples is positive for
E. coli.
Public Notification. Special Notice and CCR Requirements
Public Notification
System A has detected a fecal indicator (i.e., E. coli) in its source water sample. While the system has not
had a violation, it must provide Tier 1 public notification as soon as practical but no later than 24 hours of
learning that the source water sample was E. co//-positive (i.e., no later than April 7, 2010). Notification
can be made via radio, TV, hand delivery, posting, or other method specified by the state, along with
other methods if needed to reach persons served. The system must initiate consultation with the state
within 24 hours of learning of the E. co//-positive sample result (or by April 7, 2010). An example of a
public notice that fulfills the Tier 1 public notification requirement for this scenario is shown in Example
6-1.
Special Notice in the CCR
A CWS that receives notice of a fecal indicator-positive ground water source sample must provide special
notice in the CCR addressing that year, informing the public served by the water system of the fecal
indicator-positive source sample. The system must continue to inform the public annually (as special
notice in the CCR) until the state determines that the fecal contamination in the ground water source has
been corrected. In order to address this special notice requirement, the following elements must be
included in the CCR:
• The nature of the source of the fecal contamination (if the source is known) and the dates of
the fecal indicator positive ground water source sample(s).
• If the fecal contamination in the ground water source has been addressed.
• For fecal contamination in the ground water source that has not been addressed, the state-
approved plan and schedule for correction, including interim measures, progress to date, and
any interim measures completed.
• The potential health effects using the health effects language of 40 CFR Appendix A of
Subpart O.
Example 6-2 provides an example that fulfills this special notice requirement for this scenario.
GWR Implementation Guidance 117 January 2009
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CCR
In addition to the special notice requirements, a CWS must also include the fecal indicator-positive result
in the Regulated Contaminant table in the CCR addressing that year. Example 6-2 provides an example
that fulfills this CCR requirement for this scenario.
GWR Implementation Guidance 118 January 2009
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Example 6-1. Example Tier 1 Public Notification for a Fecal Indicator-Positive Triggered
Source Water Sample
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
System A Well 1 Tested Positive for Fecal Contamination
Our water system detected fecal indicators (E. coli) in one of our two wells. As our customers, you have a right to
know what happened and what we are doing to correct this situation. On April 4, we learned that one of our routine
samples collected April 2 was total conform positive. As required by EPA's Ground Water Rule, one of our follow-
up steps was to collect samples from both of our wells. The sample from Well 1 collected on April 5 tested positive
for a fecal indicator (E. coli). We are now conducting additional sampling of the well to determine the extent of the
problem and are conducting a thorough investigation to determine the source of the contamination.
What should I do?
DO NOT DRINK THE WATER WITHOUT BOILING IT FIRST. Bring all water to a rolling boil, let it boil for one
minute, and let it cool before using it. Boiling kills bacteria and other organisms in the water. You may also use
bottled water. Use boiled or bottled water for drinking, making ice, preparing food, and washing dishes until further
notice.
Also, if you have a severely compromised immune system, have an infant, or are elderly, you may be at increased
risk and should seek advice about drinking water from your health care providers. General guidelines on ways to
lessen the risk of infection by microbes are available from EPA's Safe Drinking Water Hotline at (800) 426-4791. If
you have specific health concerns, consult your doctor. We are also providing regular updates on this situation on
Channel 22 or Radio Station KMMM (97.3 FM).
What does this mean?
Inadequately treated or inadequately protected water may contain disease-causing organisms. These organisms can
cause symptoms such as diarrhea, nausea, cramps, and associated headaches. Fecal indicators are microbes whose
presence indicates that the water may be contaminated with human or animal wastes. Microbes in these wastes can
cause short-term health effects, such as diarrhea, cramps, nausea, headaches, or other symptoms. They may pose a
special health risk for infants, young children, some of the elderly, and people with severely compromised immune
systems. These symptoms are not caused only by organisms in drinking water. If you experience any of these
symptoms and they persist, you may want to seek medical advice.
What is being done?
We are conducting a thorough investigation to determine the source of the contamination and will be working with
the State Department of Public Health to implement corrective actions to ensure that our water supplies are protected
against contamination. We will keep you informed of the steps we are taking to protect your drinking water and will
provide information on any steps you should be taking, until this problem is corrected.
For more information, please contact John Johnson, manager of System A, at (555) 555-1234 or write to 2600
Winding Rd., Townsville, TM 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this by posting this notice in a public place or distributing copies by hand or mail.
This notice is being sent to you by System A.
State Water System ID# TM 1234582. Sent: 4/7/2010
GWR Implementation Guidance 119 January 2009
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Example 6-2. Example of Regulated Contaminant Table and Special Notice in the CCR for
Source Water Fecal Contamination
Source Water Quality Data
Contaminant
Fecal indicators (E.
coli)
MCL/MRDL/TT
TT
MCLG
N/A
Value
Positive
(E. coli)
Date
Aprils, 2010
Violation
No
Typical
Sources
Human and
animal fecal
waste
*System A detected E. coli in their source water sample; the sample was collected in response to a total coliform-
positive routine sample collected on April 2, 2010. More information about this situation is provided in the Situation
section.
Situation
• On April 4, 2010 we were informed that one of our routine total coliform samples collected on April 2 was
total coliform-positive. As required by the Ground Water Rule, we collected samples from both of our
sources, Wells 1 and 2, and had them analyzed for fecal contamination. The sample for Well 1 was positive
for fecal contamination (E. coli).
Inadequately treated or inadequately protected water may contain disease-causing organisms. These
organisms can cause symptoms such as diarrhea, nausea, cramps, and associated headaches. Fecal indicators
are microbes whose presence indicates that the water may be contaminated with human or animal wastes.
Microbes in these wastes can cause short-term health effects, such as diarrhea, cramps, nausea, headaches,
or other symptoms. They may pose a special health risk for infants, young children, some of the elderly, and
people with severely compromised immune systems.
In response, we sent notices to all of our customers within 24 hours of learning of this positive sample. We
carefully considered our options and developed a plan with the State Department of Public Health to extend
the well's casing higher above the ground, replace the well cap, and install treatment (chlorination). As we
stated in the most recent update on this issue, treatment was installed on June 1, 2010.
GWR Implementation Guidance
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January 2009
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Scenario 2: A System Fails to Comply With a State Corrective Action Plan or Schedule
System Description - System B
System B is a noncommunity GWS serving 800 people. The system has one well in use year-round and
does not provide 4-log treatment of viruses before the first customer.
Situation
During a sanitary survey on September 1, 2013, the state identifies a significant deficiency—two leaking
septic tanks close to the system's well. The system is notified of the deficiency in a letter from the state
on September 14, 2013. The letter does not indicate a specific corrective action that the system is required
to take. As required, the system contacts the state within 30 days of receiving written notice of the
significant deficiency and the system and the state develop a plan for implementing corrective action. The
corrective action plan is scheduled to be completed by January 31, 2014.The system, however, does not
begin implementing the plan until February 25, 2014 and completes the plan's steps on October 20, 2014.
In waiting so long to begin implementing its corrective action plan, the system failed to be in compliance
with its state-approved corrective action plan and schedule. The system is notified of this treatment
technique violation on March 1, 2014.
Public Notification. Special Notice and CCR Requirements
Public Notification
Although System B contacts the state regarding the significant deficiency within the 30-day timeframe,
the system is required to be in compliance with its corrective action plan and schedule within 120 days of
receiving written notice from the state of the significant deficiency. Failure to do this is a treatment
technique violation and requires Tier 2 public notification. The system must provide public notification
within 30 days of learning of the violation. Notification must be provided by mail or other direct delivery
method (such as hand delivery), and any other reasonable method may be used to reach affected
individuals who would not have received the information by mail or the direct delivery method. For any
unresolved violation following an initial Tier 2 notice, notice must be repeated every 3 months for as long
as the violation persists. The system is notified of the violation on March 1, 2014 and therefore must
provide Tier 2 public notice by March 31, 2014. Since corrective action is not back on schedule within 3
months of that date, the system has to repeat the public notice. An example of a public notice that fulfills
the Tier 2 public notification requirements for this violation is shown in Example 6-3.
Special Notice
Noncommunity GWSs that receive notice from the state of a significant deficiency must also provide
special notice to customers of any deficiencies that have not been corrected within 12 months of being
notified by the state of the deficiency (or earlier, if directed by the state). System B does not complete
corrective action until October 20, 2014, which is more than 12 months after the system had been notified
of the significant deficiency (September 14, 2013). System B must therefore make special notice in
September 2014 to inform the public served by the system about the significant deficiency. Example 6-4
provides sample special notice language for this scenario. Since System B is a NCWS and does not
distribute a CCR, special notice will be provided in a manner approved by the state.
CCR
Since System B is a NCWS, it does not have any CCR requirements.
GWR Implementation Guidance 121 January 2009
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Example 6-3. Example Tier 2 Public Notification for Failure to Comply With State
Corrective Action Plan or Schedule
DRINKING WATER NOTICE
System B Failed to Comply With the Established Corrective Action Plan and Schedule after
Identification of a Significant Deficiency
On September 1, 2013 the State Department of Public Health performed a detailed inspection and engineering
evaluation of our water system called a sanitary survey. During this sanitary survey, they identified two leaking
septic tanks close to our well. Because of the high potential for contamination of our well by these tanks, the state
considered this a "significant deficiency" and directed us to correct the problem. As our customers, you have a right
to know what happened and what we are doing to correct this situation. As required by EPA's Ground Water Rule,
we worked with the State to develop a plan to correct this deficiency. However, we failed to implement this
corrective action plan within the established deadline and have violated a requirement of the Ground Water Rule.
What does this mean?
This is not an emergency. If it had been an emergency, you would have been notified within 24 hours.
This significant deficiency has the potential to cause source water contamination. Leaking septic tanks are a
potential source of fecal contamination. Inadequately treated or inadequately protected water may contain disease-
causing organisms. These organisms can cause symptoms such as diarrhea, nausea, cramps, and associated
headaches. Failure to correct the deficiency according to the established schedule prolonged the risk of fecal
contamination of our source water. While we have not detected any evidence of fecal contamination in our source
water, we are committed to correcting the deficiency to eliminate the threat of contamination.
What should I do?
There is nothing you need to do unless you have a severely compromised immune system, have an infant, or are
elderly. These people may be at increased risk and should seek advice about drinking water from their health care
providers. General guidelines on ways to lessen the risk of infection by microbes are available from EPA's Safe
Drinking Water Hotline at (800) 426-4791. If you have specific health concerns, consult your doctor.
You do not need to boil your water or take other corrective actions. If a situation arises where the water is no longer
safe to drink, you will be notified within 24 hours. We will announce any emergencies on Channel 22 or Radio
Station KMMM (97.3 FM).
What is being done?
Since being informed of the deficiency, we have been conducting regular testing of our source water and we are
implementing the corrective action plan established by the State Department of Public Health. Under this plan, the
leaking tanks will be replaced by October 20, 2014.
For more information, please contact John Johnson, manager of System B, at (555) 555-1234 or write to 2600
Winding Rd., Townsville, TM 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this by posting this notice in a public place or distributing copies by hand or mail.
This notice is being posted by System B.
State Water System ID# TM1234583. Sent: 9/10/2014
GWR Implementation Guidance 122 January 2009
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Example 6-4. Example of a Special Notice Regarding a Significant Deficiency
Violation
On September 14, 2013, we were informed by the State Department of Public Health that a significant deficiency—
two leaking septic tanks near our source water supply—had been identified during a September 1, 2013 sanitary
survey.
As required, we contacted the State Department of Public Health and were directed to make arrangements with the
owner of the property on which the septic tanks are located to have the tanks replaced. We did not do so within the
established deadline. Since being informed of the deficiency, we have been conducting regular testing of our source
water and we are implementing the corrective action plan established by the Department of Public Health. Under
this plan, the leaking tanks will be replaced by October 20, 2014.
GWR Implementation Guidance 123 January 2009
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Scenario 3: A System Fails to Take Corrective Action Following a Significant Deficiency
System Description - System C
System C is a community GWS serving 1,500 people. The system has one well in use year-round and
does not provide 4-log treatment of viruses before or at the first customer.
Situation
During a sanitary survey on June 1, 2013, the state identifies a significant deficiency—the system
operator's certification has lapsed. The system is notified of the deficiency in a letter from the state on
June 10, 2013. The state directs System C to take immediate corrective action by bringing on a new,
certified operator or having the current operator take all necessary steps to renew certification as soon as
possible. The system is told it must complete corrective action within 120 days of receiving written
notification from the state of the significant deficiency, or by October 8, 2013. By October 8th, the
system's operator has still not been recertified and the system has not hired a new certified operator. The
system is notified of its violation on November 15, 2013, for failure to take corrective action within 120
days of receiving written notice. System C finally hires a certified operator on December 20, 2013.
Public Notification. Special Notice and CCR Requirements
Public Notification
Failure to correct a significant deficiency is a treatment technique violation and requires Tier 2 public
notification. The system must provide public notification within 30 days of learning of the violation, or by
December 14, 2013. Notification must be provided by mail or other direct delivery method (such as hand
delivery), and any other reasonable method may be used to reach affected individuals that would not have
received the information by mail or the direct delivery method. For any unresolved violation following an
initial Tier 2 notice, notice must be repeated every 3 months for as long as the violation persists. A system
therefore has to repeat the notice until corrective action has been taken. In this scenario, System C hired a
certified operator the month after receiving the violation, so System C is not required to make repeat
public notification.
An example of a public notice that fulfills the public notification and special notification requirements for
this violation is shown in Example 6-5.
Special Notice
Since the significant deficiency was addressed (System C hires a certified operator in December 2013),
there is no special notice requirement.
CCR
All treatment technique violations must also be included in the CCR. An explanation of how the system
returned to compliance could also be included.
An example of a report of this violation that could be used in the system's CCR is shown in Example 6-6.
GWR Implementation Guidance 124 January 2009
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Example 6-5. Example Tier 2 Public Notification for Failure to Take Corrective Action
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
System C Failed to Take Corrective Action Following Identification of a Significant Deficiency
On June 1, 2013 the State Department of Public Health performed a detailed inspection and engineering evaluation
of our water system called a sanitary survey. During this sanitary survey, they identified a significant deficiency in
our system (our water system operator's certification had lapsed). As our customers, you have a right to know what
happened and what we are doing to correct this situation. As required by EPA's Ground Water Rule, we worked
with the State to develop a plan to correct this deficiency. However, we failed to implement this plan before the
established deadline and have therefore violated a requirement of the Ground Water Rule.
What should I do?
There is nothing you need to do unless you have a severely compromised immune system, have an infant, or are
elderly. These people may be at increased risk and should seek advice about drinking water from their health care
providers. General guidelines on ways to lessen the risk of infection by microbes are available from EPA's Safe
Drinking Water Hotline at (800) 426-4791. If you have specific health concerns, consult your doctor.
You do not need to boil your water or take other corrective actions. If a situation arises where the water is no longer
safe to drink, you will be notified within 24 hours. We will announce any emergencies on Channel 22 or Radio
Station KMMM (97.3 FM).
What does this mean?
This is not an emergency. If it had been an emergency, you would have been notified within 24 hours.
This significant deficiency has the potential to result in lack of proper treatment and oversight of the water system.
Inadequately treated or inadequately protected water may contain disease-causing organisms. These organisms can
cause symptoms such as diarrhea, nausea, cramps, and associated headaches. While we have not detected any
evidence of contamination or other health threats related to our source water, we are still committed to correcting the
deficiency to eliminate the threat of contamination.
What is being done?
The Townsville Utilities Board is in the process of identifying a new certified operator for our water system. We
will provide notice to you as soon as we hire a new, certified operator.
For more information, please contact John Johnson, manager of System C, at (555) 555-1234 or write to 2600
Winding Rd., Townsville, TM 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this by posting this notice in a public place or distributing copies by hand or mail.
This notice is being sent to you by System C.
State Water System ID# TM 1234583. Sent: 12/13/2013
GWR Implementation Guidance 125 January 2009
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Example 6-6. Example of a Notice in the CCR for Failure to Take Corrective Action
Violation
On June 10, 2013, we were informed by the State Department of Public Health that a significant deficiency—lack of
a properly certified operator—had been identified during a June 1, 2013 sanitary survey.
We were directed by the Department of Public Health to take immediate action to correct this deficiency by ensuring
that our current operator took all necessary steps to be recertified or by hiring a new, properly certified operator.
Although we hired a properly certified operator in December 2013, we did not do so within the required deadline.
GWR Implementation Guidance 126 January 2009
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Scenario 4: A System Fails to Maintain at Least 4-log Treatment of Viruses
System Description - System D
System D is a community GWS serving 8,500 people. The system has two wells in use year-round. In
2010, System D installed chlorine treatment at both wells as a corrective action to address a significant
deficiency identified by the state. System D also began compliance monitoring at that time.
Situation
During a sanitary survey on January 10, 2011, the state determines that due to a malfunctioning chlorine
pump, the system has not been providing 4-log treatment of viruses at one of its wells for at least 2 weeks.
The problem is identified during the sanitary survey and the system is officially notified of its failure to
consistently provide 4-log treatment in a letter from the state on February 1, 2011. The state also directs
System D to take corrective action to restore 4-log treatment as soon as possible.
Public Notification. Special Notice and CCR Requirements
Public Notification
A ground water system subject to the compliance monitoring requirements under 40 CFR 141.403(b)(3)
that fails to maintain at least 4-log treatment of viruses (using inactivation, removal, or a state-approved
combination of 4-log virus activation and removal) before or at the first customer for a ground water
source has committed a treatment technique violation and must provide Tier 2 public notification. The
system must provide public notification within 30 days of learning of the violation. Notification must be
provided by mail or other direct delivery method (such as hand delivery), and any other reasonable
method may be used to reach affected individuals that would not have received the information by mail or
the direct delivery method. For any unresolved violation following an initial Tier 2 notice, notice must be
repeated every 3 months for as long as the violation persists.
An example of a public notice that fulfills the public notification requirements for this violation is shown
in Example 6-7.
Special Notice
No special notice is required for this scenario.
CCR
All treatment technique violations must also be included in the CCR. An explanation of how the system
returned to compliance could also be included.
An example of a report of this violation that could be used in the system's CCR is shown in Example 6-8.
GWR Implementation Guidance 127 January 2009
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Example 6-7. Example Tier 2 Public Notification for Failure to Maintain at Least 4-Log
Treatment of Viruses
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
System D Failed to Maintain Required Treatment of Viruses at Well 1
From December 27, 2010 to January 12, 2011, our water system did not provide chlorine in the water being used
from Well 1 due to a malfunctioning chlorine feed pump. As a result, our water was not as disinfected as the state
requires it to be. Our water system violated a treatment technique standard for maintaining adequate disinfection for
water delivered to customers from Well 1. As our customers, you have a right to know what happened and what we
are doing to correct this situation. After this problem was identified during a state inspection of our treatment
facilities, we took immediate steps to repair the malfunctioning chlorine pump. The treatment system has been
repaired and is now operating properly.
What should I do?
There is nothing you need to do unless you have a severely compromised immune system, have an infant, or are
elderly. These people may have been at increased risk when our system failed to provide adequate disinfection and
should seek advice about drinking water from their health care providers. General guidelines on ways to lessen the
risk of infection by microbes are available from EPA's Safe Drinking Water Hotline at (800) 426-4791. If you have
specific health concerns, consult your doctor.
You do not need to boil your water or take other corrective actions. If a situation arises where the water is no longer
safe to drink, you will be notified within 24 hours. We will announce any emergencies on Channel 22 or Radio
Station KMMM (97.3 FM).
What does this mean?
This is not an emergency. If it had been an emergency, you would have been notified within 24 hours.
Inadequately treated or inadequately protected water may contain disease-causing organisms. These organisms can
cause symptoms such as diarrhea, nausea, cramps, and associated headaches. While we have not detected any
evidence of contamination in, or other health threats to, our source water, we are still committed to restoring the
required level of treatment to the water from Well 1 to eliminate the threat of contamination.
What is being done?
We have replaced the malfunctioning chlorine pump and regular sampling has shown that we are once again
providing adequate disinfection of water from Well 1.
For more information, please contact John Johnson, manager of System D, at (555) 555-1234 or write to 2600
Winding Rd., Townsville, TM 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this by posting this notice in a public place or distributing copies by hand or mail.
This notice is being sent to you by System D.
State Water System ID# TM 1234584. Sent: 2/10/2011
GWR Implementation Guidance 128 January 2009
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Example 6-8. Example of a Notice in the CCR for Failure to Maintain at Least 4-Log
Treatment of Viruses
Violation
On January 10, 2011 state inspection of our water system identified a malfunctioning chlorine pump. As a result, the
water from one of our wells (Well 1) was not adequately disinfected for 2 weeks.
As directed by the Department of Public Health, we took immediate action to resolve this problem by repairing the
malfunctioning chlorine pump. Regular testing since the pump was repaired has demonstrated that we are once again
providing water that meets the State's standards for disinfection to our customers.
GWR Implementation Guidance 129 January 2009
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Scenario 5: A System Fails to Collect a Source Water Sample
System Description - System E
System E is a community GWS serving 10,000 people. The system has four wells in use year-round and
does not provide 4-log treatment of viruses before or at the first customer.
Situation
On December 15, 2011, the system is notified by the laboratory that one of its routine monthly total
coliform samples is total-coliform positive. The system collects three repeat samples as required under the
TCR, but does not collect any source water samples. The state notifies the system that it is in violation of
the GWR requirements on January 2, 2012. System E collects samples from all four wells to have them
tested for fecal indicators on January 4, 2012. None of the samples is positive for fecal indicators.
Public Notification. Special Notice and CCR Requirements
Public Notification
System E has committed a monitoring violation. It is required to collect samples from each water source
in use at the time the total coliform-positive sample was collected, within 24 hours of learning of the total
coliform-positive routine TCR sample. The system must provide Tier 3 public notification within 1 year
of learning of the violation. Notification must be provided by mail or other direct delivery method (such
as hand delivery), and any other reasonable method to reach affected individuals that would not have
received the information by mail or the direct delivery method used. Notice must be provided to each
customer receiving a bill and other service connections to which water is delivered.
Special Notice
No special notice is required for this scenario.
CCR
Since System E is a CWS, it could use the CCR to inform the public of the Tier 3 violations if the CCR is
released within 1 year of the system's learning of the violations. For this particular example, the system
became aware of the monitoring violation on January 2, 2012. The public could therefore be informed of
the violation in the CCR produced for calendar year 2011.
An example of a public notice that fulfills the public notification requirements for this violation is shown
in Example 6-9. An example of a report of this violation in the CCR is shown in Example 6-10.
GWR Implementation Guidance 130 January 2009
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Example 6-9. Example Tier 3 Public Notification for Failure to Collect Source Water
Sample(s) Following a Routine Total Coliform-Positive Distribution System Sample Result
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Monitoring Requirements not Met for System E
Our water system recently failed to collect source water samples for fecal indicators following a total coliform-
positive routine distribution system sample. Although this incident was not an emergency, as our customers, you
have a right to know what happened and what we did to correct the situation.
What should I do?
There is nothing you need to do. You do not need to boil your water or take other corrective actions. You may
continue to drink the water. If a situation arises where the water is no longer safe to drink, you will be notified
within 24 hours. We will also announce any emergencies on Channel 22 and Radio Station KMMM (97.3 FM).
What was done?
We collected samples from all four wells and had them tested for fecal indicators on January 4, 2012. None of the
samples was positive for fecal indicators.
For more information, please contact John Johnson, manager of System E, at (555) 555-1234 or write to 2600
Winding Rd., Townsville, TM 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this by posting this notice in a public place or distributing copies by hand or mail.
This notice is being sent to you by System E.
State Water System ID# TM 1234585. Sent: 2/5/2012
GWR Implementation Guidance 131 January 2009
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Example 6-10. Example of a Notice in the CCR for Failure to Collect Source Water
Sample(s) Following a Routine Total Coliform-Positive Distribution System Sample Result
Violation
On December 15, 2011, we were informed by our laboratory that one of our routine bacteriological samples for
December tested positive for total coliform.
We were required to collect follow-up samples within 24 hours of learning of the total coliform-positive sample.
Follow-up samples needed to be tested for fecal indicators from all sources that were active at the time the total
coliform-positive sample was collected. Since we were notified of the total coliform-positive sample on December
15, 2011, we were required to collect the follow-up samples December 16, 2011. Source water samples were instead
collected on January 4, 2012, and all of the samples were negative for fecal indicators.
Failure to conduct source water monitoring within the required 24 hour period is a monitoring and reporting
violation.
GWR Implementation Guidance 132 January 2009
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Scenario 6: A System Fails to Conduct Compliance Monitoring
System Description - System F
System F is a noncommunity GWS serving 3,900 people. The system has two wells in use year-round and
notifies the state in November 2009 that it provides 4-log treatment of viruses before the first customer
and conducts compliance monitoring.
Situation
The system is conducting continuous residual disinfectant monitoring in accordance with the GWR and
recording the lowest residual disinfectant concentration every day it serves water to the public. For 1
week that the system is in operation in April 2010, the system fails to conduct residual disinfectant
monitoring. The state notifies the system that it is in violation of the GWR monitoring requirements on
May 25, 2010.
Public Notification. Special Notice and CCR Requirements
Public Notification
System F has committed a monitoring violation. Because it serves more than 3,300 people and provides
4-log treatment of viruses, the system must continuously monitor the residual disinfectant level at a state-
approved location. The system must provide Tier 3 public notification within 1 year of learning of the
violation. Notification must be provided by mail or other direct delivery method (such as hand delivery),
and any other reasonable method to reach affected individuals that would not have received the
information by mail or the direct delivery method used. Notice must be provided to each customer
receiving a bill and other service connections to which water is delivered.
An example of a public notice that fulfills the public notification requirements for this violation is shown
in Example 6-11.
Special Notice
No special notice is required for this scenario.
CCR
Because System F is a NCWS, it is not required to prepare and distribute a CCR.
GWR Implementation Guidance 133 January 2009
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Example 6-11. Example Tier 3 Public Notification for Failure to Conduct Compliance
Monitoring
DRINKING WATER NOTICE
Monitoring and Reporting Requirements Not Met for System F
Our water system recently failed to collect routine samples for residual disinfectants in the water that we deliver to
you. Although this incident was not an emergency, as our customers, you have a right to know what happened and
what we did to correct the situation.
What should I do?
There is nothing you need to do. You do not need to boil your water or take other corrective actions. You may
continue to drink the water. If a situation arises where the water is no longer safe to drink, you will be notified
within 24 hours. We will announce any emergencies on Channel 22 or Radio Station KMMM (97.3 FM).
What was done?
Our continuous disinfection residual monitoring equipment has been repaired and all monitoring requirements are
being satisfied.
For more information, please contact John Johnson, manager of System F, at (555) 555-1234 or write to 2600
Winding Rd., Townsville, TM 12345.
Please share this information with all the other people who drink this water, especially those who may not have
received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can
do this by posting this notice in a public place or distributing copies by hand or mail.
This notice has been posted by System F.
State Water System ID# TM 1234586. Sent: 6/1/2010
GWR Implementation Guidance 134 January 2009
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Appendix A
Primacy Revision Crosswalk
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This Page Intentionally Left Blank
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
PART 141-NATioNAL PRIMARY DRINKING WATER REGULATIONS
SUBPART C-MONITORING AND ANALYTICAL REQUIREMENTS
40 CFR 141.21 COLIFORM SAMPLING.
Sanitary surveys conducted by the State under the
provisions of 40 CFR142. 16(o)(2) of this chapter may be
used to meet the sanitary survey requirements of this
section.
40CFR141.21(d)(3)
40 CFR 141.28 CERTIFIED LABORATORIES.
For the purpose of determining compliance with 40 CFR
141.21 through 141.27, 141.30, 141.40, 141.74, 141.89
and 141.402, samples may be considered only if they
have been analyzed by a laboratory certified by the State
except that measurements of alkalinity, calcium,
conductivity, disinfectant residual, orthophosphate, pH,
silica, temperature and turbidity may be performed by
any person acceptable to the State.
40 CFR 14 1.28
GWR Implementation Guidance
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January 2009
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SUMMARY OF FEDERAL REQUIREMENT
1 SUBPART O - CONSUMER CONFIDENCE REPORTS
40 CFR 141.153 CONTENT OF THE REPORTS.
Systems required to comply with subpart S. Any ground
water system that receives notice from the State of a
significant deficiency or notice from a laboratory of a
fecal indicator-positive ground water source sample that
is not invalidated by the State under 40 CFR 141.402(d)
must inform its customers of any significant deficiency
that is uncorrected at the time of the next report or of any
fecal indicator-positive ground water source sample in
the next report. The system must continue to inform the
public annually until the State determines that particular
significant deficiency is corrected or the fecal
contamination in the ground water source is addressed
under 40 CFR 14 1.403 (a). Each report must include the
following elements.
The nature of the particular significant deficiency or the
source of the fecal contamination (if the source is
known) and the date the significant deficiency was
identified by the State or the dates of the fecal indicator-
positive ground water source samples;
If the fecal contamination in the ground water source has
been addressed under 40 CFR 14 1.403 (a) and the date of
such action;
For each significant deficiency or fecal contamination in
the ground water source that has not been addressed
under 40 CFR 141.403(a), the State-approved plan and
schedule for correction, including interim measures,
progress to date, and any interim measures completed;
FEDERAL CITATION
40CFR141.153(h)(6)(i)
40CFR141.153(h)(6)(i)(A)
40CFR141.153(h)(6)(i)(B)
40CFR141.153(h)(6)(i)(C)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
GWR Implementation Guidance
A-4
January 2009
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SUMMARY OF FEDERAL REQUIREMENT
If the system receives notice of a fecal indicator-positive
ground water source sample that is not invalidated by the
State under 40 CFR 141.402(d), the potential health
effects using the health effects language of Appendix A
of subpart O.
If directed by the State, a system with significant
deficiencies that have been corrected before the next
report is issued must inform its customers of the
significant deficiency, how the deficiency was corrected,
and the date of correction under paragraph (h)(6)(i) of
this section.
FEDERAL CITATION
40 CFR 141 153 (h)(6)(i)(D)
40CFR141.153(h)(6)(ii)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
APPENDIX A TO SUBPART O OF PART 141 — REGULATING CONTAMINANTS.
Appendix A to Subpart O is amended by adding a new entry
"Fecal Indicators (enterococci or coliphage)" is added to read
as follows:
Contaminant (units)
Microbiological
Contaminants:
Fecal Indicators
(enterococci or
coliphage).
Traditional
MCLin
mg/L
TT
Appendix A to Subpart O of Part
141
To convert for CCR,
multiply by
MCLin
CCR units
TT
MCLG
N/A....
Major sources in
drinking water
Human and animal
fecal waste.
Health effects language
Fecal indicators are microbes whose presence
indicates that the water may be contaminated with
human or animal wastes. Microbes in these wastes
can cause short-term health effects, such as
diarrhea, cramps, nausea, headaches, or other
symptoms. They may pose a special health risk for
infants, young children, some of the elderly, and
people with severely compromised immune
systems.
TT=Treatment Technique
GWR Implementation Guidance
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January 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
SUBP\RT Q-PUBLIC NOTIFICATION OF DRINKING WATER VIOLATIONS
40 CFR 141.202 - TIER 1 PUBLIC NOTICE — FORM, MANNER, AND FREQUENCY OF NOTICE.
This entry is redesignated as entry (9), and a new
paragraph (8) is added to read as follows:
Detection of E. coli, enterococci, or coliphage in
source water samples as specified in 40 CFR
141.402 (a) and 40 CFR 141.402 (b).
40 CFR 141.202 (a) Table 1 (8)
40 CFR 141.203 - TIER 2 PUBLIC NOTICE — FORM, MANNER, AND FREQUENCY OF NOTICE.
Failure to take corrective action or failure to maintain at
least 4-log treatment of viruses (using inactivation,
removal, or a State-approved combination of 4-log virus
inactivation and removal) before or at the first customer
under 40 CFR 14 1.403 (a).
40 CFR 141.203 (a)(4)
GWR Implementation Guidance
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January 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
APPENDIX A TO SUBPART Q OF PART 141 — NPDWR VIOLATIONS AND OTHER SITUATIONS REQUIRING PUBLIC NOTICE1
Entry LA. 1 1 is added; entry IV.F is redesignated as entry
IV.G; and a new entry IV.F is added in alphabetical
order, as listed in the following table:
Contaminant
Appendix A to Subpart Q of Part
141
I. A. 11, IV.F, and IV.G
MCL/MRDL/TT violations2
Tier of public notice
required
Citation
Monitoring and testing procedure violations
Tier of public notice
required
Citation
L Violations of National Primary Drinking Water Regulations (NPDWR):3
A. Microbiological Contaminants
1 1 . Ground Water Rule violations
2
141.404
3
141.402(h).
141.403(d).
