United States Office of Water EPA 815-R-99-021
Environmental Protection Agency 4606 April 2000
&EPA Monitoring Waivers
under The Lead and
Copper Rule Minor
Revisions for Systems
Serving 3,300 or Fewer
People
Printed on Recycled Paper
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TABLE OF CONTENTS
What is the Purpose of this Guidance Document? 1
How is this Guidance Document Organized? 1
What Special Terms Does A System or State Need to Know to Understand this Guidance
Document? 2
What Is A Monitoring Waiver? 5
How Does A System Apply for A Monitoring Waiver? 6
How Will the State Evaluate A System's Waiver Application? 11
What Are A System's Monitoring and Reporting Requirements If It Receives A Waiver? .... 12
How Does A System Renew or Modify An Existing Waiver? 12
What Must A System Do If The System Has Changed? 13
What Must A System Do If Its Waiver Has Been Revoked? 14
What Key Points Should A System Remember? 16
APPENDIX A
Monitoring Waiver Application Forms A-l
APPENDIX B
Lead and Copper Rule Minor Revisions
that Relate to Monitoring Waiver Requirements B-l
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LIST OF TABLES
Table 1
Types of Monitoring Waivers 6
Table 2
Materials Criteria for a Lead Waiver 7
Table 3
Materials Criteria for a Copper Waiver
Table 4
Standard Number of Sites
Table 5
Monitoring Criteria 9
Table 6
Reduced Number of Sites 12
Table 7
Monitoring Requirements If A System No Longer Meets the Monitoring Criteria 15
11
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Disclaimer
The statements in this document are intended solely as guidance. This
document is not intended, nor can it be relied upon, to create any rights
enforceable by any party in litigation with the United States of America. EPA
may decide to follow the guidance provided in this document, or to act at
variance with the guidance based on its analysis of the specific facts
presented. This guidance may be revised without public notice to reflect
changes in EPA's approach to implementing the authorities discussed in the
Guidance or to clarify and update text.
in
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Monitoring Waivers under
the Lead and Copper Rule Minor Rule Revisions
for Systems Serving 3,300 or Fewer People
What is the Purpose of this Guidance
Document?
On June 7, 1991, the Environmental
Protection Agency or EPA published in the
Federal Register, a regulation to control lead
and copper in drinking water. This regulation
is known as the Lead and Copper Rule. EPA
also refers to this rule as the LCR or 1991
Rule. On January 12, 2000, EPA published
minor revisions to the 1991 Rule. The
purpose of the Lead and Copper Rule Minor
Revisions (LCRMR) is to eliminate
unnecessary requirements, streamline and
reduce reporting burden, and promote
consistent national implementation.
This guidance document may apply to owners
and operators of water systems that serve
3,300 or fewer people. The LCRMR include
a new provision that allows States to grant
monitoring waivers if systems have very low
lead and/or copper 90th percentile levels and
meet certain plumbing material restrictions. If
a system receives a waiver, it can collect lead
and/or copper samples once every 9 years.
Under the 1991 Rule, systems were required
to collect these samples at least once every 3
years.
This guidance document provides a detailed
discussion of monitoring waivers to help
systems understand if they might qualify for a
waiver and how to apply for it. However, a
system should first check with the State
before applying for a monitoring waiver.
The State may be unable to grant waivers
until its drinking water regulations include
specific monitoring waiver language.
How is this Guidance Document
Organized?
EPA has tried to anticipate the type of
information that a system will need to better
understand monitoring waivers. To do this,
EPA have structured this guidance document
in a question and answer format. This
document is designed to answer the following
questions:
»* What Special Terms Does A System or
State Need to Know to Understand this
Guidance Document?
»» What Is A Monitoring Waiver?
»» How Do Systems Apply for A
Monitoring Waiver?
»* How Will the State Evaluate A
System's Application to Grant the
Waiver?
»* What Are A System's Monitoring and
Reporting Requirements If It Receives
A Waiver?
»* How Does A System Renew or Modify
An Existing Waiver?
»» What Must A System Do If the System
Has Changed?
»» What Must A System Do If Its Waiver
Has Been Revoked?
»* What Key Points Should A System
Remember?
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This document includes citations in brackets
at the end of some of the sentences (e.g., [See
§141.86(g)] ). Wherever this document
mentions a requirement that the system or the
State must follow, EPA has included, in
brackets, the citation from the federal
regulations that contains the requirement.
EPA also has included two appendices to this
document.
Appendix A contains examples of waiver
application forms that a system can use to
apply for a monitoring waiver and instructions
on how to complete them. EPA has provided
three examples of this form, based on
different types of waivers for which a system
may be eligible. Appendix B contains federal
regulatory language from the LCRMR that
explains the monitoring waiver requirements.
Remember: The State's drinking water regulation may
contain slightly different wording, and may even be
more stringent than the federal regulations. In addition,
the State's regulation may be organized differently than
in the federal regulation contained in Appendix B of this
document. A system should contact the appropriate
State agency for a copy of its regulations.
What Special Terms Does A System or State Need to Know to Understand this
Guidance Document?
Term
Definition
1991 Rule
90th Percentile Value
Action Level
This refers to the Maximum Contaminant Level Goals and National Primary
Drinking Water Regulations for Lead and Copper. This regulation was published
in the Federal Register on June 7, 1991 (56 FR 26460). EPA modified this rule
with technical amendments that were published in the Federal Register on July
15, 1991 (56 FR 32113), June 29, 1992 (57 FR 28786), and June 30, 1994 (59
FR 33860).
The highest concentration of lead or copper in tap water that is exceeded by 10
percent of the sites sampled during a monitoring period. This value is compared
to the lead action level or the copper action level, to determine whether an action
level has been exceeded.
The concentration of lead or copper in tap water which determines whether a
system may be required to install corrosion control treatment, collect water
quality parameter samples, collect lead and copper source water samples, replace
lead service lines, and/or deliver public education about lead. The action level for
lead is 0.015 mg/L. The action level for copper is 1.3 mg/L.
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Term
Definition
Endpoint device
Federal Register
First-draw sample
Flux
Free of copper-
containing materials
Free of lead-
containing materials
Full waiver
In-line device
LCR
LCRMR
Lead free
Lead service line
This term refers to a device typically installed within the last one liter of the water
distribution system of a building. Endpoint devices include kitchen and bar
faucets, lavatory faucets, water dispensers, drinking fountains, water coolers,
glass fillers, residential refrigerator ice makers, supply stops and endpoint control
valves.
This publication is used by the federal government to keep the public informed of
regulations that the government is planning, is proposing, or has finalized. A rule
is considered officially promulgated or finalized on the day that it is published in
the Federal Register.
This refers to a one-liter sample of tap water that has been standing motionless in
plumbing pipes at least 6 hours and is collected without flushing the tap.
A substance applied during soldering to facilitate the flow of solder. Flux often
contains lead.
This means that the water system's distribution system, service lines, and all
drinking water supply plumbing meet the copper materials criteria. (See the
definition for Materials Criteria below.)
This means that the water system's distribution system, service lines, and all
drinking water supply plumbing meet the lead materials criteria. (See the
definition for Materials Criteria below.)
This waiver allows a small system to collect both lead and copper tap samples at
a frequency of once every 9 years at a reduced number of sites. To receive this
waiver a system must meet the monitoring and materials criteria for both lead and
copper [See §§141.86(g)(l) and (2)].
This refers to any device measuring or controlling the flow of water, that is
installed on a service line or building distribution system downstream of the
water main and upstream from endpoint devices.
An acronym for the Lead and Copper Rule. Also referred to in this document as
the 1991 Rule.
An acronym for the Lead and Copper Rule Minor Revisions that were published
in the Federal Register on January 12, 2000.
This term applies to any solders or flux that contain no more than 0.2 percent
lead, pipes, and pipe fittings that contain no more than 8.0 percent lead.
Means a service line made of lead which connects the water main to the building
inlet. It also includes any lead pigtail, gooseneck, or other fitting which is
connected to the lead service line.
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Term
Definition
Materials Criteria
Monitoring Criteria
Monitoring Waiver
National Sanitation
Foundation
International (NSF)
NSF Standard 61,
Section 9
Partial Waiver
Pre-existing Waiver
These criteria specify the types of materials that a small system cannot have in its
distribution system, service lines, and drinking water supply plumbing, if it is to
qualify for a lead and/or copper monitoring waiver [See §141.86(g)(l)].
To meet the materials criteria for lead, these plumbing materials must contain no
plastic pipes which contain lead plasticizers, or plastic service lines which contain
lead plasticizers; and must be free of lead service lines, lead pipes, lead soldered
pipe joints, and leaded brass or bronze alloy fittings and fixtures, unless the
fittings and fixtures meet the specifications of any standard established by SDWA
section 1417(e) [See §141.86(g)(l)(i)].
To meet the materials criteria for copper, these plumbing materials cannot contain
any copper pipes or copper service lines [See §141.86(g)(l)(ii)].
This term applies to the lead and/or copper 90th percentile levels that a small
system must have to qualify for a monitoring waiver under the LCRMR. To
qualify for a full waiver, or a lead waiver, the system's 90th percentile lead level
cannot be greater than 0.005 mg/L. To qualify for a full waiver, or a copper
waiver, the system's 90th percentile copper level cannot be higher than 0.65
mg/L [See §141.86(g)(2)].
This is a new provision under the LCRMR. Systems that serve 3,300 or fewer
people that meet specific materials and monitoring criteria can receive a waiver
from the State. This waiver would allow systems to collect lead and/or copper
once every 9 years at a reduced number of sites [See §141.86(g)].
NSF is an organization that is focused on public health, safety, and protection of
the environment. They have established standards based on health effects for
lead leaching for faucets and other drinking water plumbing components.
This standard meets the requirements of SDWA section 1417(e) and limits the
amount of lead that is allowed to be released (or leached) into drinking water
from endpoint devices (such as faucets) used to dispense drinking water. NSF,
Underwriters Laboratories Inc. (UL), and other organizations test products such
as faucets to determine whether they meet this standard. Those products that
meet this standard carry a certification mark.
This type of waiver may be granted if a small system meets the materials and
monitoring criteria for either lead or copper, but not both. It allows the system to
monitor once every 9 years at a reduced number of sites for the contaminant for
which it receives the waiver. The State may elect not to grant partial waivers [See
§141.86(g)].
A monitoring waiver that was granted for lead and copper tap monitoring prior to
April 11, 2000.
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Term
Definition
Safe Drinking Water
Act (SOWA)
Small water system
Solder
State
Waiver Revocation
Water distribution
system
Refers to the legislative act most recently amended by Congress on August 6,
1996, that grants EPA and the States the authority to implement the drinking
water regulations. The SDWA was signed into law on December 19, 1974, and
was first amended on June 19, 1986.
A water system that serves 3,300 or fewer persons.
A metallic compound used to seal joints in plumbing. Until recently, most solder
contained about 50 percent lead.
Refers to the government agency that enforces compliance with drinking water
regulations and assists systems in understanding and implementing these
regulations. For most systems, this is an organization within the State
government (e.g., Department of Natural Resources, Department of
Environmental Quality, Department of Health). For DC, WY, and Native
American Lands, the contact is often from the respective EPA Regional Office.
The State may decide that a system's waiver is no longer valid. This will occur if
the system no longer meets the materials or monitoring criteria, or for any reasons
specified by the State in writing.
Refers to the piping, devices, and related fittings that are used to carry a system's
drinking water to its users. It includes the treatment plant, distribution system,
water meter, water meter setting equipment, piping and plumbing that conveys
drinking water, and individual fixtures.
What Is A Monitoring Waiver?