IV. Other Situations Requiring Public Notification
F. Source Water Sample Positive for GWR Fecal indicators:
E. coli, enterococci, or coliphage
1
141.402(g)
N/A
N/A
1 . Violations and other situations not listed in this table (e.g., failure to prepare Consumer Confidence Reports) do not require notice, unless otherwise determined by the
primacy agency. Primacy agencies may, at their option, also require a more stringent public notice tier (e.g., Tier 1 instead of Tier 2 or Tier 2 instead of Tier 3) for specific
violations and situations listed in this Appendix, as authorized under 40 CFR 141.202(a) and 40 CFR 141.203(a).
2. MCL — Maximum contaminant level, MRDL — Maximum residual disinfectant level, TT — Treatment technique.
3. The term Violations of National Primary Drinking Water Regulations (NPDWR) is used here to include violations of MCL, MRDL, treatment technique, monitoring, and
testing procedure requirements.
GWR Implementation Guidance
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January 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
APPENDIX B TO SUBPART Q OF PART 141 — STANDARD HEALTH EFFECTS LANGUAGE FOR PUBLIC NOTIFICATION
Entries A. l.c and A. l.d are added in numerical order to
read as follows:
Contaminant
Appendix B to Subpart Q of Part
141
A. l.c and A. l.d
MCLG1 mg/L
MCL2 mg/L
Standard health effects language for public notification
National Primary Drinking Water Regulations (NPDWR)
A. Microbiological Contaminants
Ic. Fecal indicators (GWR)
i. E. coli
ii. enterococci
iii. coliphage
Id. Ground Water Rule (GWR) TT violations
Zero
None
None
None
TT
TT
TT
TT
Fecal indicators are microbes whose presence indicates that the water may be
contaminated with human or animal wastes. Microbes in these wastes can
cause short-term health effects, such as diarrhea, cramps, nausea, headaches, or
other symptoms. They may pose a special health risk for infants, young
children, some of the elderly, and people with severely compromised immune
systems.
Inadequately treated or inadequately protected water may contain disease-
causing organisms. These organisms can cause symptoms such as diarrhea,
nausea, cramps, and associated headaches.
1 . MCLG - Maximum contaminant level goal
2 .MCL - Maximum contaminant level
APPENDIX C TO SUBPART Q OF PART 141 — LIST OF ACRONYMS USED IN PUBLIC NOTIFICATION REGULATIONS
GWR Ground Water Rule
Appendix C to Subpart Q of Part
141
GWR Implementation Guidance
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January 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
SUBPART S-GROUND WATER RULE
40 CFR 141.400 GENERAL REQUIREMENTS AND APPLICABILITY.
Scope of this subpart. The requirements of this subpart S
constitute National Primary Drinking Water Regulations.
Applicability. This subpart applies to all public water
systems that use ground water except that it does not
apply to public water systems that combine all of their
ground water with surface water or with ground water
under the direct influence of surface water prior to
treatment under subpart H. For the purposes of this
subpart, "ground water system" is defined as any public
water system meeting this applicability statement,
including consecutive systems receiving finished ground
water.
General Requirements. Systems subject to this subpart
must comply with the following requirements:
Sanitary survey information requirements for all ground
water systems as described in 40 CFR 141.401.
Microbial source water monitoring requirements for
ground water systems that do not treat all of their ground
water to at least 99.99 percent (4-log) treatment of
viruses (using inactivation, removal, or a State-approved
combination of 4-log virus inactivation and removal)
before or at the first customer as described in 40 CFR
141.402.
40 CFR 141.400 (a)
40 CFR 141.400 (b)
40 CFR 141.400 (c)
40 CFR 141.400 (c)(l)
40 CFR 141.400 (c)(2)
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January 2009
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SUMMARY OF FEDERAL REQUIREMENT
Treatment technique requirements, described in 40 CFR
141.403, that apply to ground water systems that have
fecally contaminated source waters, as determined by
source water monitoring conducted under 40 CFR
141.402, or that have significant deficiencies that are
identified by the State or that are identified by EPA
under SDWA section 1445. A ground water system with
fecally contaminated source water or with significant
deficiencies subject to the treatment technique
requirements of this subpart must implement one or more
of the following corrective action options: correct all
significant deficiencies; provide an alternate source of
water; eliminate the source of contamination; or provide
treatment that reliably achieves at least 4-log treatment
of viruses (using inactivation, removal, or a State-
approved combination of 4-log virus inactivation and
removal) before or at the first customer.
FEDERAL CITATION
40 CFR 141 400 (c)(3)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Ground water systems that provide at least 4-log
treatment of viruses (using inactivation, removal, or a
State-approved combination of 4-log virus inactivation
and removal) before or at the first customer are required
to conduct compliance monitoring to demonstrate
treatment effectiveness, as described in 40 CFR
141.403(b).
40 CFR 141.400 (c)(4)
If requested by the State, ground water systems must
provide the State with any existing information that will
enable the State to perform a hydrogeologic sensitivity
assessment. For the purposes of this subpart,
"hydrogeologic sensitivity assessment" is a
determination of whether ground water systems obtain
water from hydrogeologically sensitive settings.
40 CFR 141.400 (c)(5)
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SUMMARY OF FEDERAL REQUIREMENT
Compliance date. Ground water systems must comph ,
unless otherwise noted, with the requirements of this
subpart beginning December 1, 2009.
FEDERAL CITATION
40 CFR 141 400 (d)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
40 CFR 141.401 SANITARY SURVEYS FOR GROUND WATER SYSTEMS.
Ground water systems must provide the State, at the
State's request, any existing information that will enable
the State to conduct a sanitary survey.
For the purposes of this subpart, a "sanitary survey," as
conducted by the State, includes but is not limited to, an
onsite review of the water source(s) (identifying sources
of contamination by using results of source water
assessments or other relevant information where
available), facilities, equipment, operation, maintenance,
and monitoring compliance of a public water system to
evaluate the adequacy of the system, its sources and
operations and the distribution of safe drinking water.
The sanitary survey must include an evaluation of the
applicable components listed in paragraphs (c)(l)
through (8) of this section:
(1) Source,
(2) Treatment,
(3) Distribution system,
(4) Finished water storage,
(5) Pumps, pump facilities, and controls,
(6) Monitoring, reporting, and data verification,
(7) System management and operation, and
(8) Operator compliance with State requirements.
40 CFR 141.401 (a)
40 CFR 141.401 (b)
40 CFR 141.401 (c)
40 CFR 141.401 (c)(l)
40 CFR 141.401 (c)(2)
40 CFR 141.401 (c)(3)
40 CFR 141.401 (c)(4)
40 CFR 141.401 (c)(5)
40 CFR 141.401 (c)(6)
40 CFR 141.401 (c)(7)
40 CFR 141.401 (c)(8)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
40 CFR 141.402 GROUND WATER SOURCE MICROBIAL MONITORING AND ANALYTCAL METHODS.
Triggered source water monitoring.—(1) General
requirements. A ground water system must conduct
triggered source water monitoring if the conditions
identified in paragraphs (a)(l)(i) and (a)(l)(ii) of this
section exist.
40 CFR 141.402 (a)
The system does not provide at least 4-log treatment of
viruses (using inactivation, removal, or a State-approved
combination of 4-log virus inactivation and removal)
before or at the first customer for each ground water
source; and
40 CFR 141.402 (a)(l)(i)
The system is notified that a sample collected under 40
CFR 141.21 (a) is total coliform-positive and the sample
is not invalidated under 40 CFR 141.21(c).
40 CFR 141.402 (a)(l)(ii)
Sampling Requirements. A ground water system must
collect, within 24 hours of notification of the total
coliform-positive sample, at least one ground water
source sample from each ground water source in use at
the time the total coliform-positive sample was collected
under 40 CFR 141.21 (a), except as provided in
paragraph (a)(2)(ii) of this section.
40 CFR 141.402 (a)(2)
The State may extend the 24-hour time limit on a case-
by-case basis if the system cannot collect the ground
water source water sample within 24 hours due to
circumstances beyond its control. In the case of an
extension, the State must specify how much time the
system has to collect the sample.
40 CFR 141.402 (a)(2)(i)
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SUMMARY OF FEDERAL REQUIREMENT
If approved by the State, systems with more than one
ground water source may meet the requirements of this
paragraph (a)(2) by sampling a representative ground
water source or sources. If directed by the State, systems
must submit for State approval a triggered source water
monitoring plan that identifies one or more ground water
sources that are representative of each monitoring site in
the system's sample siting plan under 40 CFR 141.21 (a)
and that the system intends to use for representative
sampling under this paragraph.
FEDERAL CITATION
40 CFR 141 402 (a)(2)(ii)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
A ground water system serving 1,000 people or fewer
may use a repeat sample collected from a ground water
source to meet both the requirements of 40 CFR
141.21(b) and to satisfy the monitoring requirements of
paragraph (a)(2) of this section for that ground water
source only if the State approves the use of E. coli as a
fecal indicator for source water monitoring under this
paragraph (a). If the repeat sample collected from the
ground water source is E. coli positive, the system must
comply with paragraph (a)(3) of this section.
40 CFR 141.402 (a)(2)(iii)
Additional Requirements. If the State does not require
corrective action under 40 CFR 141.403(a)(2) for a fecal
indicator-positive source water sample collected under
paragraph (a)(2) of this section that is not invalidated
under paragraph (d) of this section, the system must
collect five additional source water samples from the
same source within 24 hours of being notified of the
fecal indicator-positive sample.
40 CFR 141.402 (a)(3)
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SUMMARY OF FEDERAL REQUIREMENT
Consecutive and Wholesale Systems. In addition to the
other requirements of this paragraph (a), a consecutive
ground water system that has a total coliform-positive
sample collected under 40 CFR 141.21(a) must notify
the wholesale system(s) within 24 hours of being notified
of the total coliform-positive sample.
FEDERAL CITATION
40 CFR 141 402 (a)(4)(i)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
In addition to the other requirements of this paragraph
(a), a wholesale ground water system must comply with
paragraphs (a)(4)(ii)(A) and (a)(4)(ii)(B) of this section.
40 CFR 141.402 (a)(4)(ii)
A wholesale ground water system that receives notice
from a consecutive system it serves that a sample
collected under 40 CFR 141.21(a) is total coliform-
positive must, within 24 hours of being notified, collect a
sample from its ground water source(s) under paragraph
(a)(2) of this section and analyze it for a fecal indicator
under paragraph (c) of this section.
40 CFR 141.402 (a)(4)(ii)(A)
If the sample collected under paragraph (a)(4)(ii)(A) of
this section is fecal indicator-positive, the wholesale
ground water system must notify all consecutive systems
served by that ground water source of the fecal indicator
source water positive within 24 hours of being notified
of the ground water source sample monitoring result and
must meet the requirements of paragraph (a)(3) of this
section.
40 CFR 141.402 (a)(4)(ii)(B)
Exceptions to the Triggered Source Water Monitoring
Requirements. A ground water system is not required to
comply with the source water monitoring requirements
of paragraph (a) of this section if either of the following
conditions exists:
40 CFR 141.402 (a)(5)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
The State determines, and documents in writing, that the
total coliform-positive sample collected under 40 CFR
141.21(a) is caused by a distribution system deficiency;
or
40 CFR 141 402 (a)(5)(i)
The total coliform-positive sample collected under 40
CFR 141.21 (a) is collected at a location that meets State
criteria for distribution system conditions that will cause
total coliform-positive samples.
40 CFR 141.402 (a)(5)(ii)
Assessment Source Water Monitoring. If directed by the
State, ground water systems must conduct assessment
source water monitoring that meets State-determined
requirements for such monitoring. A ground water
system conducting assessment source water monitoring
may use a triggered source water sample collected under
paragraph (a)(2) of this section to meet the requirements
of paragraph (b) of this section. State-determined
assessment source water monitoring requirements may
include:
40 CFR 141.402 (b)
Collection of a total of 12 ground water source samples
that represent each month the system provides ground
water to the public,
40 CFR 141.402 (b)(l)
Collection of samples from each well unless the system
obtains written State approval to conduct monitoring at
one or more wells within the ground water system that
are representative of multiple wells used by that system
and that draw water from the same hydrogeologic
setting,
40 CFR 141.402 (b)(2)
Collection of a standard sample volume of at least 100
mL for fecal indicator analysis regardless of the fecal
indicator or analytical method used,
40 CFR 141.402 (b)(3)
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SUMMARY OF FEDERAL REQUIREMENT
Analysis of all ground water source samples using one of
the analytical methods listed in the in paragraph (c)(2) of
this section for the presence of E. coli, enterococci, or
coliphage,
FEDERAL CITATION
40 CFR 141 402 (b)(4)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Collection of ground water source samples at a location
prior to any treatment of the ground water source unless
the State approves a sampling location after treatment,
and
40 CFR 141.402 (b)(5)
Collection of ground water source samples at the well
itself unless the system's configuration does not allow
for sampling at the well itself and the State approves an
alternate sampling location that is representative of the
water quality of that well.
40 CFR 141.402 (b)(6)
Analytical methods. A ground water system subject to
the source water monitoring requirements of paragraph
(a) of this section must collect a standard sample volume
of at least 100 mL for fecal indicator analysis regardless
of the fecal indicator or analytical method used.
40 CFR 141.402 (c)(l)
A ground water system must analyze all ground water
source samples collected under paragraph (a) of this
section using one of the analytical methods listed in the
following table in paragraph (c)(2) of this section for the
presence of E. coli, enterococci, or coliphage:
40 CFR 141.402 (c)(2)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Analytical Methods for Source Water Monitoring
Fecal Indicator '
E. coli
Enterococci
Coliphage
Methodology
Colilert3
Colisure3
Membrane Filter Method with MI Agar
m-ColiBlue24 Test5
E*Colite Test6
EC-MUG7
NA-MUG7
Multiple- Tube Technique
Membrane Filter Technique
Membrane Filter Technique
Enterolert9
Two-Step Enrichment Presence-Absence Procedure
Single Agar Layer Procedure
Method citation
9223 B.2
9223 B.2
EPA Method 1604.4
9221 F.2
9222 G.2
9230B.2
9230C. 2
EPA Method 1600.8
EPA Method 1601. 10
EPA Method 1 602. n
Analyses must be conducted in accordance with the documents listed below. The Director of the Federal Register approves the incorporation by reference of the documents listed in footnotes 2-11 in
accordance with 5 U.S.C. 552(a) and 1 CFRpart 51. Copies of the documents maybe obtained from the sources listed below. Copies maybe inspected at EPA's Drinking Water Docket, EPA West,
1301 Constitution Avenue, NW., EPA West, Room B102, Washington DC 20460 (Telephone: 202-566-2426); or at the National Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202-741-6030, or go to: http://www. archives.gov/federal_register/ code_pf_federal_regulations/ibr_locations. html.
1 The time from sample collection to initiation of analysis may not exceed 30 hours. The ground water system is encouraged but is not required to hold samples below 10°C during transit.
2 Methods are described in Standard Methods for the Examination of Water and Wastewater 20th edition (1998) and copies maybe obtained from the American Public Health Association, 1015
Fifteenth Street, NW., Washington, DC 20005-2605.
3 Medium is available through IDEXX Laboratories, Inc., One IDEXX Drive, Westbrook, Maine 04092.
4 EPA Method 1604: Total Coliforms andEscherichia coli in Water by Membrane Filtration Using a Simultaneous Detection Technique (MI Medium); September 2002, EPA 82 l-R-02-024. Method is
available at http://www.epa.gov/nerlcwww/1604sp02.pdfor from EPA's Water Resource Center (RC^UOOT), 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
5 A description of the m-ColiBlue24 Test, "Total Coliforms and E. coli Membrane Filtration Method with m-ColiBlue24® Broth," Method No. 10029 Revision 2, August 17, 1999, is available from
Hach Company, 100 Dayton Ave., Ames, IA 50010 or from EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
6 A description of the E*Colite Test, "Charm E*Colite Presence/Absence Test for Detection and Identification of Coliform Bacteria and Escherichia coli in Drinking Water, January 9, 1998, is available
from Charm Sciences, Inc., 659 Andover St., Lawrence, MA 01843-1032 or from EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
7 EC-MUG (Method 9221F) or NA-MUG (Method 9222G) can be used forE. coli testing step as described in 40 CFR 141.21(f)(6)(i) or (ii) after use of Standard Methods 9221 B, 9221 D, 9222 B, or
9222 C.
8 EPA Method 1600: Enterococci in Water by Membrane Filtration Using membrane-Enterococcus Indoxyl-b-D-Glucoside Agar (mEI) EPA 821-R-02-022 (September 2002) is an approved variation
of Standard Method 9230C. The method is available at http://www.epa.gov/nerlcwww/ 1600sp02.pdf or from EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania Avenue, NW.,
Washington, DC 20460. The holding time and temperature for ground water samples are specified in footnote 1 above, rather than as specified in Section 8 of EPA Method 1600.
9 Medium is available through IDEXX Laboratories, Inc., One IDEXX Drive, Westbrook, Maine 04092. Preparation and use of the medium is set forth in the article "Evaluation of Enterolert for
Enumeration of Enterococci in Recreational Waters," by Budnick, G.E., Howard, R.T., and Mayo, D.R., 1996, Applied and Environmental Microbiology, 62:3881-3884.
10 EPA Method 1601: Male-specific (F+) and Somatic Coliphage in Water by Two-step Enrichment Procedure; April 2001, EPA 821-R-01-030. Method is available at
http://www.epa.gov/nerlcwww/1601ap01.pdfor from EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
11 EPA Method 1602: Male-specific (F+) and Somatic Coliphage in Water by Single Agar Layer (SAL) Procedure; April 2001, EPA 821-R-01- 029. Method is available at
http://www.epa.gov/nerlcwww/1602ap01.pdfor from EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
GWR Implementation Guidance
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Invalidation of a fecal indicator-positive ground water
source sample. A ground water system may obtain State
invalidation of a fecal indicator-positive ground water
source sample collected under paragraph (a) of this
section only under the conditions specified in paragraphs
(d)(l)(i) and (ii) of this section.
40 CFR 141 402 (d)(l)
The system provides the State with written notice from
the laboratory that improper sample analysis occurred; or
40 CFR 141.402 (d)(l)(i)
The State determines and documents in writing that there
is substantial evidence that a fecal indicator-positive
ground water source sample is not related to source
water quality.
40 CFR 141.402 (d)(l)(ii)
If the State invalidates a fecal indicator-positive ground
water source sample, the ground water system must
collect another source water sample under paragraph (a)
of this section within 24 hours of being notified by the
State of its invalidation decision and have it analyzed for
the same fecal indicator using the analytical methods in
paragraph (c) of this section. The State may extend the
24-hour time limit on a case-by-case basis if the system
cannot collect the source water sample within 24 hours
due to circumstances beyond its control. In the case of an
extension, the State must specify how much time the
system has to collect the sample.
40 CFR 141.402 (d)(2)
Sampling location. Any ground water source sample
required under paragraph (a) of this section must be
collected at a location prior to any treatment of the
ground water source unless the State approves a
sampling location after treatment.
40 CFR 141.402 (e)(l)
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SUMMARY OF FEDERAL REQUIREMENT
If the system's configuration does not allow for sampling
at the well itself, the system may collect a sample at a
State-approved location to meet the requirements of
paragraph (a) of this section if the sample is
representative of the water quality of that well.
FEDERAL CITATION
40 CFR 141 402 (e)(2)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
New Sources. If directed by the State, a ground water
system that places a new ground water source into
service after November 30, 2009, must conduct
assessment source water monitoring under paragraph (b)
of this section. If directed by the State, the system must
begin monitoring before the ground water source is used
to provide water to the public.
40 CFR 141.402 (f)
Public Notification. A ground water system with a
ground water source sample collected under paragraph
(a) or (b) of this section that is fecal indicator-positive
and that is not invalidated under paragraph (d) of this
section, including consecutive systems served by the
ground water source, must conduct public notification
under 40 CFR 141.202.
40 CFR 141.402 (g)
Monitoring Violations. Failure to meet the requirements
of paragraphs (a)-(f) of this section is a monitoring
violation and requires the ground water system to
provide public notification under 40 CFR 141.204.
40 CFR 141.402 (h)
40 CFR 141.403 TREATMENT TECHNIQUE REQUIREMENTS FOR GROUND WATER SYSTEMS.
Ground water systems with significant deficiencies or
source water fecal contamination. The treatment
technique requirements of this section must be met by
ground water systems when a significant deficiency is
identified or when a ground water source sample
collected under 40 CFR 141.402(a)(3) is fecal indicator-
positive.
40 CFR 141.403 (a)(l)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
If directed by the State, a ground water system with a
ground water source sample collected under 40 CFR
141.402(a)(2), 40 CFR 141.402(a)(4), or 40 CFR
141.402(b) that is fecal indicator-positive must comply
with the treatment technique requirements of this section.
40 CFR 141 403 (a)(2)
When a significant deficiency is identified at a Subpart H
public water system that uses both ground water and
surface water or ground water under the direct influence
of surface water, the system must comply with
provisions of this paragraph except in cases where the
State determines that the significant deficiency is in a
portion of the distribution system that is served solely by
surface water or ground water under the direct influence
of surface water.
40 CFR 141.403 (a)(3)
Unless the State directs the ground water system to
implement a specific corrective action, the ground water
system must consult with the State regarding the
appropriate corrective action within 30 days of receiving
written notice from the State of a significant deficiency,
written notice from a laboratory that a ground water
source sample collected under 40 CFR 141.402(a)(3)
was found to be fecal indicator-positive, or direction
from the State that a fecal indicator-positive collected
under 40 CFR 141.402(a)(2), 40 CFR 141.402(a)(4), or
40 CFR 141.402(b) requires corrective action. For the
purposes of this subpart, significant deficiencies include,
but are not limited to, defects in design, operation, or
maintenance, or a failure or malfunction of the sources,
treatment, storage, or distribution system that the State
determines to be causing, or have potential for causing,
the introduction of contamination into the water
delivered to consumers.
40 CFR 141.403 (a)(4)
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SUMMARY OF FEDERAL REQUIREMENT
Within 120 days (or earlier if directed by the State) of
receiving written notification from the State of a
significant deficiency, written notice from a laboratory
that a ground water source sample collected under 40
CFR 141.402(a)(3) was found to be fecal indicator-
positive, or direction from the State that a fecal indicator-
positive sample collected under 40 CFR 141.402(a)(2),
40 CFR 141.402(a)(4), or 40 CFR 141.402(b) requires
corrective action, the ground water system must either:
Have completed corrective action in accordance with
applicable State plan review processes or other State
guidance or direction, if any, including State-specified
interim measures; or
Be in compliance with a State-approved corrective action
plan and schedule subject to the conditions specified in
paragraphs (a)(5)(ii)(A) and (a)(5)(ii)(B) of this section.
Any subsequent modifications to a State-approved
corrective action plan and schedule must also be
approved by the State.
If the State specifies interim measures for protection of
the public health pending State approval of the corrective
action plan and schedule or pending completion of the
corrective action plan, the system must comply with
these interim measures as well as with any schedule
specified by the State.
Corrective Action Alternatives. Ground water systems
that meet the conditions of paragraph (a)(l) or (a)(2) of
this section must implement one or more of the following
corrective action alternatives:
Correct all significant deficiencies;
FEDERAL CITATION
40 CFR 141 403 (a)(5)
40 CFR 141.403 (a)(5)(i)
40 CFR 141.403 (a)(5)(ii)
40 CFR 141.403 (a)(5)(ii)(A)
40 CFR 141.403 (a)(5)(ii)(B)
40 CFR 141.403 (a)(6)
40 CFR 141.403 (a)(6)(i)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
GWR Implementation Guidance
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SUMMARY OF FEDERAL REQUIREMENT
Provide an alternate source of water;
FEDERAL CITATION
40 CFR 141 403 (a)(6)(u)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Eliminate the source of contamination; or
40 CFR 141.403 (a)(6)(iii)
Provide treatment that reliably achieves at least 4-log
treatment of viruses (using inactivation, removal, or a
State-approved combination of 4-log virus inactivation
and removal) before or at the first customer for the
ground water source.
40 CFR 141.403 (a)(6)(iv)
Special notice to the public of significant deficiencies or
source water fecal contamination. In addition to the
applicable public notification requirements of 40 CFR
141.202, a community ground water system that receives
notice from the State of a significant deficiency or
notification of a fecal indicator-positive ground water
source sample that is not invalidated by the State under
40 CFR 141.402(d) must inform the public served by the
water system under 40 CFR 141.153(h)(6) of the fecal
indicator-positive source sample or of any significant
deficiency that has not been corrected. The system must
continue to inform the public annually until the
significant deficiency is corrected or the fecal
contamination in the ground water source is determined
by the State to be corrected under paragraph (a)(5) of this
section.
40 CFR 141.403 (a)(7)(i)
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SUMMARY OF FEDERAL REQUIREMENT
In addition to the applicable public notification
requirements of 40 CFR 141.202, a non-community
ground water system that receives notice from the State
of a significant deficiency must inform the public served
by the water system in a manner approved by the State of
any significant deficiency that has not been corrected
within 12 months of being notified by the State, or
earlier if directed by the State. The system must continue
to inform the public annually until the significant
deficiency is corrected. The information must include:
FEDERAL CITATION
40 CFR 141 403 (a)(7)(u)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
The nature of the significant deficiency and the date the
significant deficiency was identified by the State;
40 CFR 141.403 (a)(7)(ii)(A)
The State-approved plan and schedule for correction of
the significant deficiency, including interim measures,
progress to date, and any interim measures completed;
and
40 CFR 141.403 (a)(7)(ii)(B)
For systems with a large proportion of non-English
speaking consumers, as determined by the State,
information in the appropriate language(s) regarding the
importance of the notice or a telephone number or
address where consumers may contact the system to
obtain a translated copy of the notice or assistance in the
appropriate language.
40 CFR 141.403 (a)(7)(ii)(C)
If directed by the State, a non-community water system
with significant deficiencies that have been corrected
must inform its customers of the significant deficiencies,
how the deficiencies were corrected, and the dates of
correction under paragraph (a)(7)(ii) of this section.
40 CFR 141.403 (a)(7)(iii)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Compliance monitoring. Existing ground water sources.
A ground water system that is not required to meet the
source water monitoring requirements of this subpart for
any ground water source because it provides at least 4-
log treatment of viruses (using inactivation, removal, or a
State-approved combination of 4-log virus inactivation
and removal) before or at the first customer for any
ground water source before December 1, 2009, must
notify the State in writing that it provides at least 4-log
treatment of viruses (using inactivation, removal, or a
State-approved combination of 4-log virus inactivation
and removal) before or at the first customer for the
specified ground water source and begin compliance
monitoring in accordance with paragraph (b)(3) of this
section by December 1, 2009. Notification to the State
must include engineering, operational, or other
information that the State requests to evaluate the
submission. If the system subsequently discontinues 4-
log treatment of viruses (using inactivation, removal, or a
State-approved combination of 4-log virus inactivation
and removal) before or at the first customer for a ground
water source, the system must conduct ground water
source monitoring as required under 40 CFR 141.402.
40 CFR 141 403 (b)(l)
New ground water sources. A ground water system that
places a ground water source in service after November
30, 2009, that is not required to meet the source water
monitoring requirements of this subpart because the
system provides at least 4-log treatment of viruses (using
inactivation, removal, or a State-approved combination
of 4-log virus inactivation and removal) before or at the
first customer for the ground water source must comply
with the requirements of paragraphs (b)(2)(i), (b)(2)(ii)
and (b)(2)(iii) of this section.
40 CFR 141.403 (b)(2)
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SUMMARY OF FEDERAL REQUIREMENT
The system must notify the State in writing that it
provides at least 4-log treatment of viruses (using
inactivation, removal, or a State-approved combination
of 4-log virus inactivation and removal) before or at the
first customer for the ground water source. Notification
to the State must include engineering, operational, or
other information that the State requests to evaluate the
submission.
FEDERAL CITATION
40 CFR 141 403 (b)(2)(i)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
The system must conduct compliance monitoring as
required under 40 CFR 141.403(b)(3) of this subpart
within 30 days of placing the source in service.
40 CFR 141.403 (b)(2)(ii)
The system must conduct ground water source
monitoring under 40 CFR 141.402 if the system
subsequently discontinues 4-log treatment of viruses
(using inactivation, removal, or a State-approved
combination of 4-log virus inactivation and removal)
before or at the first customer for the ground water
source.
40 CFR 141.403 (b)(2)(iii)
Monitoring requirements. A ground water system subject
to the requirements of paragraphs (a), (b)(l) or (b)(2) of
this section must monitor the effectiveness and reliability
of treatment for that ground water source before or at the
first customer as follows:
40 CFR 141.403 (b)(3)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Chemical disinfection. Ground water systems serving
greater than 3,300people. A ground water system that
serves greater than 3,300 people must continuously
monitor the residual disinfectant concentration using
analytical methods specified in 40 CFR 141.74(a)(2) at a
location approved by the State and must record the
lowest residual disinfectant concentration each day that
water from the ground water source is served to the
public. The ground water system must maintain the
State-determined residual disinfectant concentration
every day the ground water system serves water from the
ground water source to the public. If there is a failure in
the continuous monitoring equipment, the ground water
system must conduct grab sampling every four hours
until the continuous monitoring equipment is returned to
service. The system must resume continuous residual
disinfectant monitoring within 14 days.
40 CFR 141 403 (b)(3)(i)(A)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Ground water systems serving 3,300 or fewer people. A
ground water system that serves 3,300 or fewer people
must monitor the residual disinfectant concentration
using analytical methods specified in 40 CFR
141.74(a)(2) at a location approved by the State and
record the residual disinfection concentration each day
that water from the ground water source is served to the
public. The ground water system must maintain the
State-determined residual disinfectant concentration
every day the ground water system serves water from the
ground water source to the public. The ground water
system must take a daily grab sample during the hour of
peak flow or at another time specified by the State. If any
daily grab sample measurement falls below the State-
determined residual disinfectant concentration, the
ground water system must take follow-up samples every
four hours until the residual disinfectant concentration is
restored to the State-determined level. Alternatively, a
ground water system that serves 3,300 or fewer people
may monitor continuously and meet the requirements of
paragraph (b)(3)(i)(A) of this section.
40 CFR 141 403 (b)(3)(i)(B)
Membrane filtration. A ground water system that uses
membrane filtration to meet the requirements of this
subpart must monitor the membrane filtration process in
accordance with all State-specified monitoring
requirements and must operate the membrane filtration in
accordance with all State-specified compliance
requirements. A ground water system that uses
membrane filtration is in compliance with the
requirement to achieve at least 4-log removal of viruses
when:
40 CFR 141.403 (b)(3)(ii)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
The membrane has an absolute molecular weight cut-off
(MWCO), or an alternate parameter that describes the
exclusion characteristics of the membrane, that can
reliably achieve at least 4-log removal of viruses;
40 CFR 141 403 (b)(3)(ii)(A)
The membrane process is operated in accordance with
State-specified compliance requirements; and
40 CFR 141.403 (b)(3)(ii)(B)
The integrity of the membrane is intact.
40 CFR 141.403 (b)(3)(ii)(C)
Alternative treatment. A ground water system that uses a
State-approved alternative treatment to meet the
requirements of this subpart by providing at least 4-log
treatment of viruses (using inactivation, removal, or a
State-approved combination of 4-log virus inactivation
and removal) before or at the first customer must:
40 CFR 141.403 (b)(3)(iii)
Monitor the alternative treatment in accordance with all
State-specified monitoring requirements; and
40 CFR 141.403 (b)(3)(iii)(A)
Operate the alternative treatment in accordance with all
compliance requirements that the State determines to be
necessary to achieve at least 4-log treatment of viruses.
40 CFR 141.403 (b)(3)(iii)(B)
Discontinuing treatment. A ground water system may
discontinue 4-log treatment of viruses (using
inactivation, removal, or a State-approved combination
of 4-log virus inactivation and removal) before or at the
first customer for a ground water source if the State
determines and documents in writing that 4-log treatment
of viruses is no longer necessary for that ground water
source. A system that discontinues 4-log treatment of
viruses is subject to the source water monitoring and
analytical methods requirements of 40 CFR 141.402 of
this subpart.
40 CFR 141.403 (c)
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SUMMARY OF FEDERAL REQUIREMENT
Failure to meet the monitoring requirements of paragraph
(b) of this section is a monitoring violation and requires
the ground water system to provide public notification
under 40 CFR 141.204.
FEDERAL CITATION
40 CFR 141 403 (d)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
40 CFR 141.404 TREATMENT TECHNIQUE VIOLATIONS FOR GROUND WATER SYSTEMS.
A ground water system with a significant deficiency is in
violation of the treatment technique requirement if,
within 120 days (or earlier if directed by the State) of
receiving written notice from the State of the significant
deficiency, the system:
Does not complete corrective action in accordance with
any applicable State plan review processes or other State
guidance and direction, including State specified interim
actions and measures, or
Is not in compliance with a State -approved corrective
action plan and schedule.