A monitoring waiver is a legally recognized
document from the State to the water
system. It allows the system to reduce the
frequency of required monitoring for lead
and/or copper at the tap to once every 9
years, if the system can demonstrate that it
does not have sources of lead and/or copper
contamination.
Why are monitoring waivers granted?
Small systems often have limited resources
(time, dollars, and technical support). EPA
believes that there is no reason to require
small water systems that serve 3,300 or
fewer people to monitor frequently, if they
can demonstrate that sources of lead and/or
copper contamination are not present.
What are the types of Monitoring
Waivers?
Full Waiver. A full waiver is granted if a
system meets the materials and monitoring
criteria for both lead and copper. It allows
the system to monitor once every 9 years for
both contaminants.
Partial Waiver. A partial waiver is granted
if a system demonstrates to the State that it
meets the materials and monitoring criteria
for one, but not both lead and copper. It
allows the system to monitor once at 9-year
intervals for the waivered contaminant. A
State may elect not to grant partial waivers.
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Pre-existing Waiver. This is a waiver that
was granted by the State prior to April 11,
2000.
Is a system eligible for a monitoring
waiver, regardless of where the water
system is located?
No. The system should first check with the
State in which the system is located to see if
the State has the ability to grant monitoring
waivers. It is also up to the State whether it
will grant partial waivers. A State also may
have granted pre-existing waivers prior to
adopting the LCRMR.
How Does A System Apply for A
Monitoring Waiver?
What criteria must a system meet to be
considered for a Monitoring Waiver?
A system must meet both materials and
monitoring criteria to be considered for a
waiver [See §§141.86(g)(l) and (2)]. There
are separate criteria for lead and copper.
The types of monitoring waivers that may
be available to a system are listed in Table
1.
Table 1
Types of Monitoring Waivers
If a system is
applying for a:
Full waiver
Partial waiver
for lead
Partial waiver
for copper
Then the system must
meet the materials and
monitoring criteria for:
both lead and copper
lead only
copper only
Remember: A system should first
check with the State before
applying for a waiver to be sure
that the State can grant waivers.
What are the materials criteria and to
what do they apply?
The materials criteria apply to all plumbing
that is used to carry drinking water to a
system's users as well as the plumbing used
to convey the drinking water inside all of
the residences and buildings that the system
serves. Therefore, to meet the criteria, the
system must be able to identify the
composition of all the materials in its
distribution system, service lines, and
drinking water plumbing [See
§141.86(g)(l)]. The types of plumbing that
the system must evaluate include not only
the pipes, but the solder, flux, fittings, and
faucets [See §141.86(g)(l)].
Remember: A system must be
J
able to verify the drinking water
plumbing in all the buildings that
it serves, not just in those
locations where the system
collects lead and copper tap
samples [See § 141.86(g)(l)].
If a system applies for a lead waiver, the
system must certify and document that these
plumbing materials meet all the lead
material criteria listed in Table 2 [See
§141.86(g)(l)(i)]. These criteria are based
on the definition established under the Safe
Drinking Water Act (SDWA) Amendments
of 1986 and the lead-leaching standard
required under the SDWA Amendments of
1996.
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Table 2
Materials Criteria for a Lead Waiver
No plastic pipes that contain lead
plasticizers,
No plastic service lines that contain
lead plasticizers,
No lead service lines,
No lead pipes that contain over 8%
lead,
No lead pipe fittings that contain over
8% lead,
No lead solder containing over 0.2%
lead,
No lead flux containing over 0.2%
lead, and
No leaded brass or bronze alloy fittings
and fixtures, including faucets, that are
intended by the manufacturer to be
used to dispense drinking water,
unless:
S they contain less than 8% lead, and
S meet the standards and testing
protocols for the leaching of lead
established by qualified third-party
certifiers in the development of
voluntary standards as required in
SDWA section 1417(e). Currently,
EPA recognizes NSF Standard 61,
Section 9, to meet these voluntary
requirements. NSF Standard 61,
Section 9 includes a list of
plumbing fittings and fixtures that
are subject to this requirement.
The year that the plumbing material was
produced is one factor that may help a
system determine whether the system's
drinking water plumbing materials and those
used in the buildings it serves meet the lead
materials criteria. This is due to laws that
were passed to help limit the amount of lead
that can be contained in drinking water
plumbing materials. The following further
describes the laws that limit the use of lead-
containing plumbing devices.
The 1986 amendments to the SDWA require
the use of "lead-free" pipes, solder, and flux
in the installation or repair of any public
water system or any plumbing in other
facilities connected to a public water system.
According to these amendments, solders and
flux are considered "lead-free" when they
contain not more than 0.2 percent lead. (In
the past, solder normally contained about 50
percent lead.) Pipes and fittings are
considered "lead-free" when they contain
not more than 8.0 percent lead. These
requirements went into effect in June 1986.
The law gave State governments until June
1988 to implement and enforce these new
limitations. Thus, any plumbing installed
after June 1988 must contain these "lead-
free" materials. The system should check
with the State to determine when these new
requirements took effect.
The SDWA 1996 Amendments set an even
stricter lead-leaching standard. After
August 6, 1998, only pipes and plumbing
fittings and fixtures, that meet this new lead-
leaching standard are legally allowed to be
imported, manufactured, processed, or sold.
Devices that met the requirements of the
SDWA 1986 Amendments may not meet the
current lead leaching standards set by the
1996 Amendments.
Section 1417(e) of the 1996 SDWA
Amendments also require EPA to work with
third party certifiers to establish voluntary
standards and testing protocols for the
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leaching of lead from new plumbing fittings
and fixtures to be used to dispense drinking
water. The American National Standards
Institute/ National Sanitation Foundation
(ANSI/NSF) Standard 61, Section 9 is
recognized by EPA as a lead-leaching
standard. It limits the amount of lead that
can leach into water from faucets, drinking
fountains, and other endpoint devices.
Products certified against the ANSI/NSF
standard carry a certification mark of the
certifying organization. NSF International
and Underwriters Laboratories (UL) publish
listing books of products that they have
tested and certified against the ANSI/NSF
Standard. Both organizations also maintain
these listings through their Internet sites.
Systems can obtain listing books from NSF
International at 1-800-NSF-MARK, or visit
their website at www.nsf.org. Systems can
also contact UL at 847-272-8800 or visit
their website at www.ul.com.
If a system applies for a copper waiver, it
must certify and document that the water
system (including all plumbing that conveys
drinking water in all residences and
buildings connected to the system) meets all
the criteria in Table 3 [See
Table 3
Materials Criteria for a Copper Waiver
1 No copper pipes, and
1 No copper service lines.
Copper pipes and service lines are easy to
spot from just a visual inspection. A
homeowner should be able to tell the system
whether he/she has copper piping that is
connected to his/her kitchen or bathroom
faucet.
If a system applies for a waiver for lead
and copper, also known as a full waiver, the
system must meet the materials criteria for
both lead and copper, that are listed in
Tables 2 and 3 [See §§141.86(g)(l)(i) and
What are the monitoring criteria that a
system must meet to qualify for a waiver?
To qualify for a full or partial monitoring
waiver the system must also show that it has
very low levels of lead and/or copper at the
tap [See §141.86(g)(2)]. To do this, the
system must have at least one set of samples
that:
1 . Has been collected at the standard number
of sites listed in Table 4 [See
§141.86(g)(2)].
Table 4
Standard Number of Sites
If the system serves.
100 or fewer people
101 to 5 00 people
501 to 3, 300 people
Then Collect
Samples from:
5 sites
10 sites
20 sites
2. Was collected after the system determined
that it met the materials criteria for lead
and/or copper, depending on the type of
waiver [See § 141.86(g)(2)].
3. Meets the lead and/or copper monitoring
criteria in Table 5 [See §141.86(g)(2)].
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Table 5
Monitoring Criteria
If a system is
applying for a:
Full waiver or
lead waiver
Full waiver or
copper waiver
then the system's 90th
percentile level must be:
less than or equal to
0.005 mg/L of lead [See
§141.86(g)(2)(i)]
less than or equal to
0.65 mg/L of copper
[See §141.86(g)(2)(ii)]
Remember: If a system applies
for a full waiver it must meet the
materials and monitoring criteria
for both lead and copper [See
§§141.86(g)(l)and(2)].
What documentation does a system need
to submit to the State to be considered for
a Monitoring Waiver?
The system's monitoring waiver application
must include the following:
Monitoring waiver application form that
contains a materials certification,
Monitoring results, and
Supporting documentation [See
§§141.86(g)(l)and(2)].
Each of these is discussed in more detail
below.
Monitoring Waiver Application Form
Depending on the State's regulations, a
system may apply for a full monitoring
waiver, a lead monitoring waiver, or a
copper monitoring waiver. Appendix A
contains separate application forms for these
three types of waivers. They are:
Monitoring waiver application form for
lead and copper,
Monitoring waiver application form for
lead only, and
Monitoring waiver application form for
copper only.
If a system would like to apply for a waiver,
it must submit the appropriate
documentation [See §§141.86(g)(l) and
(2)]. The system can use one of the waiver
application forms in Appendix A, based on
the type of waiver for which the system is
applying, or use the form provided by the
State.
Each of the monitoring waiver application
forms contain a materials certification. By
signing this form, the system is certifying
that it has performed the needed steps to
verify that its distribution system, service
lines, and the plumbing used to convey the
drinking water inside the residences and
buildings that it serves meets the materials
criteria for lead, copper, or both. The
monitoring waiver application form is a
legal document. The form should only be
signed and submitted to the State if the
system is certain that it can certify and
document that it meets the materials criteria.
Monitoring Results
The system must provide to the State, a
copy of the monitoring results that
demonstrate that the system meets the
monitoring criteria [See §141.90(a)(4)(i)].
The system should provide the results of all
samples collected and not just the 90th
percentile value.
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Supporting Documentation
A system is required to provide supporting
documentation to the State to show that the
system meets the materials criteria for lead
and/or copper [See §141.86(g)(l)]. This
documentation could include:
Construction permit that lists the types
of materials that are used in the
construction of the water system;
Signed statements from the system's
users that their drinking water plumbing
is free of lead- and/or copper-containing
materials;
Plumbing codes;
Plumbing permits;
Distribution maps and drawings;
Inspection and maintenance records;
Capital improvement and master plans;
Operation and maintenance manuals;
Interviews with senior personnel and
building inspectors; and
Community surveys.
Is a system eligible for a waiver if the
plumbing in the system has lead
plasticizers?
No. A system is not eligible for a
monitoring waiver if any of its distribution
or service lines or any drinking water supply
plumbing, including that used inside the
buildings that it serves, contain plastic pipes
which contain lead plasticizers, or plastic
service lines which contain lead plasticizers.
Is a system eligible for a waiver if it has
leaded brass or bronze alloy fittings or
fixtures?
If a water system has leaded brass or bronze
alloy fittings and fixtures, the system may
be eligible for a monitoring waiver if it
meets all the following criteria:
1. All leaded brass or bronze alloy
fittings and fixtures comply with
ANSI/NSF Standard 61, section 9.
This standard covers endpoint
devices. The NSF Standard defines
endpoint devices as mechanical
plumbing devices, components, and
materials which are typically installed
within the last liter of the distribution
system and are intended by the
manufacturer to dispense drinking
water. The devices include kitchen
and bar faucets, lavatory faucets,
water dispensers, drinking fountains,
water coolers, glass fillers, residential
refrigerator ice makers, supply stops
and endpoint control valves.
2. Meets the "lead free" requirements
that solders and flux may not contain
more than 0.2 percent lead, and pipes,
pipe fittings may not contain more
than 8.0 percent lead.
3. Meets all of the materials criteria in
Table 2 and monitoring criteria for
lead in Table 5.
Is a system eligible for a waiver if it has
in-line devices, such as valves or meters,
that contain lead or copper?