Unless the State invalidates a fecal indicator-positive
ground water source sample under 40 CFR 141.402(d), a
ground water system is in violation of the treatment
technique requirement if, within 120 days (or earlier if
directed by the State) of meeting the conditions of 40
CFR 141.403(a)(l) or 40 CFR 141.403(a)(2), the system:
Does not complete corrective action in accordance with
any applicable State plan review processes or other State
guidance and direction, including State-specified interim
measures, or
Is not in compliance with a State -approved corrective
action plan and schedule.
40 CFR 141.404 (a)
40 CFR 141.404 (a)(l)
40 CFR 141.404 (a)(2)
40 CFR 141.404 (b)
40 CFR 141.404 (b)(l)
40 CFR 141.404 (b)(2)
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SUMMARY OF FEDERAL REQUIREMENT
A ground water system subject to the requirements of 40
CFR 141.403(b)(3) that fails to maintain at least 4-log
treatment of viruses (using inactivation, removal, or a
State-approved combination of 4-log virus inactivation
and removal) before or at the first customer for a ground
water source is in violation of the treatment technique
requirement if the failure is not corrected within four
hours of determining the system is not maintaining at
least 4-log treatment of viruses before or at the first
customer.
Ground water system must give public notification under
40 CFR 141.203 for the treatment technique violations
specified in paragraphs (a), (b) and (c) of this section.
40 CFR 141.405 REPORTING AND RECORDKEEPING FOI
Reporting. In addition to the requirements of 40 CFR
141.31, a ground water system regulated under this
subpart must provide the following information to the
State:
A ground water system conducting compliance
monitoring under 40 CFR 141.403(b) must notify the
State any time the system fails to meet any State-
specified requirements including, but not limited to,
minimum residual disinfectant concentration, membrane
operating criteria or membrane integrity, and alternative
treatment operating criteria, if operation in accordance
with the criteria or requirements is not restored within
four hours. The ground water system must notify the
State as soon as possible, but in no case later than the
end of the next business day.
After completing any corrective action under 40 CFR
141.403(a), a ground water system must notify the State
within 30 days of completion of the corrective action.
FEDERAL CITATION
40 CFR 141 404 (c)
40 CFR 141.404 (d)
{ GROUND WATER SYSTEMS.
40 CFR 141.405 (a)
40 CFR 141.405 (a)(l)
40 CFR 141.405 (a)(2)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
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SUMMARY OF FEDERAL REQUIREMENT
If a ground water system subject to the requirements of
40 CFR 141.402(a) does not conduct source water
monitoring under 40 CFR 141.402(a)(5)(ii), the system
must provide documentation to the State within 30 days
of the total conform positive sample that it met the State
criteria.
Recordkeeping. In addition to the requirements of 40
CFR 141.33, a ground water system regulated under this
subpart must maintain the following information in its
records:
Documentation of corrective actions. Documentation
shall be kept for a period of not less than ten years.
Documentation of notice to the public as required under
40 CFR 141.403(a)(7). Documentation shall be kept for a
period of not less than three years.
Records of decisions under 40 CFR 141.402(a)(5)(ii) and
records of invalidation of fecal indicator-positive ground
water source samples under 40 CFR 141.402(d).
Documentation shall be kept for a period of not less than
five years.
For consecutive systems, documentation of notification
to the wholesale system(s) of total-coliform positive
samples that are not invalidated under 40 CFR 141.21(c).
Documentation shall be kept for a period of not less than
five years.
For systems, including wholesale systems, that are
required to perform compliance monitoring under 40
CFR 141.403(b):
Records of the State-specified minimum disinfectant
residual. Documentation shall be kept for a period of not
less than ten years.
FEDERAL CITATION
40 CFR 141 405 (a)(3)
40 CFR 141.405 (b)
40 CFR 141.405 (b)(l)
40 CFR 141.405 (b)(2)
40 CFR 141.405 (b)(3)
40 CFR 141.405 (b)(4)
40 CFR 141.405 (b)(5)
40 CFR 141.405 (b)(5)(i)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
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SUMMARY OF FEDERAL REQUIREMENT
Records of the lowest daily residual disinfectant
concentration and records of the date and duration of any
failure to maintain the State-prescribed minimum
residual disinfectant concentration for a period of more
than four hours. Documentation shall be kept for a period
of not less than five years.
FEDERAL CITATION
40 CFR 141 405 (b)(5)(u)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Records of State-specified compliance requirements for
membrane filtration and of parameters specified by the
State for State-approved alternative treatment and
records of the date and duration of any failure to meet
the membrane operating, membrane integrity, or
alternative treatment operating requirements for more
than four hours. Documentation shall be kept for a period
of not less than five years.
40 CFR 141.405 (b)(5)(iii)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
EXPLANATION OF STATE POLICIES AND
PROCEDURES
PART 142-NATioNAL PRIMARY DRINKING WATER REGULATIONS IMPLEMENTATION
SUBPART B-PRIMARY ENFORCEMENT RESPONSIBILITY
40 CFR 142. 14 RECORDS KEPT BY STATES.
Records of the currently applicable or most recent State determination,
including all supporting information and an explanation of the technical basis
of each decision, made under the following provisions of 40 CFR part 141,
subpart S and 40 CFR part 142.
40 CFR 142.16(o)(2)(v). Records of written notices of significant
deficiencies.
40 CFR 141.403(a)(5)(ii) of this chapter. Records of corrective action plans,
schedule approvals, and State-specified interim measures.
40 CFR 142.16(o)(4). Records of confirmations under 40 CFR 141.403(a) of
this chapter that a significant deficiency has been corrected or the fecal
contamination in the ground water source has been addressed.
40 CFR 141.402(a)(5) of this chapter. Records of State determinations and
records of ground water system's documentation for not conducting
triggered source water monitoring.
40 CFR 141.402(d) of this chapter. Records of invalidations of fecal
indicator-positive ground water source samples.
40 CFR 141.402(a)(2)(ii) of this chapter. Records of State approvals of
source water monitoring plans.
40 CFR 142.16(o)(4)(ii). Records of notices of the minimum residual
disinfection concentration (when using chemical disinfection) needed to
achieve at least 4-log virus inactivation before or at the first customer.
!
40CFR142.14(d)(17)
40CFR142.14(d)(17)(i)
40CFR142.14(d)(17)(ii)
40CFR142.14(d)(17)(iii)
40CFR142.14(d)(17)(iv)
40CFR142.14(d)(17)(v)
40CFR142.14(d)(17)(vi)
40CFR142.14(d)(17)(vii)
1
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SUMMARY OF FEDERAL REQUIREMENT
40 CFR 142 16(o)(4)(iv) and 142 16(o)(4)(v) Records of notices of the State-
specified monitoring and compliance requirements (when using membrane
filtration or alternative treatment) needed to achieve at least 4-log treatment
of viruses (using inactivation, removal, or a State-approved combination of
4-log inactivation and removal) before or at the first customer.
40 CFR 141.403(b)(l) and 141.403(b)(2) of this chapter. Records of written
notices from the ground water system that it provides at least 4-log treatment
of viruses (using inactivation, removal, or a State-approved combination of
4-log virus inactivation and removal) before or at the first customer for a
ground water source.
40 CFR 142.16(o)(4)(vi). Records of written determinations that the ground
water system may discontinue 4-log treatment of viruses (using inactivation,
removal, or a State-approved combination of 4-log inactivation and
removal).
40 CFR 142.15 REPORTS BY STATES.
Ground water rule. Sanitary surveys. The month and year in which the most
recent sanitary survey was completed or, for a State that uses a phased
review process, the date the last element of the applicable eight elements was
evaluated under 40 CFR 142. 16(o)(2) for each ground water system.
Corrective action requirements. For any corrective action under 40 CFR
141.403(a) of this chapter, the date the ground water system completed
corrective action.
Compliance monitoring. All ground water systems providing at least 4-log
treatment of viruses (using inactivation, removal, or a State-approved
combination of 4-log virus inactivation and removal) before or at the first
customer for any ground water source(s).
FEDERAL CITATION
40 CFR 142 14(d)(17)Cuii)
40CFR142.14(d)(17)(ix)
40CFR142.14(d)(17)(x)
40CFR142.15(c)(7)(i)
40CFR142.15(c)(7)(ii)
40CFR142.15(c)(7)(iii)
EXPLANATION OF STATE POLICIES AND
PROCEDURES
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SUMMARY OF FEDERAL REQUIREMENT
40 CFR 142.16 SPECIAL PRIMACY REQRUIREMENTS.
Table 1 of 40 CFR 141.202(a) (Items (5), (6), and (9))— To require public
water systems to give a Tier 1 public notice (rather than a Tier 2 or Tier 3
notice) for violations or situations listed in Appendix A of Subpart Q of Part
141 of this chapter;
Requirements for States to adopt 40 CFR part 141, subpart S. In addition to
the general primacy requirements specified elsewhere in this part, including
the requirement that State regulations are no less stringent than the Federal
requirements, an application for approval of a State program revision that
adopts 40 CFR part 141, subpart S, must contain the information specified in
this paragraph (o).
Legal authority. The application for primacy must demonstrate the State has:
The authority contained in statute or regulation to ensure that ground water
systems conduct source water monitoring under 40 CFR 141.402(a)(2), 40
CFR 141.402(a)(3) and 40 CFR 141.402(a)(4)(ii)(A) of this chapter.
The authority contained in statute or regulation to ensure that ground water
systems take the appropriate corrective actions including interim measures, if
necessary, needed to address significant deficiencies.
The authority contained in statute or regulation to ensure that ground water
systems take the appropriate corrective actions, including interim measures if
necessary, to address any source water fecal contamination identified during
source water monitoring under 40 CFR 141.402 of this chapter.
The authority contained in statute or regulation to ensure that ground water
systems consult with the State regarding corrective action(s).
FEDERAL CITATION
40CFR142.16(a)(2)(iii)
40 CFR 142. 16(o)
40CFR142.16(o)(l)
40CFR142.16(o)(l)(i)
40CFR142.16(o)(l)(ii)
40CFR142.16(o)(l)(iii)
40CFR142.16(o)(l)(iv)
EXPLANATION OF STATE POLICIES AND
PROCEDURES
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SUMMARY OF FEDERAL REQUIREMENT
State practices or procedures for sanitary surveys. In addition to the general
requirements for sanitary surveys contained in 40 CFR 142.10(b)(2), a
primacy application must describe how the State will implement a sanitary
survey program that meets the requirements of paragraph (o)(2)(i) of this
section. A "sanitary survey," as conducted by the State, includes but is not
limited to, an onsite review of the water source(s) (identifying sources of
contamination by using results of source water assessments or other relevant
information where available), facilities, equipment, operation, maintenance,
and monitoring compliance of a public water system to evaluate the
adequacy of the system, its sources and operations and the distribution of
safe drinking water.
The State must conduct sanitary surveys that address the eight sanitary
survey components listed in this section no less frequently than every three
years for community water systems, except as provided in paragraph
(o)(2)(iii) of this section, and every five years for non-community water
systems. The State may conduct more frequent sanitary surveys for any
system. The initial sanitary survey for each community water system must be
conducted by December 31, 2012, unless the system meets the requirements
of paragraph (o)(2)(iii) of this section. The initial sanitary survey for each
community water system that meets the requirements of paragraph (o)(2)(iii)
of this section and for each non-community water system must be conducted
by December 3 1, 2014. The sanitary survey must include an evaluation of
each of the following elements as applicable:
Source,
Treatment,
Distribution system,
Finished water storage,
Pumps, pump facilities, and controls,
Monitoring, reporting, and data verification,
System management and operation, and
Operator compliance with State requirements.
FEDERAL CITATION
40 CFR 142 16 (o)(2)
40CFR142.16(o)(2)(i)
40CFR142.16(o)(2)(i)(A)
40 CFR 142.16 (o)(2)(i)(B)
40CFR142.16(o)(2)(i)(C)
40CFR142.16(o)(2)(i)(D)
40 CFR 142.16 (o)(2)(i)(E)
40CFR142.16(o)(2)(i)(F)
40CFR142.16(o)(2)(i)(G)
40 CFR 142.16 (o)(2)(i)(H)
EXPLANATION OF STATE POLICIES AND
PROCEDURES
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SUMMARY OF FEDERAL REQUIREMENT
The State may use a phased review process to meet the requirements of
(o)(2)(i) of this section if all the applicable elements of paragraphs
(o)(2)(i)(A) through (o)(2)(i)(H) of this section are evaluated within the
required interval.
FEDERAL CITATION
40 CFR 142 16 (o)(2)(ii)
EXPLANATION OF STATE POLICIES AND
PROCEDURES
The State may conduct sanitary surveys once every five years for community
water systems if the system either provides at least 4-log treatment of viruses
(using inactivation, removal, or a State-approved combination of 4-log
inactivation and removal) before or at the first customer for all its ground
water sources, or if it has an outstanding performance record, as determined
by the State and documented in previous sanitary surveys and has no history
of total conform MCL or monitoring violations under 40 CFR 141.21 of this
chapter since the last sanitary survey. In its primacy application, the State
must describe how it will determine whether a community water system has
an outstanding performance record.
40CFR142.16(o)(2)(iii)
The State must define and describe in its primacy application at least one
specific significant deficiency in each of the eight sanitary survey elements
in paragraphs (o)(2)(i)(A) through (o)(2)(i)(H) of this section. Significant
deficiencies include, but are not limited to, defects in design, operation, or
maintenance, or a failure or malfunction of the sources, treatment, storage, or
distribution system that the State determines to be causing, or have potential
for causing, the introduction of contamination into the water delivered to
consumers.
40CFR142.16(o)(2)(iv)
As a condition of primacy, the State must provide ground water systems with
written notice describing any significant deficiencies no later than 30 days
after the State identifies the significant deficiency. The notice may specify
corrective actions and deadlines for completion of corrective actions. The
State may provide the written notice at the time of the sanitary survey.
40CFR142.16(o)(2)(v)
State practices or procedures for source water microbial monitoring. The
State's primacy application must include a description of the following:
40CFR142.16(o)(3)
The criteria the State will use under 40 CFR40 CFR 141.402(a)(2)(i) and
141.402(d)(2) of this chapter for extending the 24-hour time limit for a
system to collect a ground water source sample to comply with the source
water monitoring requirements.
40CFR142.16(o)(3)(i)
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SUMMARY OF FEDERAL REQUIREMENT
The criteria the State will use under 40 CFR40 CFR 141.402(a)(5)(i) and
141.402(a)(5)(ii) of this chapter to determine whether the cause of the total
coliform-positive sample taken under 40 CFR 141.21 (a) of this chapter is
directly related to the distribution system.
FEDERAL CITATION
40 CFR 142 16 (o)(3)(ii)
EXPLANATION OF STATE POLICIES AND
PROCEDURES
The criteria the State will use for determining whether to invalidate a fecal
indicator-positive ground water source sample under 40 CFR
141.402(d)(l)(ii) of this chapter.
40CFR142.16(o)(3)(iii)
The criteria the State will use to allow source water microbial monitoring at
a location after treatment under 40 CFR 141.402(e)(l) of this chapter.
40CFR142.16(o)(3)(iv)
State practices or procedures for treatment technique requirements. As a
condition of primacy, the State must verify that significant deficiencies or
source water fecal contamination have been addressed. The State must verify
within 30 days after the ground water system has reported to the State that it
has completed corrective action. The State must verify either through written
confirmation from the ground water system or a site visit by the State.
Written notice from the ground water system under 40 CFR 141.405(a)(2) of
this chapter may serve as this verification. The State's primacy application
must include the following:
40CFR142.16(o)(4)
The process the State will use to determine that a ground water system
achieves at least a 4-log treatment of viruses (using inactivation, removal, or
a combination of inactivation and removal) before or at the first customer for
a ground water source for systems that are not subject to the source water
monitoring requirements of 40 CFR 141.402(a) of this chapter because the
ground water system has informed the State that it provides at least 4-log
treatment of viruses.
40CFR142.16(o)(4)(i)
The process the State will use to determine the minimum residual
disinfectant concentration the system must provide prior to the first customer
for systems using chemical disinfection.
40CFR142.16(o)(4)(ii)
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SUMMARY OF FEDERAL REQUIREMENT
The State-approved alternative technologies that ground water systems mas
use alone or in combination with other approved technologies to achieve at
least 4-log treatment of viruses (using inactivation, removal, or a State-
approved combination of 4-log inactivation and removal) before or at the
first customer for a ground water source.
FEDERAL CITATION
40 CFR 142 16 (o)(4)(m)
EXPLANATION OF STATE POLICIES AND
PROCEDURES
The monitoring and compliance requirements the State will require for
ground water systems treating to at least 4-log treatment of viruses (using
inactivation, removal, or a State-approved combination of inactivation and
removal) before or at the first customer for State-approved alternative
treatment technologies.
40CFR142.16(o)(4)(iv)
The monitoring, compliance and membrane integrity testing requirements
the State will require to demonstrate virus removal for ground water systems
using membrane filtration technologies.
40CFR142.16(o)(4)(v)
The criteria, including public health-based considerations and incorporating
on-site investigations and source water monitoring results the State will use
to determine if a ground water system may discontinue 4-log treatment of
viruses (using inactivation, removal, or a State-approved combination of
inactivation and removal) before or at the first customer.
40CFR142.16(o)(4)(vi)
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Appendix B
Rule Requirements
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Federal Register/Vol. 71, No. 216/Wednesday, November 8, 2006/Rules and Regulations 65651
PART 9—OMB APPROVALS UNDER
THE PAPERWORK REDUCTION ACT
• 1. The authority citation for part 9
continues to read as follows:
Authority: 7 U.S.C. 135 etseq., 136-136y;
15 U.S.C. 2001, 2003, 2005, 2006, 2601-2671;
21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33
U.S.C. 1251 etseq., 1311, 1313d, 1314, 1318,
1321, 1326, 1330, 1342, 1344, 1345 (d) and
(e), 1361; Executive Order 11735, 38 FR
21243, 3 CFR, 1971-1975 Comp. p. 973; 42
U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-
1, 300g-2, 300g-3, 300g-J, 300g-5, 300g-6,
300J-1, 300J-2, 300J-3, 300J-4, 300J-9, 1857
etseq., 6901-6992k, 7401-7671q, 7542,
9601-9657, 11023, 11048.
• 2. In § 9.1 the table is amended by
adding entries § 141.401-141.405",
§ 142.14(d)(17)", § 142.15(c)(7)" and
§ 142.16(o)" in numerical order, as
follows:
§ 9.1 OMB approvals under the Paperwork
Reduction Act.
40 CFR citation
OMB control
No.
National Primary Drinking Water Regulations
141.401-141.405
2040-0271
National Primary Drinking Water Regulations Implementation
142.14(d)(17)
2040-0271
142.15(c)(7)
2040-0271
142.16(0)
2040-0271
PART 141—NATIONAL PRIMARY
DRINKING WATER REGULATIONS
• 3. The authority citation for part 141
continues to read as follows:
Authority: 42 U.S.C. 300f, 300g-l, 300g-2,
300g-3, 300g-J, 300g-5, 300g-6, 300J-J,
300J-9, and 300J-11.
• 4. Section 141.21 is amended by
adding paragraph (d)(3) to read as
follows:
§141.21 Coliform sampling.
A A A A A
(d) * * *
(3) Sanitary surveys conducted by the
State under the provisions of
§142.16(o)(2) of this chapter may be
used to meet the sanitary survey
requirements of this section.
A A A A A
• 5. Section 141.28 is amended by
revising paragraph (a) to read as follows:
§141.28 Certified laboratories.
(a) For the purpose of determining
compliance with § 141.21 through
141.27, 141.30, 141.40, 141.74, 141.89
and 141.402, samples may be
considered only if they have been
analyzed by a laboratory certified by the
State except that measurements of
alkalinity, calcium, conductivity,
disinfectant residual, orthophosphate,
pH, silica, temperature and turbidity
may be performed by any person
acceptable to the State.
A A A A A
• 6. Section 141.153 is amended by
adding a new paragraph (h)(6) to read as
follows:
§141.153 Content of the reports.
A A A A A
(h) * * *
(6) Systems required to comply with
subpart S. (i) Any ground water system
that receives notice from the State of a
significant deficiency or notice from a
laboratory of a fecal indicator-positive
ground water source sample that is not
invalidated by the State under
§ 141.402(d) must inform its customers
of any significant deficiency that is
unconnected at the time of the next
report or of any fecal indicator-positive
ground water source sample in the next
report. The system must continue to
inform the public annually until the
State determines that particular
significant deficiency is corrected or the
fecal contamination in the ground water
source is addressed under § 141.403(a).
Each report must include the following
elements.
(A) The nature of the particular
significant deficiency or the source of
the fecal contamination (if the source is
known) and the date the significant
deficiency was identified by the State or
the dates of the fecal indicator-positive
ground water source samples;
(B) If the fecal contamination in the
ground water source has been addressed
under § 141.403(a) and the date of such
action;
(C) For each significant deficiency or
fecal contamination in the ground water
source that has not been addressed
under § 141.403(a), the State-approved
plan and schedule for correction,
including interim measures, progress to
date, and any interim measures
completed; and
(D) If the system receives notice of a
fecal indicator-positive ground water
source sample that is not invalidated by
the State under § 141.402(d), the
potential health effects using the health
effects language of Appendix A of
subpart O.
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65652 Federal Register/Vol. 71, No. 216/Wednesday, November 8, 2006/Rules and Regulations
(ii) If directed by the State, a system
with significant deficiencies that have
been corrected before the next report is
issued must inform its customers of the
significant deficiency, how the
deficiency was corrected, and the date
of correction under paragraph (h)(6)(i) of
this section.
• 7. Appendix A to subpart O is
amended by adding a new entry "Fecal
Indicators (enterococci or coliphage)" to
read as follows:
APPENDIX A TO SUBPART O OF PART 141—REGULATED CONTAMINANTS
Contaminant (units)
Traditional
MCL in mg/L
To convert for
CCR, multiply
by
MCL in CCR
units
MCLG
Major sources
in drinking
water
Health effects language
Microbiological Contaminants:
Fecal Indicators (enterococci
or coliphage).
N/A
Human and
animal fecal
waste.
Fecal indicators are mi-
crobes whose presence
indicates that the water
may be contaminated with
human or animal wastes.
Microbes in these wastes
can cause short-term
health effects, such as di-
arrhea, cramps, nausea,
headaches, or other
symptoms. They may
pose a special health risk
for infants, young children,
some of the elderly, and
people with severely com-
promised immune sys-
tems.
TT=Treatment Technique.
• 8. Section 141.202 is amended by
redesignating entry (8) in Table 1 in
paragraph (a) as entry (9); and adding a
new paragraph (8) to read as follows:
§ 141.202 Tier 1 Public Notice—Form,
manner, and frequency of notice.
(a) * * *
Table 1 to § 141.202—Violation
Categories and Other Situations
Requiring a Tier 1 Public Notice
(8) Detection of E. coli, enterococci, or
coliphage in source water samples as
specified in § 141.402(a) and
§141.402(b).
A A A A A
• 9. Section 141.203 is amended by
adding entry (4) to Table 1 in paragraph
(a) to read as follows:
§ 141.203 Tier 2 Public Notice—Form,
manner, and frequency of notice.
(a) * * *
Table 1 to § 141.203—Violation
Categories and Other Situations
Requiring a Tier 2 Public Notice
(4) Failure to take corrective action or
failure to maintain at least 4-log
treatment of viruses (using inactivation,
removal, or a State-approved
combination of 4-log virus inactivation
and removal) before or at the first
customer under § 141.403(a).
A A A A A
• 10. Appendix A to Subpart Qof Part
141 is amended to read as follows:
• a. Adding LA.11;
• b. Redesignating entry IV.F as entry
IV.G; and
• c. Adding a new entry IV.F in
alphabetical order:
APPENDIX A TO SUBPART Q OF PART 141—NPDWR VIOLATIONS AND OTHER SITUATIONS REQUIRING PUBLIC NOTICE 1
MCL/MRDL/TT violations2
Contaminant
Monitoring and testing
procedure violations
Tier of public
notice required
Citation
Tier of public
notice required
Citation
I. Violations of National Primary Drinking Water Regulations (NPDWR):3
A. Microbiological Contaminants
11. Ground Water Rule violations
141.404
141.402(h).
141.403(d).
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Federal Register/Vol. 71, No. 216/Wednesday, November 8, 2006/Rules and Regulations 65653
APPENDIX A TO SUBPART Q OF PART 141—NPDWR VIOLATIONS AND OTHER SITUATIONS REQUIRING PUBLIC NOTICE 1—
Continued
MCL/MRDL/TT violations 2
Contaminant
Tier of public
notice required
Citation
Monitoring and testing
procedure violations
Tier of public
notice required
Citation
IV. Other Situations Requiring Public Notification
F. Source Water Sample Positive for GWR Fecal indicators: E. coli,
enterococci, or coliphage
141.402(g)
N/A
N/A
1 Violations and other situations not listed in this table (e.g., failure to prepare Consumer Confidence Reports) do not require notice, unless
otherwise determined by the primacy agency. Primacy agencies may, at their option, also require a more stringent public notice tier (e.g., Tier 1
instead of Tier 2 or Tier 2 instead of Tier 3) for specific violations and situations listed in this Appendix, as authorized under § 141.202(a) and
§141.203(a).
2MCL—Maximum contaminant level, MRDL—Maximum residual disinfectant level, TT—Treatment technique.
3The term Violations of National Primary Drinking Water Regulations (NPDWR) is used here to include violations of MCL, MRDL, treatment
technique, monitoring, and testing procedure requirements.
* * * * * • 11. Appendix B of SubpartQof Part and A.I.d in numerical order to read as
141 is amended by adding entries A.l.c follows:
APPENDIX B TO SUBPART Q OF PART 141—STANDARD HEALTH EFFECTS LANGUAGE FOR PUBLIC NOTIFICATION
Contaminant
MCLG1
mg/L
MCL2
mg/L
Standard health effects language for public notification
National Primary Drinking Water Regulations (NPDWR)
A. Microbiological Contaminants
1c. Fecal indicators (GWR):
i. E. coli
ii. enterococci
ill. coliphage
Zero .
None
None
1d. Ground Water Rule (GWR) TT violations None
Fecal indicators are microbes whose presence indi-
cates that the water may be contaminated with
human or animal wastes. Microbes in these wastes
can cause short-term health effects, such as diar-
rhea, cramps, nausea, headaches, or other symp-
toms. They may pose a special health risk for in-
fants, young children, some of the elderly, and peo-
ple with severely compromised immune systems.
Inadequately treated or inadequately protected water
may contain disease-causing organisms. These or-
ganisms can cause symptoms such as diarrhea,
nausea, cramps, and associated headaches.
1 MCLG—Maximum contaminant level goal.
2 MCL—Maximum contaminant level.
• 12. Appendix C to SubpartQis
amended by adding the following
abbreviations in alphabetical order:
Appendix C to Subpart Q of Part 141—
List of Acronyms Used in Public
Notification Regulations
GWR Ground Water Rule
• 13. A new subpart S is added to read
as follows:
Subpart S—Ground Water Rule
Sec.
141.400 General requirements and
applicability.
141.401 Sanitary surveys for ground water
systems.
141.402 Ground water source microbial
monitoring and analytical methods.
141.403 Treatment technique requirements
for ground water systems.
141.404 Treatment technique violations for
ground water systems.
141.405 Reporting and recordkeeping for
ground water systems.
Subpart S—Ground Water Rule
§ 141.400 General requirements and
applicability.
(a) Scope of this subpart. The
requirements of this subpart S constitute
National Primary Drinking Water
Regulations.
(b) Applicability. This subpart applies
to all public water systems that use
ground water except that it does not
apply to public water systems that
combine all of their ground water with
surface water or with ground water
under the direct influence of surface
water prior to treatment under subpart
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65654 Federal Register/Vol. 71, No. 216/Wednesday, November 8, 2006/Rules and Regulations
H. For the purposes of this subpart,
"ground water system" is defined as any
public water system meeting this
applicability statement, including
consecutive systems receiving finished
ground water.
(c) General requirements. Systems
subject to this subpart must comply
with the following requirements:
(1) Sanitary survey information
requirements for all ground water
systems as described in § 141.401.
(2) Microbial source water monitoring
requirements for ground water systems
that do not treat all of their ground
water to at least 99.99 percent (4-log)
treatment of viruses (using inactivation,
removal, or a State-approved
combination of 4-log virus inactivation
and removal) before or at the first
customer as described in § 141.402.
(3) Treatment technique requirements,
described in § 141.403, that apply to
ground water systems that have fecally
contaminated source waters, as
determined by source water monitoring
conducted under § 141.402, or that have
significant deficiencies that are
identified by the State or that are
identified by EPA under SDWA section
1445. A ground water system with
fecally contaminated source water or
with significant deficiencies subject to
the treatment technique requirements of
this subpart must implement one or
more of the following corrective action
options: correct all significant
deficiencies; provide an alternate source
of water; eliminate the source of
contamination; or provide treatment
that reliably achieves at least 4-log
treatment of viruses (using inactivation,
removal, or a State-approved
combination of 4-log virus inactivation
and removal) before or at the first
customer.
(4) Ground water systems that provide
at least 4-log treatment of viruses (using
inactivation, removal, or a State-
approved combination of 4-log virus
inactivation and removal) before or at
the first customer are required to
conduct compliance monitoring to
demonstrate treatment effectiveness, as
described in §141.403(b).
(5) If requested by the State, ground
water systems must provide the State
with any existing information that will
enable the State to perform a
hydrogeologic sensitivity assessment.
For the purposes of this subpart,
"hydrogeologic sensitivity assessment"
is a determination of whether ground
water systems obtain water from
hydrogeologically sensitive settings.
(d) Compliance date. Ground water
systems must comply, unless otherwise
noted, with the requirements of this
subpart beginning December 1, 2009.
§ 141.401 Sanitary surveys for ground
water systems.
(a) Ground water systems must
provide the State, at the State's request,
any existing information that will
enable the State to conduct a sanitary
survey.
(b) For the purposes of this subpart,
a "sanitary survey," as conducted by the
State, includes but is not limited to, an
onsite review? of the water source(s)
(identifying sources of contamination by
using results of source water
assessments or other relevant
information where available), facilities,
equipment, operation, maintenance, and
monitoring compliance of a public
water system to evaluate the adequacy
of the system, its sources and operations
and the distribution of safe drinking
water.
(c) The sanitary survey must include
an evaluation of the applicable
components listed in paragraphs (c)(l)
through (8) of this section:
(1) Source,
(2) Treatment,
(3) Distribution system,
(4) Finished water storage,
(5) Pumps, pump facilities, and
controls,
(6) Monitoring, reporting, and data
verification,
(7) System management and
operation, and
(8) Operator compliance with State
requirements.
§ 141.402 Ground water source microbial
monitoring and analytical methods.
(a) Triggered source water
monitoring.—(1) General requirements.
A ground water system must conduct
triggered source water monitoring if the
conditions identified in paragraphs
(a)(l)(i) and (a)(l)(ii) of this section
exist.
(i) The system does not provide at
least 4-log treatment of viruses (using
inactivation, removal, or a State-
approved combination of 4-log virus
inactivation and removal) before or at
the first customer for each ground water
source; and
(ii) The system is notified that a
sample collected under § 141.21(a) is
total coliform-positive and the sample is
not invalidated under § 141.21(c).
(2) Sampling Requirements. A ground
water system must collect, within 24
hours of notification of the total
coliform-positive sample, at least one
ground water source sample from each
ground water source in use at the time
the total coliform-positive sample was
collected under § 141.21(a), except as
provided in paragraph (a)(2)(ii) of this
section.
(i) The State may extend the 24-hour
time limit on a case-by-case basis if the
system cannot collect the ground water
source water sample within 24 hours
due to circumstances beyond its control.
In the case of an extension, the State
must specify how much time the system
has to collect the sample.
(ii) If approved by the State, systems
with more than one ground water source
may meet the requirements of this
paragraph (a)(2) by sampling a
representative ground water source or
sources. If directed by the State, systems
must submit for State approval a
triggered source water monitoring plan
that identifies one or more ground water
sources that are representative of each
monitoring site in the system's sample
siting plan under § 141.21(a) and that
the system intends to use for
representative sampling under this
paragraph.
(iii) A ground water system serving
1,000 people or fewer may use a repeat
sample collected from a ground water
source to meet both the requirements of
§ 141.21(b) and to satisfy the monitoring
requirements of paragraph (a)(2) of this
section for that ground water source
only if the State approves the use of E.
coli as a fecal indicator for source water
monitoring under this paragraph (a). If
the repeat sample collected from the
ground water source is E.coli positive,
the system must comply with paragraph
(a)(3) of this section.
(3) Additional Requirements. If the
State does not require corrective action
under § 141.403(a)(2) for a fecal
indicator-positive source water sample
collected under paragraph (a)(2) of this
section that is not invalidated under
paragraph (d) of this section, the system
must collect five additional source
water samples from the same source
within 24 hours of being notified of the
fecal indicator-positive sample.
(4) Consecutive and Wholesale
Systems, (i). In addition to the other
requirements of this paragraph (a), a
consecutive ground water system that
has a total coliform-positive sample
collected under § 141.21 (a) must notify
the wholesale system(s) within 24 hours
of being notified of the total coliform-
positive sample.
(ii) In addition to the other
requirements of this paragraph (a), a
wholesale ground water system must
comply with paragraphs (a)(4)(ii)(A) and
(a)(4)(ii)(B) of this section.
(A) A wholesale ground water system
that receives notice from a consecutive
system it serves that a sample collected
under § 141.21(a) is total coliform-
positive must, within 24 hours of being
notified, collect a sample from its
ground water source(s) under paragraph
(a)(2) of this section and analyze it for
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Federal Register/Vol. 71, No. 216/Wednesday, November 8, 2006/Rules and Regulations 65655
a fecal indicator under paragraph (c) of
this section.
(B) If the sample collected under
paragraph (a)(4)(ii)(A) of this section is
fecal indicator-positive, the wholesale
ground water system must notify all
consecutive systems served by that
ground water source of the fecal
indicator source water positive within
24 hours of being notified of the ground
water source sample monitoring result
and must meet the requirements of
paragraph (a)(3) of this section.
(5) Exceptions to the Triggered Source
Water Monitoring Requirements. A
ground water system is not required to
comply with the source water
monitoring requirements of paragraph
(a) of this section if either of the
following conditions exists:
(i) The State determines, and
documents in writing, that the total
coliform-positive sample collected
under § 141.21(a) is caused by a
distribution system deficiency; or
(ii) The total coliform-positive sample
collected under § 141.21(a) is collected
at a location that meets State criteria for
distribution system conditions that will
cause total coliform-positive samples.
(b) Assessment Source Water
Monitoring. If directed by the State,
ground water systems must conduct
assessment source water monitoring that
meets State-determined requirements
for such monitoring. A ground water
system conducting assessment source
water monitoring may use a triggered
source water sample collected under
paragraph (a)(2) of this section to meet
the requirements of paragraph (b) of this
section. State-determined assessment
source water monitoring requirements
may include:
(1) Collection of a total of 12 ground
water source samples that represent
each month the system provides ground
water to the public,
(2) Collection of samples from each
well unless the system obtains written
State approval to conduct monitoring at
one or more wells within the ground
water system that are representative of
multiple wells used by that system and
that draw water from the same
hydrogeologic setting,
(3) Collection of a standard sample
volume of at least 100 mL for fecal
indicator analysis regardless of the fecal
indicator or analytical method used,
(4) Analysis of all ground water
source samples using one of the
analytical methods listed in the in
paragraph (c)(2) of this section for the
presence of E. coli, enterococci, or
coliphage,
(5) Collection of ground water source
samples at a location prior to any
treatment of the ground water source
unless the State approves a sampling
location after treatment, and
(6) Collection of ground water source
samples at the well itself unless the
system's configuration does not allow
for sampling at the well itself and the
State approves an alternate sampling
location that is representative of the
water quality of that well.
(c) Analytical methods. (I) A ground
water system subject to the source water
monitoring requirements of paragraph
(a) of this section must collect a
standard sample volume of at least 100
mL for fecal indicator analysis
regardless of the fecal indicator or
analytical method used.
(2) A ground water system must
analyze all ground water source samples
collected under paragraph (a) of this
section using one of the analytical
methods listed in the following table in
paragraph (c)(2) of this section for the
presence of E. coli, enterococci, or
coliphage:
ANALYTICAL METHODS FOR SOURCE WATER MONITORING
Fecal indicator1
Methodology
Method citation
E. coli
Enterococci
Coliphage
Colilert3
Colisure3
Membrane Filter Method with Ml Agar
m-ColiBlue24 Test5
E*Colite Test6
EC-MUG7
NA-MUG7
Multiple-Tube Technique
Membrane Filter Technique
Enterolert9
Two-Step Enrichment Presence-Absence Proce-
dure.
Single Agar Layer Procedure
9223 B.2
9223 B.2
EPA Method 1604.4
9221 F.2
9222 G.2
9230B.2
EPA Method 1600.8
EPA Method 1601.10
EPA Method 1602.11
Analyses must be conducted in accordance with the documents listed below. The Director of the Federal Register approves the incorporation
by reference of the documents listed in footnotes 2-11 in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the documents may be
obtained from the sources listed below. Copies may be inspected at EPA's Drinking Water Docket, EPA West, 1301 Constitution Ayenue, NW.,
EPA West, Room B102, Washington DC 20460 (Telephone: 202-566-2426); or at the National Archives and Records Administration (NARA).
For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.
1 The time from sample collection to initiation of analysis may not exceed 30 hours. The ground water system is encouraged but is not required
to hold samples below 10°C during transit.
2 Methods are described in Standard Methods for the Examination of Water and Wastewater 20th edition (1998) and copies may be obtained
from the American Public Health Association, 1015 Fifteenth Street, NW., Washington, DC 20005-2605.
3Medium is available through IDEXX Laboratories, Inc., One IDEXX Drive, Westbrook, Maine 04092.
4 EPA Method 1604: Total Conforms and Escherichia coli in Water by Membrane Filtration Using a Simultaneous Detection Technique (Ml Me-
dium); September 2002, EPA 821-R-02-024. Method is available at http://www.epa.gov/nerlcwww/1604sp02.pdfor from EPA's Water Resource
Center (RC-4100T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
5A description of the m-ColiBlue24 Test, "Total Coliforms and E. coli Membrane Filtration Method with m-ColiBlue24® Broth," Method No.
10029 Revision 2, August 17, 1999, is available from Hach Company, 100 Dayton Ave., Ames, IA 50010 or from EPA's Water Resource Center
(RC-4100T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
6A description of the E*Colite Test, "Charm E*Colite Presence/Absence Test for Detection and Identification of Coliform Bacteria and Esch-
erichia coli in Drinking Water, January 9, 1998, is available from Charm Sciences, Inc., 659 Andover St., Lawrence, MA 01843-1032 or from
EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
7 EC-MUG (Method 9221 F) or NA-MUG (Method 9222G) can be used for E. coli testing step as described in § 141.21 (f)(6)(i) or (ii) after use
of Standard Methods 9221 B, 9221 D, 9222 B, or 9222 C.
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65656 Federal Register/Vol. 71, No. 216/Wednesday, November 8, 2006/Rules and Regulations
8 EPA Method 1600: Enterococci in Water by Membrane Filtration Using membrane-Enterococcus Indoxyl-p-D-Glucoside Agar (mEI) EPA
821-R-02-022 (September 2002) is an approved variation of Standard Method 9230C. The method is available at http://www.epa.gov/nerlcwww/
1600sp02.pdf or from EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania Avenue, NW., Washington, DC 20460. The holding time
and temperature for ground water samples are specified in footnote 1 above, rather than as specified in Section 8 of EPA Method 1600.
9 Medium is available through IDEXX Laboratories, Inc., One IDEXX Drive, Westbrook, Maine 04092. Preparation and use of the medium is set
forth in the article "Evaluation of Enterolert for Enumeration of Enterococci in Recreational Waters," by Budnick, G.E., Howard, R.T., and Mayo,
D.R., 1996, Applied and Environmental Microbiology, 62:3881-3884.
10 EPA Method 1601: Male-specific (F+) and Somatic Coliphage in Water by Two-step Enrichment Procedure; April 2001, EPA 821-R-01-030.
Method is available at http://www.epa.gov/nerlcwww/1601ap01.pdf or from EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania Ave-
nue, NW., Washington, DC 20460.
11 EPA Method 1602: Male-specific (F+) and Somatic Coliphage in Water by Single Agar Layer (SAL) Procedure; April 2001, EPA 821-R-01-
029. Method is available at http://www.epa.gov/nerlcwww/1602ap01.pdfor from EPA's Water Resource Center (RC-4100T), 1200 Pennsylvania
Avenue, NW., Washington, DC 20460.
(d) Invalidation of a fecal indicator-
positive ground water source sample. (I)
A ground water system may obtain State
invalidation of a fecal indicator-positive
ground water source sample collected
under paragraph (a) of this section only
under the conditions specified in
paragraphs (d)(l)(i) and (ii) of this
section.
(i) The system provides the State with
written notice from the laboratory that
improper sample analysis occurred; or
(ii) The State determines and
documents in writing that there is
substantial evidence that a fecal
indicator-positive ground water source
sample is not related to source water
quality.
(2) If the State invalidates a fecal
indicator-positive ground water source
sample, the ground water system must
collect another source water sample
under paragraph (a) of this section
within 24 hours of being notified by the
State of its invalidation decision and
have it analyzed for the same fecal
indicator using the analytical methods
in paragraph (c) of this section. The
State may extend the 24-hour time limit
on a case-by-case basis if the system
cannot collect the source water sample
within 24 hours due to circumstances
beyond its control. In the case of an
extension, the State must specify how
much time the system has to collect the
sample.
(e) Sampling location. (I) Any ground
water source sample required under
paragraph (a) of this section must be
collected at a location prior to any
treatment of the ground water source
unless the State approves a sampling
location after treatment.
(2) If the system's configuration does
not allow for sampling at the well itself,
the system may collect a sample at a
State-approved location to meet the
requirements of paragraph (a) of this
section if the sample is representative of
the water quality of that well.
(f) New Sources. If directed by the
State, a ground water system that places
a new ground water source into service
after November 30, 2009, must conduct
assessment source water monitoring
under paragraph (b) of this section. If
directed by the State, the system must
begin monitoring before the ground
water source is used to provide water to
the public.
(g) Public Notification. A ground
water system with a ground water
source sample collected under
paragraph (a) or (b) of this section that
is fecal indicator-positive and that is not
invalidated under paragraph (d) of this
section, including consecutive systems
served by the ground water source, must
conduct public notification under
§141.202.
(h) Monitoring Violations. Failure to
meet the requirements of paragraphs
(a)-(f) of this section is a monitoring
violation and requires the ground water
system to provide public notification
under §141.204.
§141.403 Treatment technique
requirements for ground water systems.
(a) Ground water systems with
significant deficiencies or source water
fecal contamination.
(I) The treatment technique
requirements of this section must be met
by ground water systems when a
significant deficiency is identified or
when a ground water source sample
collected under § 141.402(a)(3) is fecal
indicator-positive.
(2) If directed by the State, a ground
water system with a ground water
source sample collected under
§ 141.402(a)(2), § 141.402(a)(4), or
§ 141.402(b) that is fecal indicator-
positive must comply with the
treatment technique requirements of
this section.
(3) When a significant deficiency is
identified at a Subpart H public water
system that uses both ground water and
surface water or ground water under the
direct influence of surface water, the
system must comply with provisions of
this paragraph except in cases where the
State determines that the significant
deficiency is in a portion of the
distribution system that is served solely
by surface water or ground water under
the direct influence of surface water.
(4) Unless the State directs the ground
water system to implement a specific
corrective action, the ground water
system must consult with the State
regarding the appropriate corrective
action within 30 days of receiving
written notice from the State of a
significant deficiency, written notice
from a laboratory that a ground water
source sample collected under
§ 141.402(a)(3) was found to be fecal
indicator-positive, or direction from the
State that a fecal indicator'positive
collected under § 141.402(a)(2),
§ 141.402(a)(4), or § 141.402(b) requires
corrective action. For the purposes of
this subpart, significant deficiencies
include, but are not limited to, defects
in design, operation, or maintenance, or
a failure or malfunction of the sources,
treatment, storage, or distribution
system that the State determines to be
causing, or have potential for causing,
the introduction of contamination into
the water delivered to consumers.
(5) Within 120 days (or earlier if
directed by the State) of receiving
written notification from the State of a
significant deficiency, written notice
from a laboratory that a ground water
source sample collected under
§ 141.402(a)(3) was found to be fecal
indicator-positive, or direction from the
State that a fecal indicator-positive
sample collected under § 141.402(a)(2),
§ 141.402(a)(4), or § 141.402(b) requires
corrective action, the ground water
system must either:
(i) Have completed corrective action
in accordance with applicable State
plan review processes or other State
guidance or direction, if any, including
State-specified interim measures; or
(ii) Be in compliance with a State-
approved corrective action plan and
schedule subject to the conditions
specified in paragraphs (a)(5)(ii)(A) and
(a)(5)(ii)(B) of this section.
(A) Any subsequent modifications to
a State-approved corrective action plan
and schedule must also be approved by
the State.
(B) If the State specifies interim
measures for protection of the public
health pending State approval of the
corrective action plan and schedule or
pending completion of the corrective
action plan, the system must comply
with these interim measures as well as
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with any schedule specified by the
State.
(6) Corrective Action Alternatives.
Ground water systems that meet the
conditions of paragraph (a)(l) or (a)(2) of
this section must implement one or
more of the following corrective action
alternatives:
(i) Correct all significant deficiencies;
(ii) Provide an alternate source of
water;
(iii) Eliminate the source of
contamination; or
(iv) Provide treatment that reliably
achieves at least 4-log treatment of
viruses (using inactivation, removal, or
a State-approved combination of 4-log
virus inactivation and removal) before
or at the first customer for the ground
water source.
(7) Special notice to the public of
significant deficiencies or source water
fecal contamination, (i) In addition to
the applicable public notification
requirements of § 141.202, a community
ground water system that receives
notice from the State of a significant
deficiency or notification of a fecal
indicator-positive ground water source
sample that is not invalidated by the
State under § 141.402(d) must inform
the public served by the water system
under § 141.153(h)(6) of the fecal
indicator-positive source sample or of
any significant deficiency that has not
been corrected. The system must
continue to inform the public annually
until the significant deficiency is
corrected or the fecal contamination in
the ground water source is determined
by the State to be corrected under
paragraph (a)(5) of this section.
(ii) In addition to the applicable
public notification requirements of
§ 141.202, a non-community ground
water system that receives notice from
the State of a significant deficiency must
inform the public served by the water
system in a manner approved by the
State of any significant deficiency that
has not been corrected within 12
months of being notified by the State, or
earlier if directed by the State. The
system must continue to inform the
public annually until the significant
deficiency is corrected. The information
must include:
(A) The nature of the significant
deficiency and the date the significant
deficiency was identified by the State;
(B) The State-approved plan and
schedule for correction of the significant
deficiency, including interim measures,
progress to date, and any interim
measures completed; and
(C) For systems with a large
proportion of non-English speaking
consumers, as determined by the State,
information in the appropriate
language(s) regarding the importance of
the notice or a telephone number or
address where consumers may contact
the system to obtain a translated copy of
the notice or assistance in the
appropriate language.
(iii) If directed by the State, a non-
community water system with
significant deficiencies that have been
corrected must inform its customers of
the significant deficiencies, how the
deficiencies were corrected, and the
dates of correction under paragraph
(a)(7)(ii) of this section.
(b) Compliance monitoring—(1)
Existing ground water sources. A ground
water system that is not required to
meet the source water monitoring
requirements of this subpart for any
ground water source because it provides
at least 4-log treatment of viruses (using
inactivation, removal, or a State-
approved combination of 4-log virus
inactivation and removal) before or at
the first customer for any ground water
source before December 1, 2009, must
notify the State in writing that it
provides at least 4-log treatment of
viruses (using inactivation, removal, or
a State-approved combination of 4-log
virus inactivation and removal) before
or at the first customer for the specified
ground water source and begin
compliance monitoring in accordance
with paragraph (b)(3) of this section by
December 1, 2009. Notification to the
State must include engineering,
operational, or other information that
the State requests to evaluate the
submission. If the system subsequently
discontinues 4-log treatment of viruses
(using inactivation, removal, or a State-
approved combination of 4-log virus
inactivation and removal) before or at
the first customer for a ground water
source, the system must conduct ground
water source monitoring as required
under §141.402.
(2) New ground water sources. A
ground water system that places a
ground water source in service after
November 30, 2009, that is not required
to meet the source water monitoring
requirements of this subpart because the
system provides at least 4-log treatment
of viruses (using inactivation, removal,
or a State-approved combination of 4-
log virus inactivation and removal)
before or at the first customer for the
ground water source must comply with
the requirements of paragraphs (b)(2)(i),
(b)(2)(ii) and (b)(2)(iii) of this section.
(i) The system must notify the State in
writing that it provides at least 4-log
treatment of viruses (using inactivation,
removal, or a State-approved
combination of 4-log virus inactivation
and removal) before or at the first
customer for the ground water source.
Notification to the State must include
engineering, operational, or other
information that the State requests to
evaluate the submission.
(ii) The system must conduct
compliance monitoring as required
under § 141.403(b)(3) of this subpart
within 30 days of placing the source in
service.
(iii) The system must conduct ground
water source monitoring under
§ 141.402 if the system subsequently
discontinues 4-log treatment of viruses
(using inactivation, removal, or a State-
approved combination of 4-log virus
inactivation and removal) before or at
the first customer for the ground water
source.
(3) Monitoring requirements. A
ground water system subject to the
requirements of paragraphs (a), (b)(l) or
(b)(2) of this section must monitor the
effectiveness and reliability of treatment
for that ground water source before or at
the first customer as follows:
(i) Chemical disinfection—(A) Ground
water systems serving greater than 3,300
people. A ground water system that
serves greater than 3,300 people must
continuously monitor the residual
disinfectant concentration using
analytical methods specified in
§ 141.74(a)(2) at a location approved by
the State and must record the lowest
residual disinfectant concentration each
day that water from the ground water
source is served to the public. The
ground water system must maintain the
State-determined residual disinfectant
concentration every day the ground
water system serves water from the
ground water source to the public. If
there is a failure in the continuous
monitoring equipment, the ground
water system must conduct grab
sampling every four hours until the
continuous monitoring equipment is
returned to service. The system must
resume continuous residual disinfectant
monitoring within 14 days.
(B) Ground water systems serving
3,300 or fewer people. A ground water
system that serves 3,300 or fewer people
must monitor the residual disinfectant
concentration using analytical methods
specified in § 141.74(a)(2) at a location
approved by the State and record the
residual disinfection concentration each
day that water from the ground water
source is served to the public. The
ground water system must maintain the
State-determined residual disinfectant
concentration every day the ground
water system serves water from the
ground water source to the public. The
ground water system must take a daily
grab sample during the hour of peak
flow or at another time specified by the
State. If any daily grab sample
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measurement falls below the State-
determined residual disinfectant
concentration, the ground water system
must take follow-up samples every four
hours until the residual disinfectant
concentration is restored to the State-
determined level. Alternatively, a
ground water system that serves 3,300
or fewer people may monitor
continuously and meet the requirements
of paragraph (b)(3)(i)(A) of this section.
(ii) Membrane filtration. A ground
water system that uses membrane
filtration to meet the requirements of
this subpart must monitor the
membrane filtration process in
accordance with all State-specified
monitoring requirements and must
operate the membrane filtration in
accordance with all State-specified
compliance requirements. A ground
water system that uses membrane
filtration is in compliance with the
requirement to achieve at least 4-log
removal of viruses when:
(A) The membrane has an absolute
molecular weight cut-off (MWCO), or an
alternate parameter that describes the
exclusion characteristics of the
membrane, that can reliably achieve at
least 4-log removal of viruses;
(B) The membrane process is operated
in accordance with State-specified
compliance requirements; and
(C) The integrity of the membrane is
intact.
(iii) Alternative treatment. A ground
water system that uses a State-approved
alternative treatment to meet the
requirements of this subpart by
providing at least 4-log treatment of
viruses (using inactivation, removal, or
a State-approved combination of 4-log
virus inactivation and removal) before
or at the first customer must:
(A) Monitor the alternative treatment
in accordance with all State-specified
monitoring requirements; and
(B) Operate the alternative treatment
in accordance with all compliance
requirements that the State determines
to be necessary to achieve at least 4-log
treatment of viruses.
(c) Discontinuing treatment. A ground
water system may discontinue 4-log
treatment of viruses (using inactivation,
removal, or a State-approved
combination of 4-log virus inactivation
and removal) before or at the first
customer for a ground water source if
the State determines and documents in
writing that 4-log treatment of viruses is
no longer necessary for that ground
water source. A system that
discontinues 4-log treatment of viruses
is subject to the source water monitoring
and analytical methods requirements of
§ 141.402 of this subpart.
(d) Failure to meet the monitoring
requirements of paragraph (b) of this
section is a monitoring violation and
requires the ground water system to
provide public notification under
§141.204.
§ 141.404 Treatment technique violations
for ground water systems.
(a) A ground water system with a
significant deficiency is in violation of
the treatment technique requirement if,
within 120 days (or earlier if directed by
the State) of receiving written notice
from the State of the significant
deficiency, the system:
(1) Does not complete corrective
action in accordance with any
applicable State plan review processes
or other State guidance and direction,
including State specified interim actions
and measures, or
(2) Is not in compliance with a State-
approved corrective action plan and
schedule.
(b) Unless the State invalidates a fecal
indicator-positive ground water source
sample under § 141.402(d), a ground
water system is in violation of the
treatment technique requirement if,
within 120 days (or earlier if directed by
the State) of meeting the conditions of
§ 141.403(a)(l) or § 141.403(a)(2), the
system:
(1) Does not complete corrective
action in accordance with any
applicable State plan review processes
or other State guidance and direction,
including State-specified interim
measures, or
(2) Is not in compliance with a State-
approved corrective action plan and
schedule.
(c) A ground water system subject to
the requirements of § 141.403(b)(3) that
fails to maintain at least 4-log treatment
of viruses (using inactivation, removal,
or a State-approved combination of 4-
log virus inactivation and removal)
before or at the first customer for a
ground water source is in violation of
the treatment technique requirement if
the failure is not corrected within four
hours of determining the system is not
maintaining at least 4-log treatment of
viruses before or at the first customer.
(d) Ground water system must give
public notification under § 141.203 for
the treatment technique violations
specified in paragraphs (a), (b) and (c)
of this section.
§ 141.405 Reporting and recordkeeping for
ground water systems.
(a) Reporting. In addition to the
requirements of § 141.31, a ground
water system regulated under this
subpart must provide the following
information to the State:
(1) A ground water system conducting
compliance monitoring under
§ 141.403(b) must notify the State any
time the system fails to meet any State-
specified requirements including, but
not limited to, minimum residual
disinfectant concentration, membrane
operating criteria or membrane integrity,
and alternative treatment operating
criteria, if operation in accordance with
the criteria or requirements is not
restored within four hours. The ground
water system must notify the State as
soon as possible, but in no case later
than the end of the next business day.
(2) After completing any corrective
action under § 141.403(a), a ground
water system must notify the State
within 30 days of completion of the
corrective action.
(3) If a ground water system subject to
the requirements of § 141.402(a) does
not conduct source water monitoring
under § 141.402(a)(5)(ii), the system
must provide documentation to the
State within 30 days of the total
coliform positive sample that it met the
State criteria.
(b) Recordkeeping. In addition to the
requirements of § 141.33, a ground
water system regulated under this
subpart must maintain the following
information in its records:
(1) Documentation of corrective
actions. Documentation shall be kept for
a period of not less than ten years.
(2) Documentation of notice to the
public as required under § 141.403(a)(7).
Documentation shall be kept for a
period of not less than three years.
(3) Records of decisions under
§ 141.402(a)(5)(ii) and records of
invalidation of fecal indicator-positive
ground water source samples under
§ 141.402(d). Documentation shall be
kept for a period of not less than five
years.
(4) For consecutive systems,
documentation of notification to the
wholesale system(s) of total-coliform
positive samples that are not invalidated
under § 141.21(c). Documentation shall
be kept for a period of not less than five
years.
(5) For systems, including wholesale
systems, that are required to perform
compliance monitoring under
§141.403(b):
(i) Records of the State-specified
minimum disinfectant residual.
Documentation shall be kept for a
period of not less than ten years.
(ii) Records of the lowest daily
residual disinfectant concentration and
records of the date and duration of any
failure to maintain the State-prescribed
minimum residual disinfectant
concentration for a period of more than
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four hours. Documentation shall be kept
for a period of not less than five years.
(iii) Records of State-specified
compliance requirements for membrane
filtration and of parameters specified by
the State for State-approved alternative
treatment and records of the date and
duration of any failure to meet the
membrane operating, membrane
integrity, or alternative treatment
operating requirements for more than
four hours. Documentation shall be kept
for a period of not less than five years.
PART 142—NATIONAL PRIMARY
DRINKING WATER REGULATIONS
IMPLEMENTATION
• 14. The authority citation for part 142
continues to read as follows:
Authority: 42 U.S.C. 300f, 300g-l, 300g-2,
300g-3, SOOg^J, 300g-5, 300g-6, SOOj^J,
300J-9, and 300J-11.
• 15. Section 142.14 is amended by
adding paragraph (d)(17) to read as
follows:
§ 142.14 Records kept by States.
A A A A A
(d) * * *
(17) Records of the currently
applicable or most recent State
determination, including all supporting
information and an explanation of the
technical basis of each decision, made
under the following provisions of 40
CFR part 141, subpart S and 40 CFR part
142.
(i) Section 142.16(o)(2)(v). Records of
written notices of significant
deficiencies.
(ii) Section 141.403(a)(5)(ii) of this
chapter. Records of corrective action
plans, schedule approvals, and State-
specified interim measures.
(iii) Section 142.16(o)(4). Records of
confirmations under § 141.403(a) of this
chapter that a significant deficiency has
been corrected or the fecal
contamination in the ground water
source has been addressed.
(iv) Section 141.402(a)(5) of this
chapter. Records of State determinations
and records of ground water system's
documentation for not conducting
triggered source water monitoring.
(v) Section 141.402(d) of this chapter.
Records of invalidations of fecal
indicator-positive ground water source
samples.
(vi) Section 141.402(a)(2)(ii) of this
chapter. Records of State approvals of
source water monitoring plans.
(vii) Section 142.16(o)(4)(ii). Records
of notices of the minimum residual
disinfection concentration (when using
chemical disinfection) needed to
achieve at least 4-log virus inactivation
before or at the first customer.
(viii) Sections 142.16(o)(4)(iv) and
142.16(o)(4)(v) Records of notices of the
State-specified monitoring and
compliance requirements (when using
membrane filtration or alternative
treatment) needed to achieve at least 4-
log treatment of viruses (using
inactivation, removal, or a State-
approved combination of 4-log
inactivation and removal) before or at
the first customer.
(ix) Sections 141.403(b)(l) and
141.403(b)(2) of this chapter. Records of
written notices from the ground water
system that it provides at least 4-log
treatment of viruses (using inactivation,
removal, or a State-approved
combination of 4-log virus inactivation
and removal) before or at the first
customer for a ground water source.
(x) Section 142.16(o)(4)(vi). Records of
written determinations that the ground
water system may discontinue 4-log
treatment of viruses (using inactivation,
removal, or a State-approved
combination of 4-log inactivation and
removal).
A A A A A
• 16. Section 142.15 is amended by
adding paragraph (c)(7) to read as
follows:
§ 142.15 Reports by States.
A A A A A
(c) * * *
(7) Ground water rule, (i) Sanitary
surveys. The month and year in which
the most recent sanitary survey was
completed or, for a State that uses a
phased review process, the date the last
element of the applicable eight elements
was evaluated under § 142.16(o)(2) for
each ground water system.
(ii) Corrective action requirements.
For any corrective action under
§ 141.403(a) of this chapter, the date the
ground water system completed
corrective action.
(iii) Compliance monitoring. All
ground water systems providing at least
4-log treatment of viruses (using
inactivation, removal, or a State-
approved combination of 4-log virus
inactivation and removal) before or at
the first customer for any ground water
source(s).
A A A A A
• 17. Section 142.16 is amended as
follows:
• a. Revise paragraph (a)(2)(iii), and
• b. Add paragraph (o) to read as
follows:
§ 142.16 Special primacy requirements.
(a) * * *
(2) * * *
(iii) Table 1 of 40 CFR 141.202(a)
(Items (5), (6), and (9))—To require
public water systems to give a Tier 1
public notice (rather than a Tier 2 or
Tier 3 notice) for violations or situations
listed in Appendix A of Subpart Q of
Part 141 of this chapter;
(o) Requirements for States to adopt
40 CFR part 141, subpart S. In addition
to the general primacy requirements
specified elsewhere in this part,
including the requirement that State
regulations are no less stringent than the
Federal requirements, an application for
approval of a State program revision
that adopts 40 CFR part 141, subpart S,
must contain the information specified
in this paragraph (o).
(1) Legal authority. The application
for primacy must demonstrate the State
has:
(i) The authority contained in statute
or regulation to ensure that ground
water systems conduct source water
monitoring under § 141.402(a)(2),
§ 141.402(a)(3) and § 141.402(a)(4)(ii)(A)
of this chapter.
(ii) The authority contained in statute
or regulation to ensure that ground
water systems take the appropriate
corrective actions including interim
measures, if necessary, needed to
address significant deficiencies.
(iii) The authority contained in statute
or regulation to ensure that ground
water systems take the appropriate
corrective actions, including interim
measures if necessary, to address any
source water fecal contamination
identified during source water
monitoring under § 141.402 of this
chapter.
(iv) The authority contained in statute
or regulation to ensure that ground
water systems consult with the State
regarding corrective action(s).
(2) State practices or procedures for
sanitary surveys. In addition to the
general requirements for sanitary
surveys contained in § 142.10(b)(2), a
primacy application must describe how
the State will implement a sanitary
survey program that meets the
requirements of paragraph (o)(2)(i) of
this section. A "sanitary survey," as
conducted by the State, includes but is
not limited to, an onsite review of the
water source(s) (identifying sources of
contamination by using results of source
water assessments or other relevant
information where available), facilities,
equipment, operation, maintenance, and
monitoring compliance of a public
water system to evaluate the adequacy
of the system, its sources and operations
and the distribution of safe drinking
water.
(i) The State must conduct sanitary
surveys that address the eight sanitary
survey components listed in this section
no less frequently than every three years
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65660 Federal Register/Vol. 71, No. 216/Wednesday, November 8, 2006/Rules and Regulations
for community water systems, except as
provided in paragraph (o)(2)(iii) of this
section, and every five years for non-
community water systems. The State
may conduct more frequent sanitary
surveys for any system. The initial
sanitary survey for each community
water system must be conducted by
December 31, 2012, unless the system
meets the requirements of paragraph
(o)(2)(iii) of this section. The initial
sanitary survey for each community
water system that meets the
requirements of paragraph (o)(2)(iii) of
this section and for each non-
community water system must be
conducted by December 31, 2014. The
sanitary survey must include an
evaluation of each of the following
elements as applicable:
(A) Source,
(B) Treatment,
(C) Distribution system,
(D) Finished water storage,
(E) Pumps, pump facilities, and
controls,
(F) Monitoring, reporting, and data
verification,
(G) System management and
operation, and
(H) Operator compliance with State
requirements.
(ii) The State may use a phased
review? process to meet the requirements
of (o)(2)(i) of this section if all the
applicable elements of paragraphs
(o)(2)(i)(A) through (o)(2)(i)(H) of this
section are evaluated within the
required interval.
(iii) The State may conduct sanitary
surveys once every five years for
community water systems if the system
either provides at least 4-log treatment
of viruses (using inactivation, removal,
or a State-approved combination of
4-log inactivation and removal) before
or at the first customer for all its ground
water sources, or if it has an outstanding
performance record, as determined by
the State and documented in previous
sanitary surveys and has no history of
total coliform MCL or monitoring
violations under § 141.21 of this chapter
since the last sanitary survey. In its
primacy application, the State must
describe how it will determine whether
a community water system has an
outstanding performance record.
(iv) The State must define and
describe in its primacy application at
least one specific significant deficiency
in each of the eight sanitary survey
elements in paragraphs (o)(2)(i)(A)
through (o)(2)(i)(H) of this section.
Significant deficiencies include, but are
not limited to, defects in design,
operation, or maintenance, or a failure
or malfunction of the sources, treatment,
storage, or distribution system that the
State determines to be causing, or have
potential for causing, the introduction of
contamination into the water delivered
to consumers.
(v) As a condition of primacy, the
State must provide ground water
systems with written notice describing
any significant deficiencies no later than
30 days after the State identifies the
significant deficiency. The notice may
specify corrective actions and deadlines
for completion of corrective actions. The
State may provide the written notice at
the time of the sanitary survey.
(3) State practices or procedures for
source water microbial monitoring. The
State's primacy application must
include a description of the following:
(i) The criteria the State will use
under §§ 141.402(a)(2)(i) and
141.402(d)(2) of this chapter for
extending the 24-hour time limit for a
system to collect a ground water source
sample to comply with the source water
monitoring requirements.
(ii) The criteria the State will use
under §§ 141.402(a)(5)(i) and
141.402(a)(5)(ii) of this chapter to
determine whether the cause of the total
coliform-positive sample taken under
§ 141.21(a) of this chapter is directly
related to the distribution system.
(iii) The criteria the State will use for
determining whether to invalidate a
fecal indicator-positive ground water
source sample under § 141.402(d)(l)(ii)
of this chapter.
(iv) The criteria the State will use to
allow source water microbial
monitoring at a location after treatment
under § 141.402(e)(l) of this chapter.
(4) State practices or procedures for
treatment technique requirements. As a
condition of primacy, the State must
verify that significant deficiencies or
source water fecal contamination have
been addressed. The State must verify
within 30 days after the ground water
system has reported to the State that it
has completed corrective action. The
State must verify either through written
confirmation from the ground water
system or a site visit by the State.