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April 2000
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Yes. A water system with in-line devices
that contain lead or copper may apply for a
waiver, and may be granted a waiver if it
meets the other requirements for materials
and monitoring results [See §141.86(g)(l)].
Is a system eligible for a waiver if it
cannot identify all drinking water
plumbing materials used in all buildings
connected to the water system?
No. A system must identify all plumbing
materials used in all buildings that are
connected to the system, in order to be
eligible for a waiver.
Is a system still eligible for the waiver if it
adds a new source or changes treatment?
Maybe. It is up to the State to decide this.
A system must notify the State in writing
within 60 days or earlier (if required by te
State) after adding a new source or changing
treatment, and describe what has changed
[See §141.86(g)(4)(iii)]. Based on the
specific situation, the waiver may be
modified or revoked. The State also may
require the system to perform additional
monitoring or other activities, to minimize
the risk of introducing lead or copper into
the tap water.
Does a system have to collect samples
while its waiver application is being
reviewed by the State?
Yes. A system must continue monitoring
for lead and copper at the tap on the
system's current schedule [See
§141.86(g)(3)]. For example, if a system is
collecting samples on an annual basis, it is
still required to monitoring annually, until it
receives the State's written approval of the
monitoring waiver request [See
§141.86(g)(3)].
The materials criteria seems very difficult
to meet. What kind of system could
qualify?
EPA recognizes that the materials criteria
will be difficult to meet for many systems,
because of the age of the water system and
the requirement to identify drinking water
plumbing materials in the buildings to which
a system provides drinking water. EPA
believes that only systems that can
demonstrate that they are essentially free of
lead and/or copper should be allowed to
monitor on a 9-year cycle.
EPA expects that some newer systems, with
limited distribution systems, such as a non-
transient non-community water system or
very small community water systems that
serve a trailer park may qualify. These
systems are more likely to use PVC, or
materials meeting the lead free and lead
teaching-standards, and to be able to
identify the materials used in all the
buildings they serve.
How long does a waiver last?
The waiver should last for 9 years, unless
the system no longer meets the materials or
monitoring criteria.
How Will the State Evaluate A
System's Waiver Application?
What criteria will the State use to
evaluate an application for a waiver?
The State will review the system's waiver
application, materials certification, sampling
results, and any other information that it
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may require from the system, to determine if
the system is free of sources of lead and/or
copper contamination.
How will a system know if the State has
approved its waiver application?
The State will notify the system in writing.
The State will tell the system whether or not
it has granted the waiver, reasons for its
decision, and any conditions of the waiver.
A State may require a system to perform
specific activities, such as additional
monitoring or the delivery of information to
customers to remind them to avoid
installation of materials that might void the
waiver.
What Are A System's Monitoring
and Reporting Requirements If It
Receives A Waiver?
What must a system do if it receives a full
waiver?
The State will specify the exact conditions
of the waiver. In general, the system will be
required to monitor for lead and copper at
the tap at least every 9 years at the same
number of sites allowed under annual or
triennial monitoring [See §141.86(g)(4)].
(For example, if a system with a waiver
monitors in June 2000, it must monitor
again in June 2009 or earlier.) For systems
serving 101 to 3,300 people, this is a
reduction in the number of sites from that
required during the standard six-month
monitoring cycle. The minimum number of
sites is shown in Table 6.
Table 6
Reduced Number of Sites
If a system serves:
100 or fewer people
101 to 5 00 people
501 to 3, 300 people
Then it must Collect
Samples from:
5 sites
5 sites
10 sites
What must a system do if it receives a
partial waiver?
The waiver will apply to lead or copper only
and the State will specify the exact
conditions of the waiver. In general, the
system will be required to monitor for the
waivered contaminant at least every 9 years
at the number of sites shown in Table 6 [See
§141.86(g)(4)]. For the contaminant for
which the system did not receive a waiver,
the monitoring schedule is not affected.
How Does A System Renew or
Modify An Existing Waiver?
How does a system renew its waiver?
If a system continues to comply with the
criteria for materials and monitoring results,
its waiver will be renewed. The system is
still required every 9 years to submit its
monitoring results and to re-certify that it
still meets the criteria for a monitoring
waiver [See § 141.86(g)(4)].
The Monitoring Waiver Application Form
in Appendix A can also be used as a re-
certification form, by checking the box
labeled, "Renewal of existing waiver".
However, if a system no longer meets these
criteria, its waiver will be either modified or
revoked. In either case, the State will notify
Monitoring Waivers under the LCRMR
12
April 2000
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the system in writing to explain the system's
new requirements or reasons why the waiver
was revoked. For more information on
waiver revocation, refer to the section,
entitled, "What Must A System Do If Its
Waiver Has Been Revoked?".
What must a system do if it has a pre-
existing waiver?
If The State Required Monitoring
Some States issued waivers to systems
before April 11, 2000. In some instances,
the State required the system to collect at
least one round of monitoring. If this is the
case, the system's waiver will still be in
effect if the results of its lead 90th percentile
level does not exceed 0.005 mg/L and its
copper 90th percentile level does not exceed
0.65 mg/L [See §141.86(g)(7)(i)].
If a system satisfies these criteria, it will be
required to monitor no later than 9 years
after the last time it monitored for lead and
copper [See §141.86(g)(7)(i)]. For
example, assume a system monitored in
June 1996. The system would be required
to conduct its next round of lead and copper
tap monitoring by June 2005. In addition,
the system will be required to submit these
results to the State along with a certification
that it meets the materials criteria for lead
and copper [See §§141.86(g)(l) and (2)].
The Monitoring Waiver Application Form
in Appendix A can also be used to renew
existing waivers, by marking the box,
"Renewal of pre-existing waiver".
If The State Did Not Require Monitoring
If a system was not required to conduct
monitoring as a condition of receiving the
waiver, its waiver will remain in effect if it
conducts at least one set of lead and copper
samples at the tap at the standard number of
sites (refer to Table 4) by September 30,
2000. The results of this monitoring must
meet the monitoring criteria for both lead
and copper (refer to Tables 2 and 3) [See
The system must report the monitoring
results to the State within 10 days following
the end of the monitoring period [See
§141.90(a)(l)]. So, for example, if a
system's monitoring period ended
September 30, 2000, it must report its
sampling results to the State by October 10,
2000. In addition, the system must continue
to monitor at intervals of at least 9 years
from when it last sampled for lead and/or
copper, and to certify that it meets the
materials criteria for lead and copper in
order to maintain its waiver [See
What Must A System Do If The
System Has Changed?
What must a system do if it adds a new
source or changes treatment?
A system must provide written
documentation describing its new source or
change in treatment to the State within 60
days or earlier (if earlier notification is
required by the State) [See
§§141.86(g)(4)(iii) & §141.90(a)(3)].
The State may add or modify the conditions
of the waiver (e.g., require re-certification
that the system is free of lead-containing
materials or does not contain copper
materials, require additional rounds of
monitoring), if it considers these steps
necessary to adequately address the changes
in source or treatment in the system.
Monitoring Waivers under the LCRMR
13
April 2000
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What must a system do if it finds out that
it is no longer free of lead- or copper-
containing materials?
Over time, a system may change (e.g., due
to new construction, repairs), and lead-
containing or copper-containing materials
may be added. A system must notify the
State in writing no later than 60 days after
becoming aware of such a change [See
§141.86(g)(4)(iv)].
What Must A System Do If Its
Waiver Has Been Revoked?
Why would a waiver be revoked?
The State must revoke a full waiver or a
partial waiver for lead if:
The system is no longer free of lead-
containing materials,
The system has a 90th percentile value
over 0.005 mg/L for lead, or
The State has provided the system
with a letter informing the system that
its waiver was revoked and the
reasons why [See §§141.86(g)(5)(i)
and (iii)].
The State must revoke a full waiver or a
partial waiver for copper if:
The system now contains copper pipes
or copper service lines,
The system has a 90th percentile value
over 0.65 mg/L for copper, or
The State has provided the system
with a letter informing the system that
its waiver was revoked and the
reasons why [See §§141.86(g)(5)(ii)
and (iii)].
What is a system required to do if its
waiver is revoked due to a 90th percentile
value above the monitoring waiver level?
This depends on whether the 90th percentile
lead or copper level is above the action
level, as explained in more detail below.
If A System Exceeds An Action Level
If the 90th percentile lead level exceeds
0.015 mg/L or the 90th percentile copper
level exceeds 1.3 mg/L, the system must
begin corrosion control treatment steps [See
§141.86(g)(6)(i)]. The requirements for
corrosion control treatment are contained in
§141.81(e) of the LCRMR and have been
provided in Appendix B for convenience.
The LCRMR do not change the
requirements contained in §141.81(e) from
those originally required under the 1991
Rule.
If A System is At Or Below Both Action
Levels
If the 90th percentile values for BOTH lead
and copper are at or below the action levels,
the system must monitor at least once every
3 years at the number of sites specified in
Table 6 [See §141.86(g)(6)(ii)]. A
summary of these requirements are provided
in Table 7.
Monitoring Waivers under the LCRMR
14
April 2000
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Table 7
Monitoring Requirements If A System
No Longer Meets the Monitoring
Criteria
If a system's 90th
percentile level
for:
lead exceeds
0.015mg/L, or
copper exceeds
1.3mg/L
lead exceeds
0.005 mg/L but
is0.015mg/Lor
less, or
copper exceeds
0.65 mg/L but is
1.3 mg/L or less
The system must.
begin corrosion
control treatment
steps [See
§141.86(g)(6)(i)]
monitor at least
once every 3 years
at the number of
sites, listed in
Table 6 [See
§141.86(g)(6)(n)].
May a system re-apply for a waiver if its
waiver has been revoked?
Yes. If a system now meets the criteria for
both materials and monitoring results, it
may re-apply for a full or partial waiver.
The system may use the Waiver Application
form in Appendix A by checking the box,
labeled "Re-application After Waiver Was
Revoked." The system must also complete
and sign a new Materials Certification Form
and provide monitoring results that
demonstrate that the system meets the
monitoring criteria [See §§141.86(g)(l) and
(2)].
Monitoring Waivers under the LCRMR
15
April 2000
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What Key Points Should A System Remember?
,.:? A system should first check with the State to determine if the State allows full
^ and/or partial monitoring waivers.
,.:? A system must meet both the materials and monitoring criteria to qualify for a
-r/ monitoring waiver [See §§141.86(g)(l) and (2)].
,.:? A system's waiver application must contain a certification that the system meets
-r the materials criteria, supporting documentation, and monitoring results [See
§§141.86(g)(l)and(2)].
,.:? A system must be able to verify the drinking water plumbing in all the
-r buildings that it serves, not just in those locations where the system collects
lead and copper tap samples [See §141.86(g)(l)].
,.:? Waivers are granted for 9 years and require that a system conduct lead and/or
-r/ copper monitoring at least once every 9 years [See §141.86(g)(4)].
,.:? If a system receives a monitoring waiver, the system must notify the State no
-r later than 60 days after it adds a source or change treatment, unless the State
requires earlier notification [See §141.86(g)(4)(iii)].
,.:? A system must notify the State if it no longer meets the materials criteria
-r/ within 60 days of when it becomes aware of this fact [See §141.86(g)(4)(iv)].
,.:? If a system has a pre-existing waiver (one granted before April 11, 2000) and it
^ has not monitored, it must monitor by September 30, 2000 [See
§141.86(g)(7)(n)].
,-;? If a system has been granted a waiver, it is still required to recertify that it
-' meets the materials criteria and to submit monitoring results every 9 years [See
§141.86(g)(4)].
,_:? A waiver is renewed if the system continues to meet the materials and
-r monitoring criteria and the State has not notified the system in writing that the
waiver has been revoked [See §141.86(g)(5].