Written notice from the ground water
system under § 141.405(a)(2) of this
chapter may serve as this verification.
The State's primacy application must
include the following:
(i) The process the State will use to
determine that a ground water system
achieves at least a 4-log treatment of
viruses (using inactivation, removal, or
a combination of inactivation and
removal) before or at the first customer
for a ground water source for systems
that are not subject to the source water
monitoring requirements of § 141.402(a)
of this chapter because the ground water
system has informed the State that it
provides at least 4-log treatment of
viruses.
(ii) The process the State will use to
determine the minimum residual
disinfectant concentration the system
must provide prior to the first customer
for systems using chemical disinfection.
(iii) The State-approved alternative
technologies that ground water systems
may use alone or in combination with
other approved technologies to achieve
at least 4-log treatment of viruses (using
inactivation, removal, or a State-
approved combination of 4-log
inactivation and removal) before or at
the first customer for a ground water
source.
(iv) The monitoring and compliance
requirements the State will require for
ground water systems treating to at least
4-log treatment of viruses (using
inactivation, removal, or a State-
approved combination of inactivation
and removal) before or at the first
customer for State-approved alternative
treatment technologies.
(v) The monitoring, compliance and
membrane integrity testing requirements
the State will require to demonstrate
virus removal for ground water systems
using membrane filtration technologies.
(vi) The criteria, including public
health-based considerations and
incorporating on-site investigations and
source water monitoring results the
State will use to determine if a ground
water system may discontinue 4-log
treatment of viruses (using inactivation,
removal, or a State-approved
combination of inactivation and
removal) before or at the first customer.
A A A A A
[FR Doc. 06-8763 Filed 11-7-06; 8:45 am]
BILLING CODE 6560-50-P
-------
67427
Corrections
Federal Register
Vol. 71, No. 224
Tuesday, November 21, 2006
This section of the FEDERAL REGISTER
contains editorial corrections of previously
published Presidential, Rule, Proposed Rule,
and Notice documents. These corrections are
prepared by the Office of the Federal
Register. Agency prepared corrections are
issued as signed documents and appear in
the appropriate document categories
elsewhere in the issue.
Wednesday, November 8, 2006, make
the following correction:
§141.402 [Corrected]
On page 65655, in § 141.402(c)(2), the
table is corrected to read as follows:
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 141
[EPA-HQ-OW-2002-0061; FRL-8231-9]
RIN 2040-AA97
National Primary Drinking Water
Regulations: Ground Water Rule
Correction
In rule document 06-8763 beginning
on page 65574 in the issue of
ANALYTICAL METHODS FOR SOURCE WATER MONITORING
Fecal indicator1
Methodology
Method citation
£. co//
Enterococci
Coliphage
Colilert3
Colisure3
Membrane Filter Method with Ml Agar
m-ColiBlue24 Test5
E*Colite Test6
EC-MUG7
NA-MUG7
Multiple-Tube Technique
Membrane Filter Technique
Membrane Filter Technique
Enterolert9
Two-Step Enrichment Presence-Absence Proce-
dure.
Single Agar Layer Procedure
9223 B.2
9223 B.2
EPA Method 1604.4
9221 F.2
9222 G.2
9230B.2
9230C.2
EPA Method 1600.8
EPA Method 1601.10
EPA Method 1602.11
[FR Doc. C6-8763 Filed 11-20-06; 8:45 am]
BILLING CODE 1505-01-D
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This Page Intentionally Left Blank
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Appendix C
Rule Factsheets and Quick
Reference Guide
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This Page Intentionally Left Blank
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3to\ Ground Water Rule Factsheet:
•HC^ General Rule Requirements
WHAT is THE GROUND WATER RULE?
The U.S. Environmental Protection Agency (EPA) published the Ground Water Rule (GWR) on November
8, 2006. One goal of the GWR is to provide increased protection against microbial pathogens,
specifically bacterial and viral pathogens, in public water systems (PWSs) that use ground water.
Instead of requiring disinfection for all ground water systems (GWSs), the GWR establishes a risk-
targeted approach to identifying GWSs that are susceptible to fecal contamination. The GWR requires
systems at risk of microbial contamination to take corrective action to protect consumers from harmful
bacteria and viruses.
To WHOM DOES THE GWR APPLY?
The GWR applies to all PWSs that:
# Rely entirely on one or more ground water sources.
# Are consecutive systems receiving ground water.
# Mix surface and ground water, where ground water is added directly to the distribution system
and delivered to consumers without treatment equivalent to the treatment provided for surface
water.
Although all of these systems are subject to the GWR provisions, systems that have been identified as
at-risk for contamination (by inspection or based on monitoring results) will account for most of the
systems that have to take corrective action to comply with this rule.
WHAT ARE THE BASIC REQUIREMENTS OF THE GWR?
The basic requirements of the GWR include:
# Sanitary surveys.
# Source water monitoring.
# Compliance monitoring.
# Corrective actions.
Sanitary surveys are primarily the responsibility of the states, while GWSs are responsible for the other
requirements.
WHAT ARE THE SANITARY SURVEY REQUIREMENTS?
The GWR requires states to conduct sanitary surveys of all GWSs in order to identify significant
deficiencies, including deficiencies that could make a system susceptible to microbial contamination.
Following the initial sanitary survey, states must conduct surveys every 3 years for community water
systems (CWSs) and every 5 years for non-community water systems (NCWSs). States may conduct
sanitary surveys every 5 years for CWSs that either provide at least 4-log treatment of viruses or have
outstanding performance records, as determined by the state.
-------
Systems must provide the state with any information that will enable the sanitary survey to be
complete and accurate. Each survey must include, but is not limited to, an onsite review and
evaluation of eight elements:
Source.
Treatment.
Distribution system.
Finished water storage.
Pumps, pump facilities, and controls.
Monitoring, reporting, and data verification.
System management and operation.
Operator compliance with state requirements.
If a state identifies a significant deficiency during a sanitary survey or at another time, the system must
take corrective action. A significant deficiency may include defects in design, maintenance, or
operation of the water system. A significant deficiency may also include the failure or malfunction of
the source, treatment, or distribution system that may cause contamination of water delivered to
consumers.
For more information on the sanitary survey requirements of the GWR, please refer to "Ground
Water Rule Factsheet: Sanitary Surveys."
WHAT is TRIGGERED SOURCE WATER MONITORING?
Triggered source water monitoring is required for any GWS that is not conducting GWR compliance
monitoring for 4-log treatment of viruses and is notified of a positive total coliform result under the
Total Coliform Rule (TCR) routine sampling. Triggered source water monitoring is used to determine if
fecal contamination is present in the ground water source. If a triggered source water sample is
positive for a fecal indicator, the state will require that the system either take corrective action or
collect five additional samples from the same source within 24 hours of notification of the fecal
indicator-positive result and analyze them for a fecal indicator. If any one of the five additional
samples is fecal indicator-positive, the system must take corrective action.
WHAT is COMPLIANCE MONITORING?
Systems providing at least 99.99 percent (4-log) treatment of viruses (using inactivation, removal, or a
state-approved combination of inactivation and removal) of all of their ground water can notify the
state of this treatment and are then not required to conduct triggered source water monitoring. Those
systems are, however, required to conduct compliance monitoring to show they are providing
consistent and sufficient treatment. Compliance monitoring requirements depend on the system's size
and the type of treatment it is using.
For more information on source water monitoring and compliance monitoring, please refer to
"Ground Water Rule Factsheet: Monitoring Requirements."
WHAT ARE THE CORRECTIVE ACTION REQUIREMENTS?
Corrective action is required for any GWS with a significant deficiency. Some systems with fecal
indicator-positive results from their triggered source water monitoring may be required by their states
to take corrective action rather than conduct additional source water monitoring. If a system is
-------
instructed to carry out additional source water monitoring, corrective action is required if a GWS has
a fecal indicator-positive result during the additional source water monitoring. As the figure below
shows, systems have four corrective action alternatives.
Corrective Action Requirements Timeline
Start Date is
Notice of significant deficiency
OR
Notice from the lab of fecal
indicator-positive sample from
triggered or assessment source water
monitoring
OR
Notice of fecal-indicator positive
sample from at least 1 of 5
additional source water monitoring
samples
Within 30 Days
System consults with
state to determine
corrective action
OR
State specifies
corrective action
Within 120 Days
System must complete
corrective action plan
OR
System must be in
compliance with state-
approved corrective action
plan and schedule
*Based on date of the notice.
Corrective Action Alternatives
Systems must do one or more of the following:
Correct all significant deficiencies
Provide an alternate source of water
Eliminate the source of contamination
Provide treatment that reliably achieves 99.99 percent (4-
log) inactivation and/or removal of viruses
WHAT ARE THE COMPLIANCE DEADLINES ASSOCIATED WITH THE GWR?
PWS Requirements
Source water monitoring
Corrective actions
Compliance monitoring
I Notification of 4-log treatment of viruses2
State Requirements
Complete sanitary surveys for most CWSs
Required Beginning1:
December 1, 2009
Required By1:
December 1, 2009
Required By1:
December 31, 2012
(and every 3 years after)
Complete sanitary surveys for NCWSs and remaining CWSs3
December 31, 2014
(and every 5 years after)
1. Individual states may have earlier compliance requirement dates.
2. If systems providing at least 4-log treatment of viruses want to avoid triggered source water monitoring, they must submit written
notification to the state by December 1, 2009, and begin compliance monitoring by December 1, 2009.
3. May include CWSs providing at least 4-log treatment of viruses for all their ground water sources and CWSs that have an
outstanding performance record, as determined by the state.
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WHAT ARE THE VIOLATIONS ASSOCIATED WITH THE GWR?
If a system is in violation of a GWR requirement, the system must report the problem to the state and
notify the public. Note that when a system has a ground water source with a fecal indicator-positive
sample, it is a situation and not a violation. In accordance with the GWR, the system must still meet
the Tier 1 Public Notification (PN) requirements.
Situation or Violation
Report to Notify
State
Public1
PN Method
Source water monitoring sample fecal indicator-
positive for E. co/7, enterococci, or coliphage
and not invalidated by the state
Failure to complete required corrective action
Failure to comply with a state- approved
corrective action plan and schedule2
For systems conducting compliance monitoring,
failure to maintain 4-log treatment of viruses
and restore 4-log treatment within 4 hours
Failure to conduct required source water
monitoring (triggered, additional, or assessment)
Failure to conduct required compliance
monitoring
Uncorrected significant deficiency
Unaddressed fecal contamination (CWSs only)
Within 24
hours
Within 48
hours
Within 48
hours
Within 48
hours
Consult
your State
Consult
your State
-
-
Within 24
hours
Within 30
days
Within 30
days
Within 30
days
Within 12
months
Within 12
months
Annually
Annually
1
2
2
2
3
3
-
-
TV, hand-delivery, public
postings, or other state-approved
method (consult your state)
Hand-delivery, direct mail, public
postings, newspaper, or radio
announcements
Hand-delivery, direct mail, public
postings, newspaper, or radio
announcements
Hand-delivery, direct mail, public
postings, newspaper, or radio
announcements
CCR2 (consult your state for
other specific PN requirements)
CCR2 (consult your state for
other specific PN requirements)
Special Notice2
Special Notice in CCR (CWSs only)
1 . Systems are required to send a copy of the PN to the state within 10 days of making the notification.
2. Community GWSs may use the Consumer Confidence Report (CCR) to make this notification if it meets the requirement to
notify the public within 12 months. NCWSs must use an alternate form of notice approved by their state.
For more information on GWR notification requirements, please refer to:
• "Ground Water Rule Factsheet: Public Notification, Consumer Confidence Report, and Special
Notice Requirements for Community Water Systems" and
• "Ground Water Rule Factsheet: Public Notification and Special Notice Requirements for Non-
Community Water Systems."
ADDITIONAL GUIDANCE MATERIALS
The following guidance materials for states and PWSs have been released or will be released in 2008:
Ground Water Rule: A Quick Reference Guide - This guide provides a description of the GWR and
includes critical deadlines and requirements.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Factsheets - Including factsheets on GWR general requirements, monitoring
requirements, and Public Notice, Consumer Confidence Reports, and Special Notices.
-------
Ground Water Sanitary Survey Guidance Manual. November 2007. EPA 815-D-07-006 - This guidance
provides states, tribes, and other primacy agencies with a brief review of the sanitary survey regulatory
provisions, give examples of what may constitute a significant deficiency, and provide a checklist of
elements that should be evaluated during the course of a sanitary survey inspection.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Source Water Assessment Guidance Manual. September 2007. EPA 815-R-07-023 - This guidance
provides states, tribes, and other primacy agencies with a brief review of hydrogeologic sensitivity
assessments, an overview of the characteristics of a sensitive aquifer, information about how source
water assessments may be used, and information about how to determine if a sensitive aquifer has a
hydrogeologic barrier, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Source Water Monitoring Methods Guidance Manual. July 2007. EPA 815-R-07-
019 - This guidance provides GWSs, states, tribes, and other primacy agencies with a brief review of
the source water monitoring provisions. Primacy agencies may select fecal indicators (e.g., E. coli,
enterococci, coliphage) that systems would be required to test for in the ground water source sample.
The source water monitoring guidance manual provides criteria to assist primacy agencies in their
determination of which fecal indicator(s) may be most appropriate.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Corrective Action Guidance Manual (under development) - This guidance will provide states, tribes,
other primacy agencies and GWSs with an overview of the treatment technique requirements of the
GWR. The guidance manual will provide assistance with determining the information that should be
included in a system's corrective action plan.
Consecutive System Guide for the Ground Water Rule. July 2007. EPA 815-R-07-020 - This guidance
describes the regulatory requirements of the GWR that apply to wholesale GWSs and the consecutive
systems that receive and distribute that ground water supply.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Complying with the Ground Water Rule: Small Entity Compliance Guide: One of the Simple Tools for
Effective Performance (STEP) Guide Series. July 2007. EPA 815-R-07-018 - This document is
intended to be an official compliance guide to the GWR for small PWSs, as required by the Small
Business Regulatory Enforcement Fairness Act of 1996. This guide contains a general introduction and
background for the GWR, describes the specific requirements of the GWR and provides information on
how to comply with those requirements, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791, or
visit www.epa.gov/safewater/disinfection/gwr.
Office of Water (4606M) EPA 816-F-08-028 www.epa.gov/safewater/disinfection/gwr June 2008
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This Page Intentionally Left Blank
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Q^ Ground Water Rule Factsheet:
Monitoring Requirements
WHAT is THE GROUND WATER RULE?
The U.S. Environmental Protection Agency (EPA) published the Ground Water Rule (GWR) on November
8, 2006. One goal of the GWR is to provide increased protection against microbial pathogens,
specifically bacterial and viral pathogens, in public water systems (PWSs) that use ground water.
Instead of requiring disinfection for all ground water sources, the GWR establishes a risk-targeted
approach to identifying ground water sources that are susceptible to fecal contamination. The GWR
requires systems with ground water sources at risk of microbial contamination to take corrective action
to protect consumers from harmful bacteria and viruses. Monitoring is a key element of this risk-
targeted approach.
There are two types of monitoring required by the GWR:
• Source Water Monitoring: Triggered source water monitoring is used to determine if fecal
contamination is present in the ground water source. Triggered source water monitoring is
required for any GWS that has a positive total coliform result under the Total Coliform Rule
(TCR) routine sampling and does not provide and monitor for 4-log treatment of viruses.
Alternatively, states may require GWSs with sources that seem susceptible to fecal
contamination to conduct assessment source water monitoring.
• Compliance Monitoring: Systems that notify the state that they provide and monitor for 4-log
treatment of viruses are required to conduct compliance monitoring.
WHAT ARE THE SOURCE WATER MONITORING REQUIREMENTS?
Some ground water systems (GWSs) will be required to conduct triggered source water monitoring or
assessment source water monitoring of a fecal indicator (e.g., E. coli, enterococci, or coliphage) to
detect microbial contamination in the source.
Triggered Source Water Monitoring
Within 24 hours of being notified of a positive total coliform result under routine TCR monitoring, a
GWS must collect at least one ground water source sample from each source in use when the positive
total coliform result under the TCR was collected. These samples are triggered source water samples.
If a triggered source water sample is positive for a fecal indicator, the state will require the system to
take corrective action or take five additional samples from the same source within 24 hours of
notification of the fecal indicator-positive result and analyze the additional samples for a fecal
indicator. If any one of the five additional samples is fecal indicator-positive, the system must take
corrective action.
Triggered Source Water Monitoring Exceptions
A state may waive the triggered source water monitoring requirement if the state determines and
documents, in writing, that the total coliform-positive routine sample is the result of a documented
distribution system deficiency.
-------
In addition, states may develop criteria for distribution system conditions that cause total coliform-
positive samples. A GWS can document to the state that it met the state criteria within 30 days of the
total coliform-positive sample and be exempt from collecting the triggered source water sample(s).
Reoresentative Source Water Monitorin
With state approval, GWSs with more than
one ground water source may fulfill the
triggered source water monitoring
requirements by taking a ground water
sample at a representative source. The
state may require the system to submit a
triggered source water monitoring plan that
identifies the sources that are
representative of its TCR sampling sites.
GWSs providing at least 99.99 percent (4-log) treatment of
viruses (using inactivation, removal, or a state-approved
combination of inactivation and removal) of all of their
ground water can notify the state of this treatment and would
not be required to conduct triggered source water
monitoring. Those systems are, however, required to conduct
compliance monitoring to show they are providing consistent
and sufficient treatment. Compliance monitoring
requirements depend on the system's size and the type of
treatment it is using. Compliance monitoring requirements
are discussed below.
Small Systems
GWSs serving fewer than 1,000 people that have a total coliform-positive result under the TCR may use
the triggered source water monitoring sample collected from the ground water source to meet both the
triggered source water monitoring requirement of the GWR as well as part of the repeat sampling
requirement of the TCR (if the state approves the use of E. coli as a fecal indicator for source water
monitoring).
Consecutive Systems
A consecutive system with a positive routine total coliform result under the TCR must notify its
wholesale system(s) within 24 hours of being notified of the positive sample.
Wholesale Systems
A wholesale system that receives notice from a consecutive system
of a positive total coliform result under routine monitoring of the
TCR must collect a triggered source water sample from its ground
water source(s) and analyze the source water sample(s) for a fecal
indicator within 24 hours of being notified by the consecutive
system. If the triggered source water sample is positive for the
fecal indicator, the wholesale system must notify all consecutive
systems served by that source within 24 hours of the positive
sample result. The wholesale system and any consecutive systems
served by the fecal indicator-positive source must all notify their
consumers within 24 hours of learning of the result. If the state
does not require corrective action for this fecal indicator-positive
sample, the wholesale system must collect five additional source
water samples from the same source within 24 hours of receiving
notification of the fecal indicator-positive sample.
Invalidation of Source Water
Monitoring Samples
If the state provides written
documentation that a fecal indicator-
positive sample does not reflect source
water quality, or if a GWS provides the
state with written notice from the
laboratory that improper analysis of a
sample occurred, the state may
invalidate the fecal indicator-positive
sample. Within 24 hours of receiving
the state sample invalidation
notification, a GWS is required to take
another sample and have it analyzed
for the same fecal indicator.
-------
Assessment Source Water Monitoring
States may require GWSs with sources that seem susceptible to fecal
contamination to conduct assessment source water monitoring. States
may require assessment source water monitoring at any time, on a
case-by-case basis. Based on the results of the assessment source
water monitoring, systems may have to take corrective action.
Assessment source water monitoring requirements are in addition to
triggered source water monitoring requirements. A system may,
however, use a triggered source water sample to meet part of the
assessment source water monitoring requirement.
Analytical Methods
Fecal Indicator Method Name
E. CO/7
Enterococci
Coliphage
9223 B
EPA Method 1604
9221 F
9222 G
9230B
9230C
EPA Method 1600
EPA Method 1601
EPA Method 1602
New Sources and Systems
GWSs that begin service from a new source after November 30, 2009, may be required by their state to
conduct assessment source water monitoring. The state may require the system to begin assessment
source water monitoring before the new source provides water to the public.
Other Source Water Monitoring Details
Sampling Locations for All Source Water Monitoring
Triggered, additional, and assessment source water monitoring samples must be collected prior to
treatment or at a state-approved location.
Sample Volume
All source water samples must be at least 100 ml for all fecal indicator analytical methods.
WHAT ARE THE COMPLIANCE MONITORING REQUIREMENTS?
Comoliance Monitorin
Compliance monitoring ensures
that systems already providing
99.99 percent (4-log)
inactivation, removal, or a state-
approved combination of
inactivation and removal of
viruses are achieving this level of
treatment.
Compliance monitoring requirements apply to systems that provide 4-
log treatment of viruses and are not subject to triggered source water
monitoring requirements. These systems must:
# Notify the state that they provide 4-log treatment of viruses.
# Conduct compliance monitoring rather than triggered source
water monitoring.
• Systems with existing ground water sources must notify the
state in writing by December 1, 2009, that they provide at
least 4-log treatment of viruses for the sources.
• Systems with ground water sources placed into service after November 30, 2009, must notify
the state in writing that they provide at least 4-log treatment of viruses of those sources and
begin compliance monitoring within 30 days of placing the source in service or conduct
triggered source water monitoring.
After November 30, 2009, GWSs that begin providing at least 4-log treatment of viruses must notify the
state and conduct compliance monitoring to avoid being required to conduct triggered source water
monitoring. Systems that provide 4-log treatment should check with their state regulators to see if they
need to satisfy any additional state compliance monitoring requirements (e.g. Stage 1 Disinfectants and
Disinfection Byproducts Rule (DBPR)) beyond the requirements listed below.
-------
System Type
Disinfecting GWSs serving <_ 3,300
Disinfecting GWSs serving > 3,300
Monitor For
Residual disinfectant concentration (must
meet state minimum)
Frequency
Daily or continuous1'2
Continuous only1'3
Sample
Location
State-
approved
location (s)
GWSs using membrane filtration
Membrane filtration process effectiveness
Consult state for specific information
GWSs using state-approved
alternative treatment
Alternative treatment effectiveness
1. Provisions available for equipment failure.
2. If any daily grab sample is less than the minimum disinfectant residual concentration, the system must take follow-up samples every 4 hours
until the residual meets or exceeds the minimum.
3. System must record the lowest residual disinfectant concentration each day water from the ground water source is served to the public.
WHAT ARE THE COMPLIANCE DEADLINES ASSOCIATED WITH GWR MONITORING?
Individual states may have earlier compliance requirement dates.
Requirements
Deadline:
Source Water Monitoring
# Triggered
# Additional
# Assessment
Notification of 4-log treatment of viruses
Compliance Monitoring (for
systems with
(for existing
ground water source(s))
4-log treatment of viruses)
Beginning December 1 ,
2009
By December 1 , 2009
Beginning December 1 ,
2009
WHAT ARE THE MONITORING VIOLATIONS ASSOCIATED WITH THE GWR?
If a system is in violation of a GWR monitoring requirement, the system must report the problem to the
state and notify the public. Systems are required to send a copy of the public notification (PN) to the
state within 10 days of the notification. Note that when a system has a ground water source with a
fecal indicator-positive sample, it is a situation and not a violation.
Situation or Violation
Report to Notify
State Public
PN Method
Source water monitoring sample is fecal
indicator-positive for E. coli, enterococci, or
coliphage and not invalidated by the state
Failure to conduct required source water
monitoring (triggered, additional, or
assessment)
Failure to conduct required compliance
monitoring
Within 24
hours
Consult
your State
Consult
your State
Within 24
hours
Within 12
months
Within 12
months
1
3
3
TV, hand-delivery, public
postings, or other state- approved
method (consult your state)
Consumer Confidence Report
(CCR)1 (consult your state for
other specific PN requirements)
CCR1 (consult your state for
other specific PN requirements)
1. The CCR may be used by CWSs to make this notification if it meets the requirement to notify the public within 12 months. Non-
community water systems must use an alternate form of Tier 3 notice approved by their state.
Community GWSs must also report any fecal indicator-positive samples in their CCR that addresses the
year in which the samples were collected.
-------
ADDITIONAL GUIDANCE MATERIALS
The following guidance materials for states and PWSs have been released or will be released in 2008:
Ground Water Rule: A Quick Reference Guide - This guide provides a description of the GWR and
includes critical deadlines and requirements.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Factsheets - Including factsheets on GWR general requirements, monitoring
requirements, and Public Notice, Consumer Confidence Reports, and Special Notices.
Ground Water Sanitary Survey Guidance Manual. November 2007. EPA 815-D-07-006 - This guidance
provides states, tribes, and other primacy agencies with a brief review of the sanitary survey regulatory
provisions, give examples of what may constitute a significant deficiency, and provide a checklist of
elements that should be evaluated during the course of a sanitary survey inspection.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Source Water Assessment Guidance Manual. September 2007. EPA 815-R-07-023 - This guidance
provides states, tribes, and other primacy agencies with a brief review of hydrogeologic sensitivity
assessments, an overview of the characteristics of a sensitive aquifer, information about how source
water assessments may be used, and information about how to determine if a sensitive aquifer has a
hydrogeologic barrier, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Source Water Monitoring Methods Guidance Manual. July 2007. EPA 815-R-07-
019 - This guidance provides GWSs, states, tribes, and other primacy agencies with a brief review of
the source water monitoring provisions. Primacy agencies may select fecal indicators (e.g., E. coli,
enterococci, coliphage) that systems would be required to test for in the ground water source sample.
The source water monitoring guidance manual provides criteria to assist primacy agencies in their
determination of which fecal indicator(s) may be most appropriate.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Corrective Action Guidance Manual (under development) - This guidance will provide states, tribes,
other primacy agencies and GWSs with an overview of the treatment technique requirements of the
GWR. The guidance manual will provide assistance with determining the information that should be
included in a system's corrective action plan.
Consecutive System Guide for the Ground Water Rule. July 2007. EPA 815-R-07-020 - This guidance
describes the regulatory requirements of the GWR that apply to wholesale GWSs and the consecutive
systems that receive and distribute that ground water supply.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
-------
Complying with the Ground Water Rule: Small Entity Compliance Guide: One of the Simple Tools for
Effective Performance (STEP) Guide Series. July 2007. EPA 815-R-07-018 - This document is
intended to be an official compliance guide to the GWR for small PWSs, as required by the Small
Business Regulatory Enforcement Fairness Act of 1996. This guide contains a general introduction and
background for the GWR, describes the specific requirements of the GWR and provides information on
how to comply with those requirements, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791, or
visit www.epa.gov/safewater/disinfection/gwr.
Office of Water (4606M) EPA 816-F-08-025 www.epa.gov/safewater/disinfection/gwr June 2008
-------
Ground Water Rule Factsheet:
Sanitary Surveys
WHAT is THE GROUND WATER RULE?
The U.S. Environmental Protection Agency (EPA) published the Ground Water Rule (GWR) on November
8, 2006. One goal of the GWR is to provide increased protection against microbial pathogens,
specifically bacterial and viral pathogens, in public water systems (PWSs) that use ground water (or
ground water systems (GWSs)). Instead of requiring disinfection for all ground water sources, the GWR
establishes a risk-targeted approach to identifying ground water sources that are susceptible to fecal
contamination. The GWR requires GWSs with ground water sources at risk of microbial contamination to
take corrective action to protect consumers from harmful bacteria and viruses. Sanitary surveys are an
important way for states to identify at-risk systems.
WHAT is A SANITARY SURVEY?
A sanitary survey provides an on-site review of how a GWS is maintained and operated. The survey is
conducted by a trained surveyor, who reviews the system's water source, equipment, facilities, and
treatment procedures. The purpose of the survey is to:
# Ensure that the GWS' operational, monitoring, reporting, and recordkeeping practices are in
compliance with drinking water regulations.
# Identify any significant deficiencies.
* Better ensure that safe drinking water is distributed to the public.
Furthermore, the sanitary survey is a proactive public health measure that allows states to better
understand a GWS' progress and needs.
WHAT ARE THE DIFFERENCES BETWEEN THE GWR AND THE TOTAL COLIFORM RULE?
Total Coh'form Rule & Sanitary Surveys
The Total Coliform Rule (TCR) was published on June 29, 1989, by the EPA. Under the TCR, community
water systems (CWSs) and non-community water systems (NCWSs) that collect fewer than 5 TCR
samples per month were required to receive a sanitary survey every 5 years. NCWSs that use protected
and disinfected ground water were only required to receive a sanitary survey once every 10 years.
Furthermore, the TCR did not state what elements needed to be evaluated during the sanitary survey.
GWR & Sanitary Surveys
The GWR sanitary survey requirement will increase public health protection by requiring more frequent
and complete sanitary surveys. The GWR requires that all community GWSs receive a sanitary survey
every 3 years. Non-community GWSs must have a sanitary survey at least every 5 years. If the state
determines that a community GWS has outstanding performance or the GWS provides 4-log treatment
of viruses, the state can conduct a sanitary survey of the community system every 5 years instead of
every 3 years. This provides states with flexibility and gives them the option of reducing their survey
workload. For both community and non-community GWSs the sanitary survey must include a review of
all eight elements described in this factsheet. All eight elements do not need to be reviewed at the
same time, as long as they are reviewed within the 3- or 5- year timeframe specified above.
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How OFTEN is A SANITARY SURVEY ADMINISTERED FOR GWSs?
Ground Water System Type Minimum Frequency of Surveys
Community GWSs
Community GWSs that the state determines have outstanding
performance OR provide 4-log treatment of viruses (i.e.,
performance criteria)1
Non-community GWSs
Every 3 years
Every 5 years
Every 5 years
DATES TO KEEP IN MIND
December 31. 2012
This is the last day states have to complete the initial eight element sanitary survey for all community
GWSs2 under the GWR.
December 31. 2014
This is the last day states have to complete the initial eight element sanitary survey for non-community
GWSs and for those community GWSs that the state determines have met state performance criteria for
outstanding performance or provide 4-log treatment of viruses.1
WHAT ELEMENTS ARE EXAMINED DURING THE SURVEY?
The GWR requires that a sanitary survey include a review of eight elements. The state will identify
significant deficiencies found during the survey. The GWS will then need to take corrective action to fix
any significant deficiencies found.
Eight Elements of the Sanitary Survey
Source
Protecting the source prevents contaminants and
pathogens from reaching consumers. The state will
review information relating to source water quality and
wellhead protection. Observations will be made about
well construction, potential sources of contamination,
setback distances, source quantity and capacity, well
locations, source water transmission mains, site
security, and general housekeeping.
Treatment
Treatment varies among GWSs based on the quality of
the source water and state regulatory requirements.
The state will take into consideration design criteria,
plant records, and past inspections during the review.
The overall design, operation, maintenance, and
management of the treatment facility will be
examined.
Possible source sienificant deficiencies
Well near source of fecal contamination
Well in flood zone
Improperly constructed well
Spring boxes are poorly constructed and/or
subject to flooding
Possible treatment sienificant deficiencies
Improper application of treatment
chemicals
Lack of redundant mechanical components
where treatment is required
Unprotected cross-connections with
treatment systems
Inadequate monitoring
1. Performance criteria are established when a community GWS provides a 4-log inactivation/treatment of viruses or
has an outstanding performance record document for previous sanitary surveys. Furthermore, a community GWS that
has an outstanding performance record cannot have a history of any violations under TCR since its last sanitary survey.
2. Except for those that meet performance criteria.
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# Distribution System
Improper upkeep and maintenance of pipes and
fixtures comprising the distribution system can
compromise the safety of drinking water. Since the
infrastructure is typically underground, the state
will usually do a paper review of schematics,
operation and maintenance records, operating
procedures, construction standards, and distribution
system water quality data.
# Finished Water Storage
The condition of the storage facility can affect both
water quality and water quantity. The state will
review the GWS' files; perform field inspections to
assess the tank's integrity, operational readiness,
site security, and potential sanitary risks; ensure
maintenance checks have been completed; and
discuss current operation and maintenance (O&M)
procedures with staff.
# Pumps, Pump Facilities, and Controls
The purpose of reviewing the pumps is to see if they
are in proper working order, are the best fit for their
intended use, and to determine their reliability and
establish if there are any sanitary risks. The state
will obtain information about the pumps, including
available data from previous sanitary surveys, the
emergency power system (if available), pump tests,
and remote monitoring controls and alarms.
# Monitoring, Reporting, and Data Verification
Verifying the quality of the drinking water
distributed to the public ensures that the water
complies with drinking water regulations and
requirements. The state will determine whether site
sampling and monitoring plans are being followed
and requirements are being met by checking test
results, monthly reports, and daily logs. The
surveyor will determine whether the system has
complete, up-to-date, and reasonable monitoring
data.
* System Management and Operation
Proper management can provide a GWS with
direction, sufficient funding, and strong support.
Reviewing a system's goals, plans, and budgets can
give the state a good idea of whether the system's
team is working well together or might need some
assistance. The state will evaluate whether the GWS
is sufficiently staffed and has enough funding for
equipment to operate in a sustainable and safe
manner.
Possible distribution svstem significant
deficiencies
Low or negative pressure that could result in
contamination
Lack of system flushing
Unprotected cross-connections
Possible finished water storage significant
deficiencies
Inadequate internal cleaning/maintenance of
storage tanks
Improper screening of overflow pipes, drains,
or vents
Necessary repairs of storage tank roofs or
Possible Dumas. DUITID facilities, and controls
significant deficiencies
Inadequate pump capacity
Inadequate maintenance
Inadequate/inoperable control system
Possible monitoring, reporting, and data
verification significant deficiencies
Not monitoring according to site sampling plan
or monitoring plan
Not meeting reporting requirements
Improper recordkeeping
Possible svstem management and operation
significant deficiencies
Failure to meet water supply demands
No approved emergency response plan
Inadequate follow-up to deficiencies
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Operator Compliance with State Requirements
Operators and staff must be properly trained based
on system type, size, and treatment. The state will
confirm that operators are properly certified for
their roles and responsibilities.
Possible operator compliance with state
reauirements significant deficiencies
Operator is not qualified as required by the state
Lack of operator traininp
WHAT HAPPENS IF A SIGNIFICANT DEFICIENCY is IDENTIFIED?
After the sanitary survey has been completed, the state must provide written notification to the GWS
no more than 30 days after a significant deficiency has been identified. The state may also specify the
corrective action(s) it requires the GWS to complete and may provide deadlines for those actions. If the
state does not specify the corrective action(s) required, the GWS has 30 days from receiving written
notice from the state to consult with the state regarding appropriate corrective action needed to
address the significant deficiency. The GWS has 120 days after the initial state notification of a
significant deficiency to complete the required corrective action or be in compliance with a state-
approved corrective action plan and schedule. Failure to comply with the required corrective action
plan or schedule will result in a treatment technique (TT) violation for the GWS. The GWS must notify
the state within 30 days of completing the required corrective action.
Corrective Action Alternatives
# Correct all significant deficiencies.
# Provide alternative source of water.
# Eliminate the source of contamination.
# Provide 4-log treatment of viruses before first customer.
EXAMPLE TIMELINE
After conducting a sanitary
survey of a GWS and
observing a significant
deficiency, the state
provides, and GWS
receives, written notice
outlining the significant
deficiency. State does not
specify required corrective
action(s).
Timeline for GWSs begins
when notification is received
from the state
30 days from 120 da]
notification notifii
The GWS must consult
with the state to
determine what
corrective action(s) are
required within 30 days
After state consultation, GWS must either:
•complete required corrective action(s), or
•be in compliance with a state-approved
corrective action plan and schedule within 120
days
< >
30 days
^
120
Date the
state
Date of receives
completion of notice of
fs from corrective completion
:ation action from GWS
GWS completes corrective action (at any
time after consulting with the state)
\
-r
days
30 days
GWS has 30
days after
completion of
a corrective
action to
notify the
state
i j
<- >
30 days
State has 30
days after
receiving
notification from
the GWS of
completion of a
corrective action
plan to verify
-------
ADDITIONAL GUIDANCE MATERIALS
The following guidance materials for states and PWSs have been released or will be released in 2008:
Ground Water Rule: A Quick Reference Guide - This guide provides a description of the GWR and
includes critical deadlines and requirements.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Factsheets - Including factsheets on GWR general requirements, monitoring
requirements, and Public Notice, Consumer Confidence Reports, and Special Notices.
Ground Water Sanitary Survey Guidance Manual. November 2007. EPA 815-D-07-006 - This guidance
provides states, tribes, and other primacy agencies with a brief review of the sanitary survey regulatory
provisions, give examples of what may constitute a significant deficiency, and provide a checklist of
elements that should be evaluated during the course of a sanitary survey inspection.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Source Water Assessment Guidance Manual. September 2007. EPA 815-R-07-023 - This guidance
provides states, tribes, and other primacy agencies with a brief review of hydrogeologic sensitivity
assessments, an overview of the characteristics of a sensitive aquifer, information about how source
water assessments may be used, and information about how to determine if a sensitive aquifer has a
hydrogeologic barrier, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Source Water Monitoring Methods Guidance Manual. July 2007. EPA 815-R-07-
019 - This guidance provides GWSs, states, tribes, and other primacy agencies with a brief review of
the source water monitoring provisions. Primacy agencies may select fecal indicators (e.g., E. coli,
enterococci, coliphage) that systems would be required to test for in the ground water source sample.
The source water monitoring guidance manual provides criteria to assist primacy agencies in their
determination of which fecal indicator(s) may be most appropriate.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Corrective Action Guidance Manual (under development) - This guidance will provide states, tribes,
other primacy agencies and GWSs with an overview of the treatment technique requirements of the
GWR. The guidance manual will provide assistance with determining the information that should be
included in a system's corrective action plan.
Consecutive System Guide for the Ground Water Rule. July 2007. EPA 815-R-07-020 - This guidance
describes the regulatory requirements of the GWR that apply to wholesale GWSs and the consecutive
systems that receive and distribute that ground water supply.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Complying with the Ground Water Rule: Small Entity Compliance Guide: One of the Simple Tools for
Effective Performance (STEP) Guide Series. July 2007. EPA 815-R-07-018 - This document is
intended to be an official compliance guide to the GWR for small PWSs, as required by the Small
Business Regulatory Enforcement Fairness Act of 1996. This guide contains a general introduction and
background for the GWR, describes the specific requirements of the GWR and provides information on
how to comply with those requirements, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791, or
visit www.epa.gov/safewater/disinfection/gwr.
Office of Water (4606M) EPA 816-F-08-027 www.epa.gov/safewater/disinfection/gwr June 2008
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Ground Water Rule Factsheet: Public
Notification, Consumer Confidence Report,
and Special Notice Requirements for
Community Water Systems
WHAT is THE GROUND WATER RULE?
The U.S. Environmental Protection Agency (EPA) published the Ground Water Rule (GWR) on November
8, 2006. One goal of the GWR is to provide increased protection against microbial pathogens,
specifically bacterial and viral pathogens, in public water systems (PWSs) that use ground water.
Instead of requiring disinfection for all ground water sources, the GWR establishes a risk-targeted
approach to identifying ground water sources that are susceptible to fecal contamination. The GWR
requires ground water systems (GWSs) at risk of microbial contamination to take corrective action to
protect consumers from harmful bacteria and viruses. Notifying the public of potential risks is a key
element of this risk-targeted approach. Procedures for notifying the public differ depending on whether
a system is a community or a non-community water system (NCWS). This factsheet describes the GWR
notification requirements for community water systems (CWSs).
A system is a CWS if it is a PWS that is connected to at least 15 year-round residences or regularly
serves at least 25 persons in a residential setting on a year-round basis.1
WHY DOES THE GWR REQUIRE PUBLIC NOTIFICATION?
The GWR addresses pathogens that can be found in GWSs and steps GWSs must take to protect their
customers. Violations and situations of the GWR are also addressed by two other drinking water
regulations related to notifying the public: the Public Notification (PN) Rule and the Consumer
Confidence Report (CCR) Rule. The GWR requires PN for additional situations and violations related to
ground water and adds to the required content of CCRs.
GWSs are required to notify the public because these circumstances can present moderate to severe
risks to public health.
The GWR. the PN Rule, and the CCR Rule
The PN Rule requires all PWSs to give notice to persons served by the
water system for significant events, including violations of national
primary drinking water regulations (NPDWRs) and waterborne
emergencies.
J The GWR amends the PN Rule by requiring notice for detection of a
fecal indicator in a ground water source sample, treatment technique
violations, and monitoring violations.
The CCR Rule requires CWSs to provide CCRs to their customers, giving an
annual report on water quality.
J The GWR amends the CCR requirements and includes language to be
used when informing the public of significant deficiencies and fecal
indicator-positive results in ground water source samples.
1. All other PWSs that do not fit these criteria are classified as NCWSs. For information on requirements for NCWSs,
please see "Ground Water Rule Factsheet: Public Notification and Special Notice Requirements for Non-Community
Water Systems."
-------
WHAT TYPES OF NOTIFICATION ARE REQUIRED BY THE GWR?
The type of notification required will differ depending on the severity of the situation or violation. The
general categories of notification are:
# Tierl, 2, or 3 PN
* Special Notice (in CCRs)
# CCR (other notice)
The state has the authority to alter the designated tier of a certain situation or violation, or to require
additional or repeated notices.
The following table outlines the various situations or violations that require notification and the
corresponding types of notification that are required.
Issue Notification Required
Fecal indicator- positive ground water source sample1
Failure to take corrective action
Failure to maintain at least 4-log treatment of viruses
Failure to meet monitoring requirements
Uncorrected significant deficiency2
Unaddressed fecal indicator-positive ground water source sample3
Tier 1 PN, Special Notice in CCR, and CCR
Tier 2 PN, CCR
Tier 2 PN, CCR
Tier 3 PN, CCR
Special Notice in CCR
Special Notice in CCR
1 . Consecutive systems served by the ground water source must also notify the public.
2. Systems must continue to notify the public annually until the significant deficiency has been corrected.
3. Systems must put a notice in the CCR annually until the positive source water sample has been addressed.
Each issue outlined above can result from one of the following situations or requirements:
# Fecal indicator-positive ground water source
samples are detected during 1) triggered source
water monitoring, 2) additional source water
monitoring (if it is required by the state), and 3)
assessment source water monitoring (if it is required
by the state). (See "Ground Water Rule Factsheet:
Monitoring Requirements" for more information).
* State corrective action requirements can result from
1) the discovery of a significant deficiency, or 2) a
fecal indicator-positive source water sample.
# Failure to maintain at least 4-log treatment of
viruses occurs when a system is unable to correct
treatment failures within 4 hours. This situation
results in a treatment technique violation.
# Monitoring violations can result from failure to
adhere to state requirements for 1) triggered source
water monitoring, 2) additional source water
monitoring, 3) assessment source water monitoring,
and 4) compliance monitoring (for systems that
maintain 4-log treatment of viruses). (See "Ground
Water Rule Factsheet: Monitoring Requirements" for
more information).
Tiers of Public Notification
Tier 1 (Immediate notice):
This tier is for violations and situations with
significant potential to have serious and
immediate adverse effects on human health as a
result of short-term exposure. Notice is required
within 24 hours.
Tier 2 (Notice as soon as possible):
This tier is for other violations and situations
with the potential to have adverse effects on
human health that do not pose an immediate
risk. Notice is required within 30 days.
Tier 3 (Annual notice):
This tier is for all other violations and situations
requiring a public notice not included in Tier 1
and Tier 2 or that do not have a direct impact on
human health. These violations are typically
monitoring and reporting violations. Notice is
required within 12 months and may be included
in the CCR, since CWSs must produce CCRs by
July 1st of every year.
-------
# Significant Deficiencies are identified by the state during sanitary surveys and on other occasions.
(See "Ground Water Rule Factsheet: Sanitary Surveys" for more information).
WHAT TYPES OF SITUATIONS REQUIRE NOTIFICATION UNDER THE GWR?
Situations requiring Tier 1 PN
* A system is notified of a fecal indicator-positive ground water source sample (either a triggered
source water monitoring sample, one of its five additional samples required by a positive triggered
source water monitoring sample, or an assessment source water monitoring sample) that is not
invalidated by the state.
# A system has a replacement source water sample that is fecal indicator-positive.
> For these types of situations, CWSs must also place a Special Notice in the year's CCR and must
add the fecal indicator-positive result to the regulated contaminant table in the CCR.
Situations requiring Tier 2 PN
* A GWS has a treatment technique (TT) violation under the GWR. TT violations result from:
o Failing to comply with or be on a compliance schedule for a state-approved corrective action
plan within 720 days of being notified of a significant deficiency.
o Failing to comply with or be on a compliance schedule for a state-approved corrective action
plan within 720 days of being notified of a fecal indicator-positive source water sample.
o Failing to maintain at least 4-log treatment of viruses for more than 4 hours.
> CWSs that have TT violations must also place information about the violation in the year's
CCR.
Situations requiring Tier 3 PN
# A GWS fails to meet GWR monitoring requirements if the system:
o Fails to conduct triggered source water monitoring within 24 hours of being notified of a total
coliform-positive routine sample.
o Fails to collect five additional samples after a fecal indicator-positive triggered source water
sample (unless the state requires corrective action).
o Fails to collect a replacement source water sample within 24 hours of being notified that a
fecal indicator-positive sample has been invalidated by the state.
o Fails to conduct or follow the requirements for assessment source water monitoring as directed
by the state for existing or new sources (coming into services after November 30, 2009).
# A GWS fails to meet compliance monitoring requirements if the system:
o Does not conduct triggered source water monitoring and fails to conduct monitoring to
demonstrate compliance with 4-log treatment requirements.
^ CWSs that violate monitoring requirements must also place information about the
monitoring violation in the year's CCR.
-------
What special elements must be included in a
Special Notice?
Situations requiring Special Notice
* Fecal Indicator-Positive Source Water
Sample.
o A CWS is notified of a fecal indicator-
positive triggered source water sample
that is not invalidated by the state.
o A CWS is notified that one of its required
five additional samples that is fecal
indicator-positive.
o A CWS is notified that an assessment
source water monitoring sample is fecal
indicator-positive.
# Uncorrected significant deficiency or
unaddressed fecal comtanimation.
o A CWS is unable to correct a significant
deficiency or address the fecal
contamination before the next CCR is distributed.
^ CWSs must include the Special Notice in their CCR and must continue to notify the public
annually until the significant deficiency or the fecal contamination has been addressed.
WHAT ARE THE NOTIFICATION REQUIREMENTS?
Each category of notification has different requirements. CWSs may use a variety of delivery methods
as long as these methods have been approved by the state and are used to reach as many consumers as
possible. The following table describes the GWR notification requirements.
> The nature of the significant deficiency or the source
of the fecal contamination (if known).
•> The date the significant deficiency was identified by
the state or the dates of the fecal indicator-positive
ground water source samples.
•> If the fecal contamination has been addressed and the
date of such action.
•> For each significant deficiency or fecal contamination,
the state-approved plan and schedule for correction,
including interim measures, progress to date, and any
interim measures completed.
•> The potential health effects of a valid fecal indicator-
positive ground water source sample (using the health
effects language of Appendix A of subpart 0).
•> For GWSs with large populations of non-English
speaking consumers, information on the importance
of the notice in the appropriate language(s), as
determined by the state.
Notification Requirements
Notice Deadline for Repeated Consultation with the Delivery Methods3
Type Initial Notice Notices1 State2
Tier 1 PN
Tier 2 PN
Tier 3 PN
Special
Notice
CCR
(other
notice)
24 hours
30 days
1 year4
With the
year's CCR
With the
year's CCR
As dictated by
the state
Every 3 months
Annually
Annually
Annually
24 hours
Within 48 hours
As soon as is practical/
possible
As soon as is practical/
possible
As soon as is practical/
possible
# Broadcast media (radio or television), hand
delivery, posting, or any other method as needed to
reach as many consumers as possible.
# Mail, hand delivery, or any other method as
needed to reach as many consumers as possible.
# Mail, hand delivery (public notice delivery may be
provided by CCR if one year requirement is met), or
any other method as needed to reach as many
consumers as possible.
# A special notice must be placed in the CCR and
must include the special elements described above.
# Information about fecal indicator detections, TT
violations, and monitoring violations must also be
included in the CCR.
1 . Repeated notices are required if the violation or situation persists, unless otherwise directed by the primacy agency. Posted notices
must remain posted and may need periodic updating.
2. Systems are required to send a copy of the PN to the state within 10 days of the notification. Systems must also keep
documentation of public notices as required under § 141 .403(a)(7) for a period of not less than 3 years.
3. Primacy agencies may approve other methods.
4. EPA recommends consolidating all Tier 3 notifications required within a given year into one notice as long as the notice is issued
within 12 months of the earliest violation.
-------
WHAT is THE STATE'S ROLE IN GWR NOTIFICATION?
State primacy agencies can serve as a valuable resource for helping systems maintain compliance with
the GWR. States also have authority to determine the appropriate notification requirements for a GWS
following a situation or violation. Under the GWR, states must:
# Be available to consult with GWSs after a significant deficiency has been identified or a fecal
indicator-positive sample has been detected. (However, GWSs must still notify the public by the
required deadline even if the state has not been consulted.)
# Approve notification processes.
Under this rule states can:
# Require a more stringent PN tier for certain violations if it is deemed necessary to protect public
health.
# Invalidate a positive ground water source sample if it is determined that the sample is not related
to source water quality (thus, not requiring notification unless an additional sample is positive).
# Require systems to distribute additional notices if it is deemed necessary.
ADDITIONAL GUIDANCE MATERIALS
The following guidance materials for states and PWSs have been released or will be released in 2008:
Ground Water Rule: A Quick Reference Guide - This guide provides a description of the GWR and
includes critical deadlines and requirements.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Factsheets - Including factsheets on GWR general requirements, monitoring
requirements, and Public Notice, Consumer Confidence Reports, and Special Notices.
Ground Water Sanitary Survey Guidance Manual. November 2007. EPA 815-D-07-006 - This guidance
provides states, tribes, and other primacy agencies with a brief review of the sanitary survey regulatory
provisions, give examples of what may constitute a significant deficiency, and provide a checklist of
elements that should be evaluated during the course of a sanitary survey inspection.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Source Water Assessment Guidance Manual. September 2007. EPA 815-R-07-023 - This guidance
provides states, tribes, and other primacy agencies with a brief review of hydrogeologic sensitivity
assessments, an overview of the characteristics of a sensitive aquifer, information about how source
water assessments may be used, and information about how to determine if a sensitive aquifer has a
hydrogeologic barrier, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Source Water Monitoring Methods Guidance Manual. July 2007. EPA 815-R-07-
019 - This guidance provides GWSs, states, tribes, and other primacy agencies with a brief review of
the source water monitoring provisions. Primacy agencies may select fecal indicators (e.g., E. coli,
enterococci, coliphage) that systems would be required to test for in the ground water source sample.
The source water monitoring guidance manual provides criteria to assist primacy agencies in their
determination of which fecal indicator(s) may be most appropriate.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
-------
Corrective Action Guidance Manual (under development) - This guidance will provide states, tribes,
other primacy agencies and GWSs with an overview of the treatment technique requirements of the
GWR. The guidance manual will provide assistance with determining the information that should be
included in a system's corrective action plan.
Consecutive System Guide for the Ground Water Rule. July 2007. EPA 815-R-07-020 - This guidance
describes the regulatory requirements of the GWR that apply to wholesale GWSs and the consecutive
systems that receive and distribute that ground water supply.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Complying with the Ground Water Rule: Small Entity Compliance Guide: One of the Simple Tools for
Effective Performance (STEP) Guide Series. July 2007. EPA 815-R-07-018 - This document is
intended to be an official compliance guide to the GWR for small PWSs, as required by the Small
Business Regulatory Enforcement Fairness Act of 1996. This guide contains a general introduction and
background for the GWR, describes the specific requirements of the GWR and provides information on
how to comply with those requirements, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791, or
visit www.epa.gov/safewater/disinfection/gwr.
Office of Water (4606M) EPA 816-F-08-026 www.epa.gov/safewater/disinfection/gwr June 2008
-------
Ground Water Rule Factsheet: Public
Notification and Special Notice
Requirements for Noncommunity
Water Systems
WHAT is THE GROUND WATER RULE?
The U.S. Environmental Protection Agency (EPA) published the Ground Water Rule (GWR) on November
8, 2006. One goal of the GWR is to provide increased protection against microbial pathogens,
specifically bacterial and viral pathogens, in public water systems (PWSs) that use ground water (or
ground water systems [GWSs)). Instead of requiring disinfection for all ground water sources, the GWR
establishes a risk-targeted approach to identifying ground water sources that are susceptible to fecal
contamination. The GWR requires GWSs at risk of microbial contamination to take corrective action to
protect consumers from harmful bacteria and viruses. Notifying the public of potential risks is a key
element of this risk-targeted approach. Procedures for notifying the public differ depending on whether
a system is a community or a noncommunity water system (NCWS). This factsheet describes the GWR
notification requirements for NCWSs.
A system is a NCWS if it is a PWS that is not connected to 15 or more year-round residences or does not
serve 25 or more persons in a residential setting on a year-round basis.1 A NCWS may be a transient non-
community water system or a nontransient noncommunity water system.
WHY DOES THE GWR REQUIRE PUBLIC NOTIFICATION?
The GWR addresses pathogens that can be found in GWSs and the steps that systems must take to
protect their customers. The GWR requires
NCWSs to make public notification (PN) for a
number of situations and violations related
to ground water.
The GWR and the PN Rule
GWS are required to notify the public
because these and other circumstances can
present risks to public health.
WHAT TYPES OF NOTIFICATION ARE
REQUIRED BY THE GWR?
The PN Rule requires PWSs to give notice to persons served by
the water system for significant events, including violations of
national primary drinking water regulations (NPDWRs) and
waterborne emergencies.
The GWR amends the PN Rule by requiring notice for detection
of a fecal indicator in a ground water source sample, treatment
technique violations, and monitoring violations.
The type of notification required will differ depending on the severity of the situation or violation.
There are two general categories of notification required by the GWR for NCWSs:
# Tierl, 2, or 3 PN
# Special Notice
The state also has the authority to alter the designated tier of a certain violation or to require
additional or repeated notices.
1. Systems that do not fit these criteria are classified as community water systems (CWSs). For information on
requirements for CWSs, please see "Ground Water Rule Factsheet: Public Notification, CCR, and Special Notice
Requirements for Community Water Systems."
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WHAT TYPES OF SITUATIONS REQUIRE PUBLIC NOTIFICATION UNDER THE GWR?
The following table outlines the various situations or violations that require notification to the public
and the corresponding types of notification required.
Issue Notification Required
Fecal indicator- positive ground water source sample1
Failure to take corrective action
Failure to maintain at least 4- log treatment of viruses
Failure to meet monitoring requirements
Uncorrected significant deficiency2
Tier 1 PN
Tier 2 PN
Tier 2 PN
Tier 3 PN
Special Notice
1 . Consecutive systems served by the ground water source must also notify the public.
2. Systems must continue to notify the public annually until the significant deficiency has been corrected.
# Fecal indicator-positive ground water source samples are detected during 1) triggered source
water monitoring, 2) additional source water monitoring (optional), or 3) assessment source water
monitoring (if it is required by the state). (See "Ground Water Rule Factsheet: Monitoring
Requirements" for more information.)
# State requirements for corrective action can result from 1) the discovery of a significant
deficiency or 2) a fecal indicator-positive source water sample.
# Failure to maintain at least 4-log treatment of
viruses occurs when a system is unable to correct
system failures within 4 hours. This situation
results in a treatment technique violation.
Tiers of Public Notification
# Monitoring violations can result from failure to
adhere to state requirements for 1) triggered
source water monitoring, 2) additional source
water monitoring, 3) assessment source water
monitoring, or 4) compliance monitoring for
systems that maintain 4-log treatment of viruses.
(See "Ground Water Rule Factsheet: Monitoring
Requirements" for more information.)
# Significant deficiencies are identified by the
state during sanitary surveys and on other
occasions. (See "Ground Water Rule Factsheet:
Sanitary Surveys" for more information.)
Situations requiring Tier 1 PN
Tier 1 (Immediate notice):
This tier is for violations and situations with
significant potential to have serious and immediate
adverse effects on human health as a result of short-
term exposure. Notice is required within 24 hours.
Tier 2 (Notice as soon as possible):
This tier is for other violations and situations with the
potential to have adverse effects on human health
that do not pose an immediate risk. Notice is
required within 30 days.
Tier 3 (Annual notice):
This tier is for all other violations and situations
requiring public notice not included in Tier 1 and Tier
2 or that do not have a direct impact on human
health. These violations are typically monitoring and
reporting violations. Notice is required within 12
months.
A system is notified of a fecal indicator-positive ground water source sample (either a triggered
source water monitoring sample, one of its five additional samples required by a positive triggered
source water monitoring sample, or an assessment source water monitoring sample) that is not
invalidated by the state.
A system has a replacement source water sample that is fecal indicator-positive.
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Situations requiring Tier 2 PN
# A system has a treatment technique (TT) violation under the GWR. TT violations result from:
o Failing to comply with or be on a compliance schedule for a state-approved corrective action
plan within 720 days of being notified of a significant deficiency.
o Failing to comply with or be on a compliance schedule for a state-approved corrective action
plan within 720 days of being notified of a fecal indicator-positive source water sample.
o Failing to maintain at least 4-log treatment of viruses for more than 4 hours.
Situations requiring Tier 3 PN
# A GWS fails to meet GWR monitoring requirements if the system:
o Fails to conduct triggered source water monitoring within 24 hours of being notified of a total
coliform-positive routine sample.
o Fails to collect five additional samples after a fecal indicator-positive triggered source water
sample (unless the state requires corrective action).
o Fails to collect a replacement source water sample within 24 hours of being notified that a
fecal indicator-positive sample has been invalidated by the state.
o Fails to conduct or follow the requirements for assessment source water monitoring as directed
by the state for existing or new sources (coming into service after November 30, 2009).
# A GWS fails to meet compliance monitoring requirements if the system:
o Fails to conduct monitoring to demonstrate compliance with 4-log treatment requirements.
Situations requiring Special Notice
# Uncorrected significant deficiency.
o A system is unable to correct a significant deficiency within 1 year of being notified of the
significant deficiency.
o The system must continue to notify the public annually until the significant deficiency has been
addressed.
o A state may direct a system to make special notice even if the significant deficiency has been
corrected.
What must be included in a Special Notice?
The nature of the significant deficiency.
The date the significant deficiency was identified by the state.
For each significant deficiency, the state-approved plan and schedule for correction, including interim measures,
progress to date, and any interim measures completed.
For GWSs with large populations of non-English speaking consumers, information on the importance of the notice
in the appropriate language(s), as determined by the state.
WHAT ARE THE NOTIFICATION REQUIREMENTS?
Each category of notification has different requirements. NCWSs may use a variety of delivery methods
as long as these methods have been approved by the state and are used to reach as many consumers as
possible. The following table describes the GWR notification requirements.
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Notification Requirements
Notice Deadline for Repeated Consultation with the
initial
notice
Notices1
Delivery Methods3
Tier 1 PN
Tier 2 PN
Tier 3 PN
Special
Notice
24 hours
30 days
1 year4
1 year
As dictated by
the state
Every 3
months
Annually
Annually
Within 24 hours
Within 48 hours
As soon as is practical/
possible
As soon as is practical/
possible
# Broadcast media (radio or television), hand
delivery, posting, or any other method as needed to
reach as many consumers as possible.
# Posting, hand delivery, or mail, or any other method
as needed to reach as many consumers as possible.
# Posting, hand delivery, mail or any other method as
needed to reach as many consumers as possible.
# Posting, hand delivery, mail or any other method as
needed to reach as many consumers as possible.
1 . Repeated notices are required if the violation or situation persists, unless otherwise directed by the primacy agency. Posted
notices must remain posted and may need periodic updating.
2. Systems are required to send a copy of the PN to the state within 10 days of the notification. Systems must also keep
documentation of public notices as required under § 141 .403(a)(7) for a period of not less than 3 years.
3. Primacy agencies may approve other methods.
4. EPA recommends consolidating all Tier 3 notifications required within a given year into one notice as long as the notice is issued
within 12 months of the earliest violation.
WHAT is THE STATE'S ROLE IN GWR NOTIFICATION?
State primacy agencies can serve as a valuable resource for helping systems maintain compliance with
the GWR. States also have authority to determine the appropriate notification requirements for a GWS
following a situation or violation. Under the GWR, states must:
# Be available to consult with GWSs after a significant deficiency has been identified or a fecal
indicator-positive sample has been detected. (However, GWSs must still notify the public by the
required deadline even if consultation has not occurred.)
# Determine the appropriate method(s) for NCWSs to inform the public of uncorrected significant
deficiencies in their Special Notices.
# Approve notification processes for noncommunity water systems.
Under this rule states can:
# Require a more stringent PN tier (e.g. Tier 1 instead of Tier 2) for certain violations if it is deemed
necessary to protect public health.
# Invalidate a positive ground water source sample if it is determined that the sample is not related
to source water quality (thus, not requiring notification unless an additional sample is positive).
# Require systems to distribute additional notices if it is deemed necessary.
ADDITIONAL GUIDANCE MATERIALS
The following guidance materials for states and PWSs have been released or will be released in 2008:
Ground Water Rule: A Quick Reference Guide - This guide provides a description of the GWR and
includes critical deadlines and requirements.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Factsheets - Including factsheets on GWR general requirements, monitoring
requirements, and Public Notice, Consumer Confidence Reports, and Special Notices.
-------
Ground Water Sanitary Survey Guidance Manual. November 2007. EPA 815-D-07-006 - This guidance
provides states, tribes, and other primacy agencies with a brief review of the sanitary survey regulatory
provisions, give examples of what may constitute a significant deficiency, and provide a checklist of
elements that should be evaluated during the course of a sanitary survey inspection.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Source Water Assessment Guidance Manual. September 2007. EPA 815-R-07-023 - This guidance
provides states, tribes, and other primacy agencies with a brief review of hydrogeologic sensitivity
assessments, an overview of the characteristics of a sensitive aquifer, information about how source
water assessments may be used, and information about how to determine if a sensitive aquifer has a
hydrogeologic barrier, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Ground Water Rule Source Water Monitoring Methods Guidance Manual. July 2007. EPA 815-R-07-
019 - This guidance provides GWSs, states, tribes, and other primacy agencies with a brief review of
the source water monitoring provisions. Primacy agencies may select fecal indicators (e.g., E. coli,
enterococci, coliphage) that systems would be required to test for in the ground water source sample.
The source water monitoring guidance manual provides criteria to assist primacy agencies in their
determination of which fecal indicator(s) may be most appropriate.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Corrective Action Guidance Manual (under development) - This guidance will provide states, tribes,
other primacy agencies and GWSs with an overview of the treatment technique requirements of the
GWR. The guidance manual will provide assistance with determining the information that should be
included in a system's corrective action plan.
Consecutive System Guide for the Ground Water Rule. July 2007. EPA 815-R-07-020 - This guidance
describes the regulatory requirements of the GWR that apply to wholesale GWSs and the consecutive
systems that receive and distribute that ground water supply.
www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
Complying with the Ground Water Rule: Small Entity Compliance Guide: One of the Simple Tools for
Effective Performance (STEP) Guide Series. July 2007. EPA 815-R-07-018 - This document is
intended to be an official compliance guide to the GWR for small PWSs, as required by the Small
Business Regulatory Enforcement Fairness Act of 1996. This guide contains a general introduction and
background for the GWR, describes the specific requirements of the GWR and provides information on
how to comply with those requirements, www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html.
For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791, or
visit www.epa.gov/safewater/disinfection/gwr.
Office of Water (4606M) EPA 816-F-08-030 www.epa.gov/safewater/disinfection/gwr June 2008
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This Page Intentionally Left Blank
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vvEPA
United States
Environmental Protection
Agency
Ground Water Rule:
A Quick Reference
Overview of the Rule
Title
Purpose
General
Description
Utilities
Covered
Ground Water Rule (GWR) 71 FR 65574, Novembers, 2006, Vol. 71, No. 216
Correction 71 FR 67427, November 21 , 2006, Vol. 71 , No. 224
Reduce the risk of illness caused by microbial contamination in public ground water systems (GWSs).
The GWR establishes a risk-targeted approach to identify GWSs susceptible to fecal contamination
and requires corrective action to correct significant deficiencies and source water fecal contamination
in all public GWSs.
The GWR applies to all public water systems (PWSs) that use ground water, including consecutive
systems, except that it does not apply to PWSs that combine all of their ground water with surface
water or with ground water under the direct influence of surface water prior to treatment.
Public Health Benefits
Implementation
of the GWR will
result in ...
Estimated
impacts of
the GWR
include . . .
^ Targeted protection for over 70 million people served by ground water sources that are either
not disinfected or receive less than 4-log treatment.
^- Avoidance of 42,000 viral illnesses and 1 related death annually.
^- The annualized present value of the GWR is $19. 7 million, with a 90-percent confidence
interval of $6.5 to $45.4 million.
^- Mean annual cost per household is estimated to be less than $1 .00 for approximately 96
percent of affected households.
Critical Deadlines and Requirements
!li^Jp^iii^^ii^Iii|lp|if§i I
November 30, 2009
December 1 , 2009
December 1 , 2009
December 1 , 2009
New ground water sources put in place after this date must meet triggered source water
monitoring requirements or conduct compliance monitoring.
By this date, GWSs conducting compliance monitoring because they provide at least 4-log
virus inactivation, removal, or a state-approved combination of these technologies before or
at the first customer, must have notified the state and must begin compliance monitoring. The
written notification to the state must include engineering, operational, and other information
the state requests.
GWSs must conduct triggered source water monitoring if the GWS does not provide at least
4-log virus inactivation, removal, or a state-approved combination of these technologies
before or at the first customer and the GWS is notified that a sample collected for the Total
Coliform Rule (TCR) is total coliform-positive.