,-;? If a system's waiver has been revoked, it may reapply if it once again meets
-r the materials and monitoring criteria.
Monitoring Waivers under the LCRMR 16 April 2000
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APPENDIX A
Monitoring Waiver Application Forms
Instructions for Completing the Monitoring Waiver Application
Form
Monitoring Waiver Application Form for Both Lead and Copper
Monitoring Waiver Application Form for Lead Only
Monitoring Waiver Application Form for Copper Only
Monitoring Waivers under the LCRMR A-1 April 2000
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Instructions for Completing the Monitoring Waiver Application Form
Please select the appropriate waiver application form for the type of waiver for which you are
applying. Depending on your State's drinking water regulations, you can apply for one of three
types of monitoring waivers:
Waiver for both lead and copper,
Waiver for lead only, or
Waiver for copper only.
Please provide responses for all requested information, and have an official representative of
your water system sign and date the form. Each of the monitoring waiver application forms
contains a materials certification. By signing this form, you (or your official representative, if
appropriate) are certifying that you have performed all of the steps needed to verify that your
distribution system, service lines, and drinking water plumbing in all residences and buildings
meet the materials criteria for lead, copper, or both. The monitoring waiver application form is
a legal document. It is essential that it be signed by someone who has the authority to make
decisions for your system. It should be signed only after you can certify and document that your
system and all the drinking water plumbing in the buildings connected to your system, meet the
materials criteria.
Please send a signed copy of your completed waiver application form, with supporting
documentation, and sampling results to your State. If you have any problems or questions,
please call your State.
Please provide the following information, so that your State can properly review your
application for a monitoring waiver.
System-specific information
PWSID
This is the unique identification number that has been assigned to your
system by your State. If you do not know your water system's
identification number, please ask your State.
System Name
The official name of your water system.
Contact
As part of the monitoring waiver application process, your State will need
to contact someone that can tell them about your water system. So, you
need to provide information on your designated contact person as follows:
Mailing address
Contact name
Telephone number
Fax number, if available
e-mail address, if available
Monitoring Waivers under the LCRMR
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April 2000
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Waiver Status. Information you provide on the current status of your waiver will help your
State process your monitoring waiver application more quickly. Your waiver application form
has four possible options.
Check this box
on your form
New
Renewal of a
Pre-Exi sting Waiver
Renewal of Existing
Waiver
Re-application after
Waiver was Revoked
if-
You have never been granted a monitoring waiver.
You have been granted a monitoring waiver prior to April 11,
2000.
You have previously been granted a waiver after April 11, 2000.
You have previously been granted a waiver, but it has been
revoked. Please indicate why your waiver was revoked. Reasons,
preceded by circles on your form, are as follows: new source,
change treatment, 90th percentile levels above waiver levels, or
Other (please specify). Check all the circles that apply. In order
for you to be eligible for a waiver again, the conditions that caused
your waiver to be revoked must now be resolved.
Signature of Official Representative. By signing this form, you (or your official
representative, if appropriate) are certifying that you have performed all of the steps needed to
verify that your distribution system, service lines, and drinking water plumbing in all residences
and buildings meet the materials criteria listed on the form.
Supporting Documentation. You must provide your State with supporting documentation that
shows that your system meets the materials criteria. Examples of this include construction
permits listing the materials used to construct your water system, certificates of lead content that
can be obtained from the manufacturer or importer/distributor of your faucets or plumbing
devices, and laboratory results from testing faucets/plumbing devices for lead content.
Sampling Results. Sampling results must accompany your waiver application. These samples
must have been collected after you have determined that your system meets the materials criteria
for lead or copper or both, depending on the type of waiver. Your 90th percentile lead level
cannot be greater than 0.005 mg/L (if applying for a full waiver or lead waiver) and your copper
90th percentile level cannot be greater than 0.65 mg/L (if applying for a full waiver or copper
waiver).
Monitoring Waivers under the LCRMR
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April 2000
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Monitoring Waiver Application Form for Both Lead and Copper
PWS ID:
System Name:
Mailing Address:
Contact Person Name:
Telephone Number:
Fax Number:
e-mail address:
Waiver Status
G New G Re-application after Waiver was Revoked
(check all reasons that apply)
G Renewal of Pre-Existing Waiver F New source
F Change treatment
G Renewal of Existing Waiver F 90th percentile values above waiver levels
F Other:
I have verified and hereby certify that all materials in my water
system's distribution system and service lines and all drinking
water supply plumbing, including plumbing that conveys
drinking water inside all residences and buildings connected to
my system, meet ALL of the following criteria:
No plastic pipes that contain lead No lead pipes or lead pipe fittings
plasticizers, containing over 8% lead,
No plastic service lines that contain lead No leaded brass or bronze alloy fittings
plasticizers, or fixtures that do not meet the
No lead service lines, standards established in SDWA
No lead solder or lead flux containing §1417(e),
over 0.2% lead, No copper pipes, AND
No copper service lines
Signature:
Printed Name:
Date:
Title:
Note: You MUST include sampling results for BOTH lead and copper, and supporting
documentation with this form to be considered for a monitoring waiver.
Monitoring Waivers under the LCRMR A-3 April 2000
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Monitoring Waiver Application Form for Lead Only
PWS ID:
System Name:
Mailing Address:
Contact Person Name:
Telephone Number:
Fax Number:
e-mail address:
Waiver Status
G New G Re-application after Waiver was Revoked
(check all reasons why waiver was revoked)
G Renewal of Pre-Existing Waiver F New source
F Change treatment
G Renewal of Existing Waiver F 90th percentile values above waiver levels
F Other:
I have verified and hereby certify that all materials in my water system's distribution
system and service lines and all drinking water supply plumbing, including
plumbing that conveys drinking water inside all residences and buildings
connected to my system, meet ALL of the following criteria:
No plastic pipes that contain lead plasticizers,
No plastic service lines that contain lead plasticizers,
No lead service lines,
No lead solder or lead flux containing over 0.2% lead,
No lead pipes or lead pipe fittings containing over 8% lead, AND
No leaded brass or bronze alloy fittings or fixtures that do not
meet the standards established in SDWA §1417(e).