GWSs for which the state has identified a significant deficiency and GWSs at which at least
one of the five additional ground water source samples (or at state discretion, after the initial
source sample) has tested positive for fecal contamination must comply with the treatment
technique requirements.
If I
August 8, 2008
Novembers, 2008
Augusts, 2010
Novembers, 2010
December 31, 2012
December 31, 2014
States are encouraged to submit final primacy applications or extension requests to EPA.
Final primacy revision applications for GWR must be submitted to the EPA regional
administrator, unless state is granted an extension.
States with approved extension agreements are encouraged to submit final primacy
applications to EPA.
Final primacy applications must be submitted to the EPA regional administrator for states with
a full 2 year extension.
States must complete initial sanitary survey cycle for all community GWSs except those that
meet performance criteria.
States must complete initial sanitary survey cycle for all noncommunity GWSs and all
community GWSs that meet performance criteria.
Analytical Methods for Source Water Monitoring
I
£. co//
Enterococci
Coliphage
,,,,,,,,,
Colilert
Colisure
Vlembrane Filter Method with Ml Agar
m-ColiBlue24 Test
E*Colite Test
EC-MUG
NA-MUG
Vlultiple-Tube Technique
Vlembrane Filter Technique
Vlembrane Filter Technique
Enterolert
Two-Step Enrichment Presence-Absence Procec
Single Agar Layer Procedure
9223 B.
9223 B.
EPA Method 1604.
9221 F.
9222 G.
9230 B.
9230 C
EPA Method 1600.
ure EPA Method 1601.
EPA Method 1602.
*Footnotes regarding methods can be found in 40 CFR 141.402
-------
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< ;• 1-600-424?$ 1 vvlsit ttie;ili
,y0tir ptatp difeRlng water
representative,
Treatment
Technique
Compliance
Monitoring
In order not to be subject to triggered source water monitoring, a GWS can notify the
state that it provides at least 4-log treatment of viruses using virus inactivation, removal,
or a state-approved combination of 4-log virus inactivation and removal before or at the
first customer. The GWS must then begin compliance monitoring designed to show the
effectiveness of their treatment processes.
GWSs that use chemical disinfection and serve more than 3,300 people must continuously
monitor their disinfectant concentration. GWSs must maintain the minimum disinfectant
residual concentration determined by the state.
GWSs that use chemical disinfection and serve 3,300 people or fewer must take daily
grab samples or meet the continuous monitoring requirements described above for GWSs
serving more than 3,300 people.
GWSs using membrane filtration for 4-log treatment of viruses must monitor the membrane
filtration process according to state-specified monitoring requirements.
GWSs may use alternative treatment technologies (e.g., ultraviolet radiation [UV])
approved by the state. GWSs must monitor the alternative treatment according to state-
specified monitoring requirements, and must operate the alternative treatment according to
compliance requirements established by the state.
Triggered Source
Water Monitoring
Additional
Source Water
Sampling
Assessment
Source Water
Monitoring
GWSs that do not conduct compliance monitoring and are notified of a total coliform-positive
routine sample collected in compliance with the TCR (40 CFR 141.21) must conduct
triggered source water monitoring.
GWSs must collect at least one ground water source sample from each source in use at the
time the total coliform-positive sample was collected. The triggered source water sample
must be analyzed for the presence of a fecal indicator as specified in the rule.
If the triggered source water sample is fecal indicator-positive, the GWS must either take
corrective action, as directed by the state, or if corrective action is not required by the state
and the sample is not invalided by the state, the GWS must conduct additional source water
sampling.
States may waive the triggered source water monitoring requirement if the state determines
and documents, in writing, that the total coliform-positive routine sample is the result of a
documented distribution system deficiency.
States may develop criteria for distribution system conditions that cause total coliform
positive samples. A GWS can document to the state that it met the state criteria within 30
days of the total coliform-positive sample and be exempt from collecting triggered source
water sample(s).
States may invalidate a fecal indicator-positive ground water source sample under specific
conditions. If a fecal indicator-positive source sample is invalidated, the GWS must collect
another source water sample within 24 hours of being notified by the state of its invalidation
decision.
If the state does not require corrective action in response to a fecal indicator-positive
triggered source water sample, the GWS must collect five additional source water samples
(from the same source), using the same indicator as used in triggered source water
monitoring, within 24 hours of being notified of the fecal indicator-positive sample.
States have the opportunity to target higher risk GWSs for additional testing. States
independently can determine on a case by case basis whether monitoring is necessary and
when corrective action needs to be taken.
GWSs with
Significant
Deficiencies
or Source
Water Fecal
Contamination
GWSs must take corrective action if a significant deficiency is identified, or if the initial
source sample (if required by the state) or one of the five additional ground water source
samples tests positive for fecal contamination. The GWS must implement at least one of the
following corrective actions:
> Correct all significant deficiencies.
^ Provide an alternate source of water.
^ Eliminate the source of contamination.
^ Provide treatment that reliably achieves at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved combination of 4-log virus inactivation and
removal) before or at the first customer for the ground water source.
New Ground
Water Sources
All Ground Water
Systems
New sources which come on line after November 30, 2009 are required either to conduct
triggered source water monitoring as required by the GWR, or provide at least 4-log
inactivation, removal or a state-approved combination of these technologies and conduct
compliance monitoring within 30 days of the source being put in service.
States are required to conduct sanitary surveys of all GWSs in order to identify significant
deficiencies, including deficiencies which may make a system susceptible to microbial
contamination.
Following the initial sanitary survey, states must conduct sanitary surveys every 3 years for
most CWSs and every 5 years for NCWSs and CWSs that provide at least 4-log treatment
of viruses or have outstanding performance records, as determined by the state.
EPA-816-F-08-029
www.epa.gov/safewater
June 2008
-------
United States
Environmental Protection
Agency
I
V
Ground Water Rule Triggered and
Representative Monitoring: A Quick
Reference Guide
Overview of the Rule
Title
Purpose
General
Description
Utilities
Covered
Ground Water Rule (GWR) 71 FR 65574, November 8, 2006, Vol. 71, No. 216
Correction 71 FR 67427, November 21, 2006, Vol. 71, No. 224
Reduce the risk of illness caused by microbial contamination in public ground
water systems (GWSs).
The GWR establishes a risk-targeted approach to identify GWSs susceptible
to fecal contamination and requires corrective action to correct significant
deficiencies and source water fecal contamination in all public GWSs.
The GWR applies to all public water systems (PWSs) that use ground water,
including consecutive systems, except that it does not apply to PWSs that
combine all of their ground water with surface water or with ground water
under the direct influence of surface water prior to treatment.
Purpose of Triggered Source Water Monitoring
The purpose of triggered source water monitoring is to evaluate whether the presence of
total coliform in the distribution system is due to fecal contamination in the ground water
source.
This type of source water monitoring is triggered by routine total coliform monitoring
required by the Total Coliform Rule (TCR) (40 CFR 141.21).
• Since TCR monitoring is conducted regularly, triggered source water monitoring can
occur at any time and thus provides an ongoing evaluation of ground water sources.
Triggered Source Water Monitoring Requirements
Systems Required to Conduct Triggered Source Water Monitoring
GWSs are
subject to
triggered source
water monitoring
if they:
^- Do not provide, and conduct compliance monitoring for, at least 4-log
treatment of viruses (through inactivation and/or removal).
• This includes systems that decide to discontinue 4-log treatment.
>• Do not purchase 100% of their water (and therefore have a source at
which to sample).
Situations Leading to Triggered Source Water Monitoring
GWSs must
conduct
triggered source
water monitoring
when:
>• The system is notified of a total coliform-positive sample collected in
compliance with the TCR unless:
• The total coliform sample is invalidated by the State.
• The State allows an exception to the GWR triggered source water
monitoring requirements.
OR
^- The system is a wholesale system and is notified by one of its
consecutive systems that the consecutive system had a total coliform-
positive sample during TCR monitoring.
Collecting and Analyzing Triggered Source Water Monitoring Samples
When triggered
source water
monitoring is
required, GWSs
must:
>• Collect at least one ground water source sample from each source in
use at the time the total coliform-positive sample was collected.
• Samples must be collected within 24 hours of being notified of the
total coliform-positive sample (unless the 24-hour limit is extended
by the State).
• Sample must be taken before treatment or at a State-approved
location after treatment (see the diagram on the next page).
>• Ensure all samples are analyzed for the presence of a fecal indicator
(e.g., E. co//, enterococci, or coliphage) using an approved GWR
method.
^ If a fecal indicator-positive source sample is invalidated by the State,
the GWS must collect another source water sample within 24 hours
of being notified by the State of the sample invalidation using an
approved method. See the "Analytical Methods Approved for the
Ground Water Rule" at http://www.epa.gov/safewater/methods/
analyticalmethods.html.
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^- The diagram below represents an appropriate sampling location for triggered source water monitoring. GWSs
a sample tap at each source that enables triggered source water monitoring.
Treatment W\
m^m M i Distribution
^ II System 1
W ' 'X^/X^//
^~^L /////
\
Ground X
Water >
Source SAMPLING LOCATION
should have
Additional Sampling
^ If the initial triggered source water sample is fecal indicator-postive, and the State does not require corrective action in
response, GWSs must conduct additional source water monitoring.
• GWSs must collect five additional source water samples (from the source(s) that contained the original fecal indicator-
positive samples) within 24 hours of being notified of the fecal indicator-positive sample.
• The additional samples must be tested for a fecal indicator using an approved GWR method.
>• If any one of the five additional samples is fecal indicator-positive, the system must take corrective action.
>• If any additional sample is found to be fecal indicator-positive but is subsequently invalidated by the State, the GWS must
resample for the same fecal indicator within 24 hours of being notified of the invalidation.
Note: If the GWS is a wholesale system, it must notify all consecutive systems served by a source of any fecal indicator-
positive samples from that source within 24 hours of being notified of the sample result.
If a GWS has multiple sources, the State may allow the GWS to conduct representative source sampling.
Representative source water sampling allows systems to collect samples from the sources that represent (serve) the TCR
monitoring site rather than from all sources. These representative ground water sources must be approved by the State.
Systems must still:
• Sample within 24 hours of total coliform-positive sample.
• Analyze using an approved GWR method.
If the State allows representative site sampling, the State may require the GWS to submit a triggered source water
monitoring plan for approval before the GWS starts conducting representative source sampling.
• A triggered source water monitoring plan may include:
• A map of the water system (including location of ground water sources, location of pressure zones, and location of
storage facilities),
• A written explanation of how the GWS knows which source feeds which section of the distribution system, and
• Seasonal or intermittent ground water sources and when they are used.
• Regardless of whether or not the State requires a plan to be submitted, all representative source sampling locations
must be approved by the State.
-------
The diagram below provides an example of a system schematic that could be used to determine representative sources
and develop a triggered source water monitoring plan, based on where in the distribution system the total coliform-
positive sample is found. If approved by the State, the system could sample sources 1 and 2 after a total coliform-positive
at Site 1 since Site 1 is in the zone served by those sources. A total coliform-positive at Site 2 would require source
sampling from all sources since this area is served by all sources.
Variations in Requirements Based on System Size
GWSs Serving Fewer than 1,000 Persons
GWSs that serve fewer than 1,000 persons may be able to meet TCR repeat monitoring requirements and GWR triggered
source water monitoring requirements together if the State allows:
• Repeat TCR monitoring at the source
AND
• E co// to be used as a fecal indicator under the GWR.
If the State allows this situation, then the GWS can use a TCR repeat sample collected at the source to meet the triggered
source water monitoring requirement of the GWR. The fourth TCR repeat sample is collected at the source. Upstream and
downstream samples and a sample at the TCR site are still needed to meet TCR requirements.
Labs must use an approved GWR method to test for E co//.
Note: If the TCR repeat sample collected at the source is TCR-positive but E co// is not found, the GWR does not require
further action but the system is in violation of the TCR MCL.
Consecutive Systems and Wholesale Systems
Consecutive
Systems
^- Consecutive systems that purchase 100% of their water (and therefore do not have a source from which to
sample) must:
• Notify their wholesale system within 24 hours of receiving notice of a total coliform-positive sample
taken under the TCR.
• Upon hearing from the wholesale system of a fecal indicator-positive source water sample (either initial
triggered samples or additional samples), notify the public within 24 hours.
>• Consecutive systems that purchase only some of their water must:
• Notify their wholesale system within 24 hours of receiving notice of a total coliform-positive sample
taken under the TCR.
• Collect GWR triggered source water monitoring samples and additional samples as required.
• Upon receipt of notification from the laboratory about a fecal indicator-positive source water sample at
the system's source(s) take corrective action, if required, and notify the public within 24 hours.
• Upon receipt of notification from the wholesale system of a fecal indicator-positive sample (either initial
triggered samples or additional samples) at the wholesale system's source(s), notify the public within 24
hours.
Wholesale
Systems
Wholesale systems that are notified by a consecutive system of a total coliform-positive sample must:
• Within 24 hours of being notified, collect at least one ground water source sample from each source in
use (unless representative sampling is allowed) when the total coliform-positive sample was collected.
• Notify the public and ALL consecutive systems served by the source within 24 hours of learning that a
source water sample is fecal-indicator positive.
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Invalidation of Fecal Indicator-Positive Samples
>• The State can invalidate a fecal indicator-positive triggered source water sample if:
• The system provides the State with written notice from the laboratory that improper sample analysis occurred or
• The State determines there is substantial evidence that the sample does not reflect source water quality.
• The State must document in writing there is substantial evidence that the fecal indicator-positive ground water
source sample is not related to source water quality.
^- If any sample is found to be fecal indicator-positive and is subsequently invalidated by the State, the GWS must resample
for the same indicator within 24 hours of being notified of the invalidation.
Exceptions to the Triggered Source Water Monitoring Requirements
Extension of the 24-hour collection limit
>• The State may extend the 24-hour limit for collecting source water samples on a case-by-case basis if the State
determines the system cannot collect the ground water source water sample within 24 hours due to circumstances
beyond its control.
>• In the case of an extension, the State must specify how much time the system has to collect the sample.
Total Coliform-Positive Sample Is The Result of Distribution System Conditions
A GWS is not required to conduct triggered source water monitoring under one of the following circumstances:
• The State determines and documents in writing that the total coliform-positive TCR sample is caused by a distribution
system deficiency.
• The GWS determines the total coliform-positive TCR sample was collected at a location that meets State criteria for
distribution conditions that will cause total coliform-positive samples and notifies the State within 30 days.
Notification Requirements
If a GWS receives notice of a fecal
indicator-positive source water sample
collected under the GWR, the system must:
>• Consult with the State within 24 hours.
>• Notify the public within 24 hours.
• Tier 1 Public Notification.
>• If the system is a community GWS, they must provide Special Notice of the
fecal indicator-positive sample in their CCR.
If a GWS fails to conduct required triggered
or additional monitoring, the system must:
>• Notify the public within 12 months.
• Tier 3 Public Notification.
>• Community GWSs may be able to use their CCR.
Wholesale and consecutive systems are
subject to:
>• The same notification requirements outlined above, in addition to the
requirements to notify the wholesale or consecutive systems.
Critical Deadlines for Triggered Source Water Monitoring for Drinking Water Systems
November 30, 2009
New ground water sources put in place after this date must conduct triggered source water monitoring
if the GWS does not provide 4-log virus treatment and conduct compliance monitoring and the GWS is
notified that a sample collected for the TCR is total coliform-positive.
December 1, 2009
GWSs must conduct triggered source water monitoring if the GWS does not provide 4-log virus
treatment and conduct compliance monitoring and the GWS is notified that a sample collected for the
TCR is total coliform-positive.
Office of Water (4606)
EPA815-F-08-004
www.epa.gov/safewater
July 2008
-------
xvEPA
United States
Environmental Protection
Agency
Ground Water Rule Compliance
Monitoring: A Quick Reference Guide
Overview of the Rule
Title
Purpose
General
Description
Utilities
Covered
Ground Water Rule (GWR) 71 FR 65574, November 8, 2006, Vol. 71 , No. 216
Correction 71 FR 67427, November 21 , 2006, Vol. 71 , No. 224
Reduce the risk of illness caused by microbial contamination in public ground
water systems (GWSs).
The GWR establishes a risk-targeted approach to identify GWSs susceptible
to fecal contamination and requires corrective action to correct significant
deficiencies and address source water fecal contamination in all public GWSs.
The GWR applies to all public water systems (PWSs) that use ground water,
including consecutive systems, except that it does not apply to PWSs that
combine all of their ground water with surface water or with ground water
under the direct influence of surface water prior to treatment.
Purpose of Compliance Monitoring
Compliance monitoring ensures that GWSs that provide at least 4-log treatment of viruses
using chemical disinfection, membrane filtration, or a State-approved alternative treatment
technology are consistently and effectively achieving this level of treatment.
When is Compliance Monitoring Required?
GWSs that provide at least 4-log treatment of viruses as a corrective action must conduct
compliance monitoring.
GWSs that provide at least 4-log treatment of viruses at or before the first customer
using chemical disinfection, membrane filtration, or a State-approved alternative treatment
technology and do not conduct GWR triggered source water monitoring must notify their
State in writing that they provide treatment and begin compliance monitoring.
The compliance dates for systems that provide 4-log treatment in lieu of GWR triggered
source water monitoring are as follows:
• GWSs with existing ground water sources must notify the State by December
1, 2009, that they provide at least 4-log treatment of viruses and begin compliance
monitoring.
• GWSs with new ground water sources placed into service after November 30, 2009,
must notify the State that they provide at least 4-log treatment of viruses and begin
compliance monitoring within 30 days.
What are the Compliance Monitoring Requirements for Chemical
Disinfection?
GWSs Serving 3,300 or Fewer
GWSs using chemical disinfection and serving 3,300 or fewer persons must monitor for the
residual disinfectant concentration and meet the State specified minimum concentration
at or before the first customer.
GWSs must monitor on a daily basis and collect a grab sample during the hour of peak flow
or at another time specified by the State.
• If any daily grab sample is less than the minimum disinfectant residual concentration,
the system must take follow-up samples every four hours until the residual meets or
exceeds the State-specified minimum concentration.
• These systems also have the option to monitor continuously.
If the GWS monitors continuously, the system must meet the monitoring
requirements for GWSs serving greater than 3,300 persons (see below).
GWSs must monitor at a State-approved location.
-------
GWSs Serving Greater than 3,300 Persons
GWSs using chemical disinfection and serving greater than 3,300 persons that conduct compliance monitoring must monitor
for the residual disinfectant concentration and meet the State specified minimum concentration at or before the first
customer.
• GWSs of this size must monitor continuously and record the lowest residual disinfectant concentration each day that
water from the ground water source is served to the public.
GWSs must monitor at a State-approved location.
Failure of Continuous Monitoring Equipment
In the event of equipment failure for continuous monitoring, provisions are available for all GWSs serving greater than 3,300
persons and GWSs serving 3,300 persons or fewer who opt to monitor continuously.
• If there is a failure in continuous monitoring equipment, the ground water system must conduct grab sampling every
four hours until the continuous monitoring equipment is returned to service.
• The system must resume continuous residual disinfectant monitoring within 14 days.
What are the Compliance Monitoring Requirements for Membrane Filtration?
GWSs that use membrane filtration systems to achieve 4-log virus treatment to meet GWR requirements must:
• Operate the process in accordance with State-specified compliance requirements.
• Monitor the membrane filtration process in accordance with all State-specified monitoring requirements.
• Verify that the integrity of the membrane is intact.
The frequency and location of samples for systems conducting membrane filtration will be determined by the State.
What are the Compliance Monitoring Requirements for Alternative Treatment?
*• GWSs that use alternative treatment systems to achieve 4-log virus treatment to meet GWR requirements must:
• Operate the process in accordance with State-specified compliance requirements.
• Monitor the process in accordance with State-specified monitoring requirements.
Compliance Monitoring and Validation Testing for Ultraviolet (UV) Disinfection
> GWSs using UV disinfection as an alternative technology to meet GWR requirements should:
• Monitor for UV intensity, as measured by a UV sensor, flow rate and UV lamp status and any additional State-specified
parameters.
• Verify the calibration of UV sensors, and recalibrate in accordance with a State-approved protocol, at least monthly.
> UV reactors should undergo validation testing to determine the operating conditions under which the reactor delivers the UV
dose corresponding to the virus log removal credit received. See "Ultraviolet Disinfection Guidance for the Final Long Term
2 Enhanced Surface Water Treatment Rule" (http://www.epa.gov/ogwdw/disinfection/lt2/pdfs/guide_lt2_uvguidance.pdf) for
more information.
Summary
The following table summarizes the compliance monitoring requirements for systems providing 4-log virus treatment in
lieu of triggered source water monitoring or as a corrective action under the GWR.
System Type
GWSs serving < 3,300 using
chemical disinfection
GWSs serving > 3,300 using
chemical disinfection
GWSs using membrane filtration
GWSs using State-approved
alternative treatment
Monitor For
Residual disinfectant concentration
(must meet State minimum)
Membrane filtration process
effectiveness
Alternative treatment effectiveness
Frequency
Daily or continuous
Continuous only
Sample Location
State-approved
location(s)
Consult State for specific information
If operation according to the criteria or requirements for compliance monitoring (minimum residual disinfectant concentration,
membrane operating criteria or membrane integrity, alternative treatment operating criteria, etc.) is not restored within four
hours, a GWS must notify the State as soon as possible.
For all GWSs conducting compliance monitoring, failure to conduct required compliance monitoring (Sec. 141.403(b))
requires a Tier 3 public notice.
If any GWS wishes to discontinue 4-log treatment of viruses before or at the first customer, the GWS then becomes subject
to the GWR triggered source water monitoring requirements.
• See "Ground Water Rule Factsheet: Monitoring Requirements" and "Ground Water Rule Triggered and Representative
Monitoring: A Quick Reference Guide" for more information.
Office of Water (4606)
EPA815-F-08-008
www.epa.gov/safewater
July 2008
-------
v>EPA
United States
Environmental Protection
Agency
<
Ground Water Rule Sample
Collection and Transport: A Quick
Reference Guide
Overview of the Rule
Title
Purpose
General
Description
Utilities
Covered
Ground Water Rule (GWR) 71 FR 65574, November 8, 2006, Vol. 71, No.
216
Correction 71 FR 67427, November 21, 2006, Vol. 71, No. 224
Reduce the risk of illness caused by microbial contamination in public
ground water systems (GWSs).
The GWR establishes a risk-targeted approach to identify GWSs
susceptible to fecal contamination and requires corrective action to correct
significant deficiencies and address source water fecal contamination in all
public GWSs.
The GWR applies to all public water systems (PWSs) that use ground
water, including consecutive systems, except that it does not apply to
PWSs that combine all of their ground water with surface water or with
ground water under the direct influence of surface water prior to treatment.
GWR Situations Requiring Sample Collection and Transport
The GWR requires that systems that do not provide 4-log treatment of viruses for all
their ground water sources collect at least one source water sample after detection of
total coliform in a routine Total Coliform Rule (TCR) (40 CFR 141.21) sample. These
triggered source samples must be collected from ground water sources in use at the
time of the TC positive. Samples must be collected within 24 hours unless the State
allows an extension and the State will specify how long the extension is. Samples must
be analyzed for the presence of one of three fecal indicators, E. coli, enterococci, or
coliphage. See Ground Water Rule Triggered and Representative Monitoring: A Quick
Reference Guide (EPA815-F-08-004) for more information.
If a fecal indicator is found to be present in a triggered source sample and the State
does not require corrective action, the GWR requires systems to collect five additional
source water samples and analyze the samples for the presence of one of the three
fecal indicators.
Assessment source water monitoring may be required by the State for systems
with sources that may be at risk for fecal contamination. Systems must meet
State requirements for the number of samples collected and the analyses (£. coli,
enterococci, coliphage) conducted.
Sampling Location
>• For both triggered source water monitoring and assessment source water monitoring,
samples must be collected at the ground water source before treatment, unless
another location is approved by the State.
>• GWSs should install a sample tap at each source to enable source water monitoring.
>• The diagram below represents an appropriate sampling location for source water
monitoring.
Treatment
Pumps, Pump Facilities,
and Controls
_u
Distribution
System
Source
SAMPLING LOCATION
-------
Sample Collection
Sample Containers
^- Samples should be collected in sterile, plastic or glass containers with a leak-proof lid.
>• The GWR requires GWSs conducting source water monitoring to analyze at least a 100-mL sample volume.
• However, EPA recommends that the GWS collect and ship more than 100-mL of sample to ensure that a minimum
of 100 ml is available for analysis (see below).
>• The sample containers should be large enough to allow at least 1-inch of headspace to facilitate mixing of the sample
by shaking prior to analysis.
>• Sample volume and container size recommendations for samples of various types are provided below.
£. co// and
Enterococci
Samples
>• Sample volume: At least 120 ml_ of sample should be collected to ensure sufficient volume for
sample analysis is available in the event of spillage at the laboratory.
>• Container Size: The capacity of sample containers should allow at least a 1-inch headspace to
facilitate mixing of the sample by shaking prior to analysis.
Coliphage
Samples
^- Sample volume: If Method 1601 is used for coliphage sample analyses, either 100-mL or 1-L sample
volumes may be analyzed (Method 1602 only accommodates 100-mL volumes).
• While the minimum sample volume requirement for the GWR is 100 mL, systems may wish to
collect and analyze a 1-L sample volume to increase the sensitivity of the Method 1601 analysis.
• For all coliphage analyses, the GWS should collect 2.5 times more of the sample than necessary
(i.e., 250 mL for 100 mL samples and 2.5 L for 1 L samples) to allow for sample re-analysis, if
necessary.*
>• Container size: The capacity of sample containers should allow at least a 1 -inch headspace to
facilitate mixing of the sample by shaking prior to analysis.
* Alternatively, samples for male-specific and somatic coliphage analyses can be collected in separate containers.
Collection Procedures
Gloves and
hand washing
When collecting samples from a ground water source, individuals should wash their hands before
collecting samples and if possible wear gloves (latex, etc.).
Records
All samples taken should be recorded in an on-site sample log book or on a sample collection
form if it is to be sent to a laboratory for analysis. Sample log books and sample collection forms
should contain the following information:
• Name of system (e.g., Public Water System Identification number)
• Sample site location
• Sample type (assessment, triggered)
• Sampler's name
• Sample number
• Date of sample collection
• Time of sample collection
• Analysis requested
Water tap and
service line
Water taps used for sampling should be free of aerators, bubblers, strainers, hose attachments,
mixing type faucets, and purification devices. The flow of water out of the tap should be adjusted so
the water will not splash out when the sample is collected. The tap should be cleaned and flushed.
The service line should be cleared before sampling by maintaining a steady water flow for at least
two minutes (or until the water changes temperature).
Collecting
samples
Using aseptic technique (i.e., sanitize tap, do not touch the inside of the sample container), the
individual taking the sample should fill the sample containers, leaving at least 1-inch of headspace.
Cap and label
the container
Immediately following sample collection, the sampler should tighten the sample container lid.
The system name, sampler's name, sample number, sample type, date and time of sample collection,
sample location, and analysis requested should be recorded on the sample container.
IMPORTANT: If the sample will not be shipped off-site for analysis immediately, the sample should be
placed upright in a refrigerator to maintain the sample at a temperature of < 8°C prior to shipment. If
a refrigerator is unavailable, the sample should be insulated in some other manner to keep it cool.
-------
Sample Collection
Sample Containers
Packaging
If the samples will be analyzed at a laboratory that is off-site, the water system should contact the
laboratory as soon as possible (preferably prior to sampling) so that the laboratory can be prepared
with the appropriate media.
As soon as the sample has been collected, labeled and capped, the sample should be packaged in a
shipping cooler or foam box that is used exclusively for this purpose.
• The cooler should be double lined with plastic (i.e., with trash bags) and contain ice (wet ice in
ziplock bags, gel packs, or blue ice). The GWR recommends keeping samples below 10°C.
The signed and dated sample collection form should be included with the sample.
The lid of the cooler should be securely sealed and the joints of the container should be sealed with
duct tape.
If the package is being shipped, a copy of the airbill or shipping record should be kept by the ground
water system.
Packages should be sent priority overnight so that the arrangements for transport and shipping-time
from collection to analysis does not exceed 30 hours as required by the GWR.
Chain-of-
Custody
>• Sample collectors and laboratories should follow applicable State regulations pertaining to chain-of-
custody procedures, since it is necessary to have an accurate written record to trace the possession
and handling of samples from collection through reporting.
• This procedure includes:
• Field records of sample collection (sample collection form),
• Label or standardized tag on the sample container(s),
• Package sent to lab with chain-of-custody record form, pertinent field records, and analysis
request form.
• The procedure used by the water system and the laboratory should be documented.
• Every person who takes custody of the sample should fill in the appropriate section of the chain-
of-custody record.
• See EPA's Manual for the Certification of Laboratories Analyzing Drinking Water: Criteria and
Procedures Quality Assurance (Fifth Edition) for more information.
Office of Water (4606)
EPA815-F-08-007
www.epa.gov/safewater
July 2008
-------
This Page Intentionally Left Blank
-------
x-xEPA
1 The June 1989 Rule was
revised as follows: Corrections and
Technical Amendments, 6/19/90
and Partial Stay of Certain Provi-
sions (Variance Criteria) 56 FR
1556-1557, Vol 56, No 10.
Note: The TCR is currently
undergoing the 6 year review
process and may be subject to
change.
United States
Environmental Protection
Agency
Office of Water
(4606)
EPA 816-F-01-035
November 2001
www.epa.gov/safewater
Total Coliform Rule:
A Quick Reference Guide
Overview of the Rule
Title
Purpose
General
Description
Utilities
Covered
Total Coliform Rule (TCR)
54 FR 27544-27568, June 29, 1989, Vol. 54, No. 1241
Improve public health protection by reducing fecal pathogens to minimal levels
through control of total coliform bacteria, including fecal conforms and Escherichia
coli (E. co//;.
Establishes a maximum contaminant level (MCL) based on the presence or absence
of total conforms, modifies monitoring requirements including testing for fecal
conforms or E. coli, requires use of a sample siting plan, and also requires sanitary
surveys for systems collecting fewer than five samples per month.
The TCR applies to all public water systems.
Public Health Benefits
Implementation
of the TCR has
resulted in ...
Reduction in risk of illness from disease causing organisms associated with
sewage or animal wastes. Disease symptoms may include diarrhea, cramps,
nausea, and possibly jaundice, and associated headaches and fatigue.
What are the Major Provisions?
ROUTINE Sampling Requirements
Total coliform samples must be collected at sites which are representative of water quality
throughout the distribution system according to a written sample siting plan subject to state
review and revision.
Samples must be collected at regular time intervals throughout the month except groundwater
systems serving 4,900 persons or fewer may collect them on the same day.
Monthly sampling requirements are based on population served (see table on next page for the
minimum sampling frequency).
A reduced monitoring frequency may be available for systems serving 1,000 persons or fewer
and using only ground water if a sanitary survey within the past 5 years shows the system is
free of sanitary defects (the frequency may be no less than 1 sample/quarter for community
and 1 sample/year for non-community systems).
Each total coliform-positive routine sample must be tested for the presence of fecal conforms or
E. coli.
If any routine sample is total coliform-positive, repeat samples are required.
REPEAT Sampling Requirements
Within 24 hours of learning of a total coliform-positive ROUTINE sample result, at least 3 REPEAT
samples must be collected and analyzed for total conforms:
One REPEAT sample must be collected from the same tap as the original sample.
One REPEAT sample must be collected within five service connections upstream.
One REPEAT sample must be collected within five service connections downstream.
Systems that collect 1 ROUTINE sample per month or fewer must collect a 4th REPEAT sample.
If any REPEAT sample is total coliform-positive:
The system must analyze that total coliform-positive culture for fecal conforms or E.coli.
The system must collect another set of REPEAT samples, as before, unless the MCL has been
violated and the system has notified the state.
Additional ROUTINE Sample Requirements
A positive ROUTINE or REPEAT total coliform result requires a minimum of five ROUTINE
samples be collected the following month the system provides water to the public unless
waived by the state.
-------
For additional information on
theTCR
Call the Safe Drinking Water
Hotline at 1-800-426-4791; visit
the EPA web site at
www.epa.gov/safewater/mdbp/
mdbp.html; or contact your state
drinking water representative.
2 The revised Public Notification
Rule will extend the period allowed
for public notice of monthly violations
to 30 days and shorten the period for
acute violations to 24 hours. These
revisions are effective for all systems
by May 6, 2002 and are detailed in
40 CFR Subpart Q.
Public Water System ROUTINE Monitoring Frequencies
Population
25-1,000*
1,001-2,500
2,501-3,300
3,301-4,100
4,101-4,900
4,901-5,800
5,801-6,700
6,701-7,600
7,601-8,500
8,501-12,900
12,901-17,200
17,201-21,500
Minimum
Samples/ Month
1
2
3
4
5
6
7
8
9
10
15
20
Population
21,501-25,000
25,001-33,000
33,001-41,000
41,001-50,000
50,001-59,000
59,001-70,000
70,001-83,000
83,001-96,000
96,001-130,000
130,001-220,000
220,001-320,000
320,001-450,000
Minimum
Samples/ Month
25
30
40
50
60
70
80
90
100
120
150
180
Population
450,001-600,000
600,001-780,000
780,001-970,000
970,001-1,230,000
1,230,001-1,520,000
1,520,001-1,850,000
1,850,001-2,270,000
2,270,001-3,020,000
3,020,001-3,960,000
> 3,960,001
^
Minimum
Samples/ Month
210
240
270
300
330
360
390
420
450
480
•
'Includes PWSs which have at least 15 service connections, but serve <25 people.
What are the Other Provisions?
Systems collecting fewer than 5
ROUTINE samples per month . . .
Systems using surface water or ground
water under the direct influence of
surface water (GWUDI) and meeting
filtration avoidance criteria . . .
Must have a sanitary survey every 5 years (or every 10
years if it is a non-community water system using
protected and disinfected ground water).**
Must collect and have analyzed one coliform sample
each day the turbidity of the source water exceeds 1
NTU. This sample must be collected from a tap near the
first service connection.
** As per the IESWTR, states must conduct sanitary surveys for community surface water and GWUDI systems in this
category every 3 years (unless reduced by the state based on outstanding performance).
Compliance is based on the presence or absence of total conforms.
Compliance is determined each calendar month the system serves water to the public (or each
calendar month that sampling occurs for systems on reduced monitoring).
The results of ROUTINE and REPEAT samples are used to calculate compliance.
A Monthly MCL Violation is Triggered if:
A system collecting fewer than 40
samples per month ...
A system collecting at least 40
samples per month ...
Has greater than 1 ROUTINE/REPEAT sample per month which
is total coliform-positive.
Has greater than 5.0 percent of the ROUTINE/REPEAT samples
in a month total coliform-positive.
An Acute MCL Violation is Triggered if:
Any public water system . ..
Has any fecal coliform- or E. co//-positive REPEAT sample or
has a fecal coliform- or £. co//-positive ROUTINE sample
followed by a total coliform-positive REPEAT sample.
What are the Public Notification and Reporting Requirements?
For a Monthly MCL Violation
For an Acute MCL Violation
Systems with ROUTINE or
REPEAT samples that are fecal
coliform- or E. co//-positive .. .
The violation must be reported to the state no later than the
end of the next business day after the system learns of the
violation.
The public must be notified within 14 days.2
The violation must be reported to the state no later than the
end of the next business day after the system learns of the
violation.
The public must be notified within 72 hours.2
Must notify the state by the end of the day they are notified of the
result or by the end of the next business day if the state office is
already closed.
-------
Appendix D
Flowcharts
-------
This Page Intentionally Left Blank
-------
-------
START.
Total
Coliform Rule
monitoring
Positive total coliform
routine sample?
Yes
POSITIVE TC SAMPLE UNDER the TCR
START
System must
resample for total
coliform within 24
hours
Does the state
invalidate positive
total coliform
routine sample
under the TCR?
Ground Water Rule
No triggered source water
monitoring needed and
continue all monitoring
required under TCR
New sources
(after
11/30/2009)
Does the GWS
purchase 100% of
the water?
Does the GWS
purchase some of its
water?
Does the GWS
provide 4-log
treatment prior to
"ne first customer?
Notify the wholesale
system(s) with source(s)
within 24 hours
Has the GWS notified the
state and been conducting
compliance monitoring?
Goto
Compliance
Monitoring
START
Wholesale GWS
that has been
notified of a TC
positive routine
sample by a
consecutive system
receiving water from
its source(s)
Goto
Triggered
Source Water
Monitoring
-------
START
Triggered
Source Water
Monitoring
required
Collect one sample per
state-approved location
prior to treatment
within 24 hours of TC
positive sample and
analyze using approved
lab method
TRIGGERED SOURCE WATER MONITORING
Will the state allow
representative site
sampling?
Yes
I
IVes
Does the GWS serve
less than 1,000
people?
Yes
I
Does the GWS want
to do combined
sampling?
Wo
t
If the state allows
repeat TCR
monitoring at
source, the state
approved £ coli as
an indicator, and the
lab uses an
approved GWR
method, GWS can
use repeat TCR for
triggered sample
yes
Does the GWS have Wo
multiple wells?
No
Did the state
require the GWS to
submit a
monitoring plan?
Wo
Yes
HastheGWS
submitted the plan
with the required
information?
Has the system
Wo gotten approval
for representative
site samples?
GWS only has to sample at
representative sites
Yes
TierSPN
CCR Other Notice
Collect one sample per
source prior to treatment
within 24 hours of TC
positive sample and
analyze using approved
lab method
Yes
Yes
Tier 3 PN
CCR Other Notice
J
Wo
No further
triggered source
water monitoring
is needed
Are there any fecal
indicator-positive
results?
Did the state
invalidate the
sample?
Wo
Collect one sample per
representative site prior
to treatment at state-
approved location within
24 hours of TC positive
sample and analyze using
approved lab method
Tier 1 PN
CCR Special Notice
and Other Notice
Wo
Ground Water Rule
Yes
No
\
yes
GWS must resample for
same indicator within 24 -^-
hours
Must notify all
consecutive
systems served by
source within 24
hours
Yes
I
Is the GWS a
wholesale system?
TierSPN
CCR Other Notice
t
Does the state
require corrective
action?
Yes
Goto
Corrective
Action
No
Goto
Additional
Monitoring
-------
ADDITIONAL SOURCE WATER MONITORING
START
GWS must
conduct
additional
sampling
Tier 3 PN
CCR Other Notice
Jwo
GWS must resampl'
for the same
indicator within 24
:>urs
•
GWS must take 5 samples at any
Yes source with fecal indicator-positive
results within 24 hours of the initial
positive. They must use an
approved lab method
Yes
Are there any fecal
indicator-positive samples?
Yes
Tier 3 PN
CCR Other Notice
Yes
Did the state
invalidate the
results?
No
No additional
source water
monitoring
needed
Tier 1 PN
CCR Special Notice
s the GWS a
wholesale system?
Ground Water Rule
Yes
Must notify all cc
systems served by that
source
within 24 hours
-------
SANITARY SURVEY SIGNIFICANT DEFICIENCY
State notifies system
within 30 days of
identifying deficiency
Yes
Did the state identify a
significant deficiency?
System must provide information
requested by the state
Goto
Corrective
Action
State
conducts
Sanitary
Survey
START
No further
T requirements
STOP'\ associated with
^^ Sanitary Survey
Ground Water Rule
-------
Goto
Corrective
Action
ASSESSMENT SOURCE WATER MONITORING
Yes
Does the state
require corrective
action?
No additional
assessment
source water
monitoring needed
Ground Water Rule
Tier 3 PN
CCR Other Notice
GWS must resample for
the same indicator
within 24 hours
I
Tier 3 PN
CCR Other Notice
If system also required to do
triggered source water monitoring,
GWS can use assessment monitorinp
to meet those requirements
State requires
assessment
source water
monitoring
START
-------
CORRECTIVE ACTION(S
Triggered source
water monitoring
samples were fecal
indicator-positive
START
Additional source
water monitoring
samples were fecal
indicator-positive
Consult with state within
30 days of the notification
of need to take corrective
Did the state
specify corrective
action?
Yes\
Does corrective
action correct all
significant
deficiencies?
Does corrective action
provide an alternative
source?
Does corrective action
include eliminate
contamination?
Does corrective action
include 4-loe treatment?
Tier 2 PN
CCR Other Notice
Ground Water Rule
GWS must be in
compliance with
corrective action plan
and schedule
Yes
Is the corrective
action complete
within 120 days of
notification of
need to take
corrective action?
Provide written notice
to state within 30 days
and/or state conducts
site visit
Complete corrective
action on schedule
No
TierZPN
CCR Other Notice
Goto
Compliance
Monitoring
Corrective action
is complete
-------
COMPLIANCE MONITORING
START
TierZPN
CCR Other Notice
Is the grab
sample above
the state
minimum
residual?
Yes
The GWS must
take grab
samples every 4
hours until
concentration is
restored to the
required state
level
Ground Water Rule
The system must take
daily grab samples at
the state-approved
location during the
hour of peak flow or
another state-approved
time.
Does the GWS
monitor
continuously
for residual?
Did the GWS monitor
the disinfectant
concentration
continuously, recordin-
the lowest daily value?
Does the GWS
serve fewer
than 3,300
people?
Does GWS
chemically
disinfect?
Is GWS required
to conduct or
choosing to
conduct
Compliance
Monitoring?
Does the GWS
use membrane
filtration?
The GWS must
meet state
requirements
for membrane
filtration.
The GWS must meet
state requirements
for alternative
treatment
Does the system want
to discontinue
treatment?
Yes No
equipment fail?
Yes
Grab sample every 4
hours and fix equipment
within 14 days
Did the system
maintain the
state-approved
minimum
residual?
Restore the state
approved
minimum residual
within four hours
Wo,
Tier 2 PN
CCR Other Notice
Does the state
approve?
Yes
Goto
Triggered
Source Water
Monitoring
-------
Appendix E
Example Forms, Letters and
Checklists
-------
This Page Intentionally Left Blank
-------
Example System Notification Letter
GWR Implementation Guidance E-3 January 2009
-------
This Page Intentionally Left Blank
GWR Implementation Guidance E-4 January 2009
-------
State Letterhead
John Smith, Supt.
Town Water System, PWSID XXXXXXX
Town, ST 12345
RE: Ground Water Rule
Dear Mr. Smith:
This letter is to notify you that your public water system (PWS) will be affected by the Ground Water
Rule (GWR). The GWR applies to all PWSs that use ground water as their source of water and do not
combine their ground water with surface water prior to treatment. The requirements of the GWR will take
effect December 1, 2009. You are receiving this letter because our data show your system is a PWS that
uses ground water.
Our records show that you do not treat your ground water source before the water is delivered to your
customers. Our records also show that your system is a community water system serving 750 people.
Please let us know if this information is not accurate and our records need to be updated.
Based on these characteristics of your water system, the GWR will affect you in the following ways:
• If your monthly routine bacteriological sample is total coliform-positive, you must collect at least
one sample from each ground water source in use at the time the total coliform-positive sample
was collected. This follow-up sample, referred to as a triggered source water sample, must be
tested for a state-approved fecal indicator. For our state, the fecal indicator that has been
approved is E. coll.
• If your triggered source water sample tests positive for E. coll, you must collect five additional
samples from the source that tested positive and have them analyzed for E. coll.
• Since your system serves fewer than 1,000 people, you may use the triggered source water
sample collected from a ground water source (as described above) to meet both the requirements
of the GWR and part of the requirements for repeat sampling under the Total Coliform Rule
(TCR) when you have a coliform positive-sample in the distribution system.
• In the future, your system will be receiving a sanitary survey by the state every 3 years instead of
every 5 years.
• If your system has an E. coll positive triggered source water sample or if a significant deficiency
is identified at your system and not addressed, you will be required to make special notice to the
public that your source water tested E. coll positive or that an uncorrected significant deficiency
exists at your system.
A Quick Reference Guide and Factsheets on the GWR are enclosed. The Quick Reference Guide provides
more information on this regulation, and the Factsheets explain the monitoring and corrective actions in
more detail. In addition to these materials, please refer to additional guidance and the state regulations
GWR Implementation Guidance E-5 January 2009
-------
addressing the GWR requirements on the state Web site at www.xxxxx.xx.gov. We will be notifying you
of upcoming training opportunities within the next month.
Please contact Ann Smith at this office at (555) 555-1234 if you have any questions about this letter or the
GWR and its effect on your system. We appreciate your attention to this request.
Sincerely,
Enclosures: GWR Quick Reference Guide, GWR Factsheets, [list other enclosures]
GWR Implementation Guidance E-6 January 2009
-------
Example State Correspondence and Form
for GWSs to Notify State if they Provide
4-log Treatment of Viruses
GWR Implementation Guidance E-7 January 2009
-------
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GWR Implementation Guidance E-8 January 2009
-------
State Letterhead
Steven Smith, Director
Aquifer Water Company, PWSID XXXXXXX
Anywhere, USA
RE: Ground water treatment notification
Dear Mr. Smith:
The Ground Water Rule was published on November 8, 2006, to provide increased protection against
pathogens in public water systems that use ground water sources. One requirement of the rule is that
public water systems using ground water as their source must notify the state if they are currently
providing 4-log treatment of viruses. This treatment can be achieved using inactivation (disinfection),
removal (filtration), or a combination of inactivation and removal that has been approved by the state. If
you are one of these systems, you are required to notify us by December 1, 2009.
We have included a form with this letter to help you comply with this requirement. If you have more than
one ground water source, make copies of the form before filling it out and submit one completed copy for
each source. Please complete a copy of the form for each ground water source your utility uses.
An explanation of what constitutes 4-log treatment of viruses is provided on the form. If you are not sure
how to determine how much virus treatment your system has, call us at (555) 555-1234 and we will help
you make that determination. If you understand how to make the determination but do not have the
necessary information, check the box that says "We do not know if our ground water system provides 4-
log treatment of viruses." A representative from our office will call you and advise you how to proceed.
Completed forms should be mailed to us at the address provided on the form. We appreciate your prompt
attention and reply.
Sincerely,
Your Regulator
GWR Implementation Guidance E-9 January 2009
-------
PWSID Number:
System Name:
Contact Person and Phone Number:
Does Your System Provide 4-log Treatment of Viruses?
If your system disinfects with gaseous or liquid chlorine, use the table below to determine the CT that is provided for your
ground water. The CT required will depend on your ground water source's temperature and the free chlorine residual
concentration in your water at the first user. "CT" is an abbreviation for chlorine Concentration multiplied by Time.
To calculate your system's CT, multiply the free chlorine residual (in mg/L) at your first user's service connection by the
shortest amount of time (in minutes) water comes into contact with the chlorine.
1. System's free chlorine residual (in mg/L) at first user's service connection:
X
2. Shortest amount of time (in minutes) water is coming into contact with the chlorine:
3. Multiply number and enter result: Min-mg/L (Total CT)
4. System's ground water source's coldest water temperature:
In Degrees C
On Line A in the table below circle the value that most closely relates to the temperature recorded on line 4 above.
On Line B in the table circle the 4-log inactivation value that is associated with the temperature you circled on line A.
Compare your CT value from Line 3 above with the value you circled in Line B of the table below. If your CT is a
number larger than the number you circled in Line B, then your system probably provides at least 4-log treatment of
viruses.
CT Values for Inactivation of Viruses by Free Chlorine, pH 6.0-9.0
A.
R
Degrees C
4-los
Inactivation
1
11 6
2
107
3
98
4
8 9
5
80
6
76
7
79
8
68
9
64
10
60
11
S6
12
S 9
13
48
14
44
15
40
16
3 8
17
36
18
34
19
39
20
3 0
CT values provided in the tables are modified by linear interpolation between 5°C increments.
If your system uses a different kind of disinfection (e.g., UV, ozone, chloramines) and/or filters its ground water, call
Susan Jones at the Green County Health Department at (555) 555-1234. She will work with you to determine how many
logs of virus treatment your system provides.
Check the line below that applies to your ground water system:
Our ground water system probably does not provide 4-log treatment of viruses
Our ground water system probably provides 4-log treatment of viruses
We do not know if our ground water system provides 4-log treatment of viruses
GWR Implementation Guidance
E-10
January 2009
-------
The following is an example calculation:
1. System's free chlorine residual (in mg/L) at first user's service connection: 0.5 mg/L X
2. Shortest amount of time (in minutes) water is coming into contact with the chlorine: 10 minutes =
3. Multiply number and enter result: (0.5 X 10) = 5
4. System's ground water source's coldest water temperature: 10
On Line A in the table below circle the value that most closely relates
Min-mg/L (Total CT)
In Degrees C
to the temperature recorded on line 4 above.
On Line B in the table circle the 4-log inactivation value that is associated with the temperature you circled on line A.
Compare your CT value from Line 3 above with the value you circled in Line B of the table below. If your CT is a
number larger than the number you circled in Line B then your system probably provides at least 4-log treatment of
viruses.
This system does not achieve 4-log inactivation of viruses because
the value circled on Line B (CT for 10°C = 6).
the value from Line 3 (CT = 5) is smaller than
CT Values for Inactivation of Viruses by Free Chlorine, pH 6.0-9.0
A. Degrees C 1 2 3456789 10
B. 4-log 11.6 10.7 9.8 8.9 8.0 7.6 7.2 6.8 6.4 6.C)
Inactivation ^— "^
11 12 13 14 15 16 17 18 19 20
5.6 5.2 4.8 4.4 4.0 3.8 3.6 3.4 3.2 3.0
CT values provided in the tables are modified by linear interpolation between 5°C increments.
Please complete this form and mail it to
Susan Jones
Drinking Water Agency
123 Main Street
Anywhere, USA
Note: The CT values provided in this example address water with pH values between 6 and 9. Section 4.4.7.1
provides additional CT values for water with a pH of 10.
GWR Implementation Guidance
E-ll
January 2009
-------
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GWR Implementation Guidance E-12 January 2009
-------
Example Significant Deficiency
Notification Letter
GWR Implementation Guidance E-13 January 2009
-------
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GWR Implementation Guidance E-14 January 2009
-------
State Letterhead
July 21, 2011
James King, Supervisor
and Townsville Town Board
P.O. Box 123
Townsville, ST 12345
RE: Townsville Water District - PWS No. ST1234567
Dear Supervisor King and Town Board Members:
A sanitary survey of the Townsville Water District was conducted on July 17, 2011.1 was accompanied
on the survey by Water Operator Mr. Alex Green, and was also provided information by Mrs. Jenkins.
Their assistance is greatly appreciated. Presented here is a brief description of the system, followed by a
summary of my findings from the survey. Action required by the Water District is explained below.
Water System Description: The Townsville Water District serves the central area of the town. The system
has 350 service connections and serves an estimated population of 810 people. The only operational
source at this time is Well #1, located in the town park. The well has two pumps, each capable of 100
gpm; the well is approved for a daily withdrawal of 150 gpm (216,000 gpd). Chlorine gas (for
disinfection) and soda ash (for corrosion control) are added in the treatment building situated adjacent to
the well. Most of the distribution system is PVC pipe installed in recent years. One steel storage tank
holding 380,000 gallons is located at the north end of the district.
Operation and Maintenance: General operation and maintenance under the direction of Mr. Green has
been very good. The system is in compliance with all monitoring and reporting requirements. Lead and
copper levels in the system have been acceptable since the soda ash injection was installed.
System Deficiencies: Deficiencies found during the survey are noted below. The significant deficiencies
must be addressed immediately. Townsville Water District should contact our office within 20 days of
receiving this letter to notify us that these significant deficiencies have been addressed. Deadlines for
addressing the other deficiencies are provided below.
• Significant Deficiency: The chlorine gas canisters are not secured (chained) in the treatment
chamber. They must be chained and secured.
• Significant Deficiency: The treatment plant that houses the chlorine gas and soda ash is not
locked. A lock must be installed so the public cannot enter the treatment plant.
• Significant Deficiency: Full chlorine gas canisters are stored outside the treatment building in an
area that is accessible to the public. The full canisters must be stored in a secure chamber with
proper sensors, ventilation, and alarm.
• Deficiency: The source water meter is not working. It should be repaired or replaced within 6
months.
GWR Implementation Guidance E-15 January 2009
-------
• Deficiency: The cage on the ladder of the storage tank is broken. It should be repaired within 6
months.
• Deficiency: The storage tank has not been drained and cleaned in over 15 years. Customer taste
and odor complaints, as well as a significant drop in the chlorine residual in water leaving the
storage tank, suggest there may be silt in the tank that needs to be removed. The tank should be
cleaned before the next sanitary survey (in three years).
Enclosed are forms that summarize the information and document the findings described in this report. If
you have any questions about this report, or your water system in general, please contact our office.
Sincerely,
Jill Smith, P.E.
Senior Sanitary Engineer
Enclosures
cc: Mr. Alex Green
Mrs. Jenkins
State Health Department Central Office
GWR Implementation Guidance E-16 January 2009
-------
Example Monthly Operations Report for
GWSs Serving More Than 3,300 People
GWR Implementation Guidance E-17 January 2009
-------
This Page Intentionally Left Blank
GWR Implementation Guidance E-18 January 2009
-------
Public Water System Name
Public Water System ID
Date
1
2
o
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
Time
Source(s) in
use
Lowest free chlorine
residual at entry
point to distribution
system (mg/1)
Reporting Month/Year
County
For systems using
chlorine dioxide,
lowest chlorine
dioxide residual at
entry point (mg/L)
Town, Village, or City
Additional or Other
Treatment
(define here)
GWR Implementation Guidance
E-19
January 2009
-------
Public Water System Name
Reporting Month/Year
Public Water System ID
County
Town, Village, or City
Date
Time
Source(s) in
use
Lowest free chlorine
residual at entry
point to distribution
system (mg/1)
For systems using
chlorine dioxide,
lowest chlorine
dioxide residual at
entry point (mg/L)
Additional or Other
Treatment
(define here)
31
Did continuous monitoring equipment fail at any
time this reporting month?
If so, were grab samples collected every four hours
until the continuous monitoring equipment was
returned to service?
Attach grab sample results and submit with this form.
Date continuous monitoring equipment failed.
Date it was returned to service
Reported by:
Title:
Operator Certification Number:
Signature:
Date:
Operator Grade Level:
GWR Implementation Guidance
E-20
January 2009
-------
Example Monthly Operation Report for
GWSs Serving 3,300 People or Fewer
GWR Implementation Guidance E-21 January 2009
-------
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GWR Implementation Guidance E-22 January 2009
-------
Public Water System Name
Public Water System ID
Date
1
2
o
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
Time
Source(s) in
use
Free chlorine
residual at entry
point to distribution
system (mg/1)
Reporting Month/Year
County
For systems using
chlorine dioxide,
lowest chlorine
dioxide residual at
entry point (mg/L)
Town, Village, or City
Additional or Other
Treatment
(define here)
GWR Implementation Guidance
E-23
January 2009
-------
Public Water System Name
Public Water System ID
Date
31
Time
Source(s) in
use
Was the chlorine residual ever less tha
Free chlorine
residual at entry
point to distribution
system (mg/1)
Reporting Month/Year
County
For systems using
chlorine dioxide,
lowest chlorine
dioxide residual at
entry point (mg/L)
n ms/L?
If so, did you monitor every four hours un
Attach those results and submit them with
Reported by:
Signature:
Town, Village, or City
Additional or Other
Treatment
(define here)
til it returned to ms/L?
this form.
Title:
Date:
Operator Certification Number:
Operator Grade Level:
GWR Implementation Guidance
E-24
January 2009
-------
Example Summary Monthly Report for a
GWS Disinfecting with UV Radiation
GWR Implementation Guidance E-25 January 2009
-------
This Page Intentionally Left Blank
GWR Implementation Guidance E-26 January 2009
-------
Reporting Period:
System/Treatment Plant:
PWSID/
Signature of Principal Executive:
Officer or Authorized Agent:
Date:
Date:"
Unit Number
Total
Total Run Time
(hrs)
Total Production
(MG)
Off-Specification Data
Number of Off-
Specification Events
Total Off-Specification
Volume
(MG)
Compliance Certification
Total Volume of Off-Specification Water Produced (MG) [A]
Total Volume of Water Produced (MG) [B]
Total Off-Specification Water Produced (% of Volume of Water Produced) ([A]/[B]*100)
Facility Meets Off-Specification Requirement (< 5% of Volume on a Monthly Basis) (Y/N)
Of the sensors, have been checked for calibration and were within the acceptable range of tolerance.
The Following Reactors had a Sensor Correction Factor
Reactor Number
Sensor Correction Factor
GWR Implementation Guidance
E-27
January 2009
-------
This Page Intentionally Left Blank
GWR Implementation Guidance E-28 January 2009
-------
Example Daily Operating Log for
Calculated Dose Approach
GWR Implementation Guidance E-29 January 2009
-------
This Page Intentionally Left Blank
GWR Implementation Guidance E-30 January 2009
-------
Reporting Period:
System/Treatment Plant:
PWSID:
UV Reactor:
Process Train:
Operator Signature:
Date:
Operational Data
Day
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
Min
Max
Run Time (hrs)
Total Production
(MG)
Maximum Validated Flow Rate:
Min mum Validated UVT:
Target Log Inactivation:
Target Pathogen:
Dose Required (Dreq'd):
Validation Factor (VF):
Dose Requirements
Dreq'd1
(mJ/cm2)
[A]
Calculated Dose
Validated Dose
VF = Validation factor
VFxCF
3e that is calculated by validated PLC algorithm
CF = UV intensity sensor correction factor.
The CF is only applied if sensors do not meet recommended criteria
(NOTE - a CF w II not be needed in most cases)
Data at Daily Minimum Validated Dose
Sensor Correction
Factor2
[B]
Calculated Dose3
(mJ/cm2)
[C]
Daily Minimum
Validated Dose4
([C]/[VF]/[B])
(mJ/cm2)
[D]
1 Dret)'d is the dose required for the target log inactivation without a VF or Sensor CF applied and can be found in the UVDGM Table 1 .4.
2 Sensor CF will be 1 is no CF is used
3 Calculated dose is calculated using the dose algorithm in the PLC.
4 The Validated Dose is the dose based on the calculated dose that is normalized on the Validation Factor and Correction Factor
5 Off-specification worksheet (Figure 6.5) should be used to ca culate daily off- specification volume. If UVT, flowrate, and/or Validated Dose off-specification occur simultane
Flow Rate
(MGD)
Dusly, the off-specification t
UVT
(%)
me should only be counted
UV Dose Adequacy
Determination
Validated Dose >
Dreq'd
([D]>[A])
(Y/N)
mm
Total Off-
Specification
Total Off-
Specification Volume
(MG)
^H
i
GWR Implementation Guidance
E-31
January 2009
-------
This Page Intentionally Left Blank
GWR Implementation Guidance E-32 January 2009
-------
Example Daily Operating Log for UV
Intensity Setpoint Approach
GWR Implementation Guidance E-33 January 2009
-------
This Page Intentionally Left Blank
GWR Implementation Guidance E-34 January 2009
-------
Reporting Period:
System/Treatment Plant:
PWSID:
UV Reactor:
Process Train:
Operator Signature:
Date:
Operational Data
Day
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
Min
Max
Run
Time
(hrs)
Total
Production
(MG)
Flow Rate
Min (mgd)
Ave (mgd)
Max (mgd)
Maximum Validated Flow Rate:
Minimum Validated UVT:
Target Log Inactivation:
Target Pathogen:
Intensity Setpoint:
Intensity Requirements
Intensity Setpoint
(W/m2)
[A]
Sensor Correction
Factor1
[B]
Adjusted Intensity
Setpoint
(W/m2)
([A] * [B])
[C]
Daily Minimum Intensity
Daily Minimum
Intensity
(W/m2)
[D]
Minimum Daily
Intensity >
Adjusted Intensity
Setpoint
([D] > [C])
(Y/N)
^m
Total Flow Off-
Specification
Total Flow Off-
Specification3
(MG)
^m
1 Sensor CF will be 1 is no CF is used.
2 UVT measurements are not required but could be useful in addressing operational issues.
3 Off-specification worksheet (Figure 6.5) should be used to calculate daily off-specification volume. If UV intensity or flowrate off-specification occur simultaneously, the off-specificat on time should only be
counted once
GWR Implementation Guidance
E-35
January 2009
-------
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GWR Implementation Guidance E-36 January 2009
-------
Example Extension Request Checklist
GWR Implementation Guidance E-37 January 2009
-------
This Page Intentionally Left Blank
GWR Implementation Guidance E-38 January 2009
-------
{Regional Administrator}
Regional Administrator
U.S. EPA Region {Region}
{Street Address}
fCitv. State. Zin?
RE: Request/approval for an Extension Agreement
DearlBegional Administrator}.:
The State of IStatel is requesting an extension to the date that final primacy revisions are due to EPA for
the Ground Water Rule (GWR) until (insert date - no later than November 8. 2010} as allowed by 40 CFR
142. 12, and would appreciate your approval. Staff of the {State Department/Agency} have conferred with your
staff and have agreed to the requirements listed below for this extension. This extension is being requested because
the State of
D Is planning to group two or more program revisions into a single legislative or regulatory action.
D Currently lacks the legislative or regulatory authority to enforce the new or revised requirements.
D Currently lacks adequate program capability to implement the new or revised requirements.
{State Department/Agency} will be working with EPA to implement the GWR within the scope of its
current authority and capability, as outlined in the six areas identified in 40 CFR 142. 12(b)(3)(i-vi):
i) Informing public water systems (PWSs) of the new EPA (and upcoming state) requirements and the fact that
EPA will be overseeing implementation of the requirements until EPA approves the state revision.
State EPA
_ _ Provide copies of regulation and guidance to other state agencies, PWSs, technical assistance
providers, associations, or other interested parties.
_ _ Educate and coordinate with state staff, PWSs, the public, and other water associations about the
requirements of this regulation.
_ _ Notify affected systems of their requirements under the GWR.
_ _ Other:
ii) Collecting, storing, and managing laboratory results, public notices, and other compliance and operation data
required by the EPA regulations.
State EPA
_ _ Devise a tracking system for PWS reporting pursuant to the GWR.
_ _ Keep PWSs informed of reporting requirements during development and implementation.
_ _ Report GWR violation and enforcement information to SDWIS as required.
_ _ Other:
iii) Assisting EPA in the development of the technical aspects of the enforcement actions and conducting informal
follow-up and violations (telephones calls, letters, etc.).
State EPA
_ _ Issue notices of violation (NOVs) for treatment technique and monitoring/ reporting violations of
the GWR.
_ _ Provide immediate technical assistance to PWSs with treatment technique, MCL and/or
monitoring/reporting violations to try to bring them into compliance.
GWR Implementation Guidance E-39 January 2009
-------
Refer all violations to EPA for enforcement if they have not been resolved within 60 days of the
incident that triggered the violation. Provide information as requested to conduct and complete any
enforcement action referred to EPA.
Other:
iv) Providing technical assistance to PWSs.
State EPA
Conduct training within the state for PWSs on GWR requirements.
Provide technical assistance through written and/or verbal correspondence with PWSs.
Provide on-site technical assistance to PWSs as requested and needed to ensure compliance with
this regulation.
Coordinate with other technical assistance providers and organizations to provide accurate
information and aid in a timely manner.
Other:
v) Providing EPA with all information prescribed by the State Reporting Requirements in 40 CFR 142.15.
State EPA
Report any violations incurred by PWSs for this regulation each quarter.
Report any enforcement actions taken against PWSs for this regulation each quarter.
Report any variances or exemptions granted for PWSs for this regulation each quarter.
Other:
vi) For states whose request for an extension is based on a current lack of program capability to implement the new
or revised requirements, taking the following steps to remedy the capability deficiency.
State EPA
Acquire additional resources to implement these regulations (list of specific steps being taken
attached as {List A}).
Provide quarterly updates describing the status of acquiring additional resources.
Other:
I affirm that the {State Department/Agency} will implement provisions of the GWR as outlined above.
{Agency Director or Secretary} Date
{Name of State Agency?
I have consulted with my staff and approve your extension for the aforementioned regulation. I affirm that EPA
Region {Region} will implement provisions of the GWR as outlined above.
Regional Administrator Date
EPA Region.
This Extension Agreement will take effect upon the date of the last signature.
GWR Implementation Guidance E-40 January 2009
-------
State Primacy Revision Checklist
GWR Implementation Guidance E-41 January 2009
-------
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GWR Implementation Guidance E-42 January 2009
-------
Required Program Elements
§142.10
§142.10(a)
§142.10(b)(l)
§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)
§142.10(b)(6)(iii)
§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)
§142.10(g)
Primary Enforcement
Definition of Public Water System*
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
Right of Entry
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 (if
applicable)**
Emergency Plans
Administrative Penalty Authority*
Electronic Reporting Regulations***
Revision to State
Program
EPA
Findings/Comments
* New requirement from the 1996 Amendments. Regulations published in the April 28, 1998 Federal Register.
** New regulations published in the August 14, 1998 Federal Register.
*** New regulations published in the October 13, 2005 Federal Register.
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January 2009
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Example of Attorney General's Statement
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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)1 [or tribal ordinances of (4)1 to carry out
the program set forth in the "Program Description" submitted by the (51 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.
I. 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.
II. 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 the ability of £3} 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 (5X thus
the program set forth in the "Program Description" is unaffected by the provisions of [State/Commonwealth of (3)1
[audit privilege and/or immunity law].
III. 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 the ability of £3} to meet enforcement and information gathering requirements under the Safe
Drinking Water Act because [State/Commonwealth of (3)1 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) State Attorney General or attorney for the primacy agency if it has independent legal counsel.
(2) 40 CFR 142.1 l(a)(6)(i) for initial primacy applications or 40 CFR 142.12(c)(l)(iii) for primacy program
revision applications.
(3) Name of state or commonwealth.
(4) Name of tribe.
(5) Name of primacy agency.
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