Signature:
Printed Name:
Date:
Title:
Note: You MUST include sampling results for lead and supporting documentation with this
form to be considered for a monitoring waiver.
Monitoring Waivers under the LCRMR A-4 April 2000
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Monitoring Waiver Application Form for Copper Only
PWS ID:
System Name:
Mailing Address:
Contact Person Name:
Telephone Number:
Fax Number:
e-mail address:
Waiver Status
G New G Re-application after Waiver was Revoked
(check all reasons that apply)
G Renewal of Pre-Existing Waiver F New source
F Change treatment
G Renewal of Existing Waiver F 90th percentile values above waiver levels
F Other:
I have verified and hereby certify that all materials in my water system's distribution
system and service lines and all drinking water supply plumbing, including
plumbing that conveys drinking water inside all residences and buildings
connected to my system, meet ALL of the following criteria:
No copper pipes, AND
No copper service lines
Signature:
Printed Name:
Date:
Title:
Note: You MUST include sampling results for copper and supporting documentation with
this form to be considered for a monitoring waiver.
Monitoring Waivers under the LCRMR A-5 April 2000
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APPENDIX B
Lead and Copper Rule Minor Revisions
that Relate to Monitoring Waiver Requirements
~ §141.81(e)
§141.86(g)
- §§141.90(a)(3)&(4)
Monitoring Waivers under the LCRMR B-l April 2000
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Lead and Copper Rule Minor Revisions that Relate to
Monitoring Waiver Requirements
§141.81(e): The following section spells out the corrosion control treatment steps and deadlines.
The LCRMR do not change these requirements. They have only been included in this appendix for
convenience to the reader.
Treatment Steps and deadlines for small and medium-size systems. Except as provided in
paragraph (b) of this section, small and medium-size systems shall complete the following
corrosion control treatment steps (described in the referenced portions of §§141.82, 141.86 and
141.87) by the indicated time periods.
(1) Step I: The system shall conduct initial tap sampling (§141.86(d)(l) and §141.87(b)) until
the system either exceeds the lead or copper action level or becomes eligible for reduced
monitoring under §141.86(d)(4). A system exceeding the lead or copper action level shall
recommend optimal corrosion control treatment (§141.82(a)) within six months after it
exceeds one of the action levels.
(2) Step 2: Within 12 months after a system exceeds the lead or copper action level, the State
may require the system to perform corrosion control studies (§141.82(b)). If the State does
not require the system to perform such studies, the State shall specify optimal corrosion
control treatment (§141.82(d)) within the following timeframes:
(i) For medium-size systems, within 18 months after such system exceeds the lead or
copper action level,
(ii) For small systems, within 24 months after such system exceeds the lead or copper
action level.
(3) Step 3: If the State requires a system to perform corrosion control studies under step 2, the
system shall complete the studies (§141.82(c)) within 18 months after the State requires
that such studies be conducted.
(4) Step 4: If the system has performed corrosion control studies under step 2, the State shall
designate optimal corrosion control treatment (§141.82(d)) within 6 months after
completion of step 3.
(5) Step 5: The system shall install optimal corrosion control treatment (§141.82(e)) within 24
months after the State designates such treatment.
(6) Step 6: The system shall complete follow-up sampling (§141.86(d)(2) and §141.87(c))
within 36 months after the State designates optimal corrosion control treatment.
(7) Step 7: The State shall review the system's installation of treatment and designate optimal
water quality control parameters (§141.82(f)) within 6 months after completion of step 6.
(8) Step 8: The system shall operate in compliance with the State-designated optimal water
quality control parameters (§141.82(g)) and continue to conduct tap sampling
(§141.86(d)(3) and §141.87(d)).
Monitoring Waivers under the LCRMR B-2 April 2000
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Lead and Copper Rule Minor Revisions that Relate to
Monitoring Waiver Requirements
§§141.86(g)(l)-(2): The following section contains language that explains the materials and
monitoring criteria that a system must meet to qualify for a monitoring waiver.
Monitoring Waivers under the LCRMR B-3 April 2000
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Lead and Copper Rule Minor Revisions that Relate to
Monitoring Waiver Requirements
§§141.86(g)(3)-(4): The following section explains the State approval process for a waiver and the
system's monitoring requirements should it receive a waiver.
Monitoring Waivers under the LCRMR B-4 April 2000
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Lead and Copper Rule Minor Revisions that Relate to
Monitoring Waiver Requirements
§§141.86(g)(5)-(7): The following section explains under what circumstances a system remains
eligible for a waiver, under what circumstances a system 's waiver will be revoked, and
requirements if a system were granted a pre-existing waiver.
Monitoring Waivers under the LCRMR B-5 April 2000
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Lead and Copper Rule Minor Revisions that Relate to
Monitoring Waiver Requirements
§141.90(a)(3): The following section requires all systems on reduced monitoring (including those
on monitoring waivers) that add a new source or change water treatment to inform the State of 60
days of making this change.
No later than 60 days after the addition of a new source or any change in water treatment, unless
the State requires earlier notification, a water system deemed to have optimized corrosion control
under §141.81(b)(3), a water system subject to reduced monitoring pursuant to §141.86(d)(4), or a
water system subject to a monitoring waiver pursuant to §141.86(g), shall send written
documentation to the State describing the change. In those instances where prior State approval of
the treatment change or new source is not required, water systems are encouraged to provide the
notification to the State beforehand to minimize the risk the treatment change or new source will
adversely affect optimal corrosion control.
§141.90(a)(4): The following section explains a system 's reporting requirements to the State
should the system wish to apply for a waiver, wish to maintain its waiver, or become aware that it
no longer meets the materials requirements. It also specifies the reporting requirements for
systems with pre-existing waivers.
Monitoring Waivers under the LCRMR B-6 April 2000
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