?/EPA
United States
Environmental Protection
Agency
Revised State
Implementation
Guidance for the
Public Notification
(PN) Rule
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Office of Water (4606M)
EPA816-R-09-012
www. epa. go v/safe water
March 2010
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Disclaimer
This document provides guidance to states, tribes, and the US 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 Public Notification (PN) Rule. Throughout this document, the terms "state" and
"states" are used to refer to all types of primacy agencies including US 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 (PWSs). 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 May 4, 2000, at 65 FR 26021; 65 FR 38629, June 21,
2000; 65 FR 40521 - 40522, June 30, 2000; and as amended at 65 FR 76750, December 7,
2000; 66 FR 7065, January 22, 2001; 66 FR 31104, June 8, 2001; 67 FR 1836, January
14, 2002; 67 FR 70857, November 27, 2002; 68 FR 14507, March 25, 2003; 69 FR
38856, June 29, 2004; 71 FR483, January 4, 2006; 71 FR 768, January 5, 2006; and 71
FR 65652, November 8, 2006.
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Table of Contents
Acronyms and Abbreviations vii
Introduction ix
Section 1 Rule Requirements 1
1.1 Introduction 3
1.2 Requirements of the Rule: Public Water Systems 4
1.2.1 Applicability and Compliance Dates 4
1.2.2 Public Notice Tiers 1,2, and 3 5
1.2.3 Public Water System Reporting Requirements 6
1.2.4 Public Water System Recordkeeping Requirements 6
1.3 Requirements of the Rule: States or Other Primacy Agencies 6
1.3.1 Special Primacy Requirements 6
1.3.2 Records Kept by States 6
1.3.3 State Reporting Requirements 7
Section 2 Resources and Guidance 9
2.1 Technical Guidance Manuals and Tools 11
2.2 Rule Presentation 12
2.3 Fact Sheets and Quick Reference Guide 12
2.4 Questions & Answers 12
Section 3 State Implementation 17
3.1 Overview of Implementation 19
3.2 Identify Affected Systems and Requirements 19
3.2.1 General Provisions 19
3.2.2 Public Notice Tiers 1,2, and 3 20
3.2.3 Content of a Public Notice - Ten Required Elements 22
3.2.4 Minimum Delivery Requirements for Public Notice 25
3.2.5 Who Must be Notified 27
3.2.6 Variances and Exemptions 29
3.2.7 Multilingual Requirements 29
3.2.8 Standard Language for Public Notices 30
3.2.9 Special Notices 31
3.2.10 Formatting Requirements for Public Notices 33
3.2.11 Certification 33
3.2.12 Public Water System Recordkeeping Requirements 34
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3.3 Communicate PN Rule Requirements to Systems 34
3.3.1 Requirements and Target Notification Time Frames 34
3.3.2 Methods of Communication 35
3.4 Data Management Systems 35
Section 4 State Primacy Revision Application 37
4.1 State Primacy Program Revision 39
4.1.1 The Revision Process 40
4.1.2 The Final Review Process 41
4.2 State Primacy Program Revision Extensions 42
4.2.1 The Extension Process 42
4.2.2 Extension Request Criteria 42
4.2.3 Conditions of the Extension 42
4.3 State Primacy Package 46
4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(l)] 46
4.3.2 Text of the State's Regulation 47
4.3.3 Primacy Revision Crosswalk 47
4.3.4 State Recordkeeping Requirements [40 CFR 142.14(f)] 47
4.3.5 State Reporting Requirements [40 CFR 142.15(a)(l)] 47
4.3.6 Special Primacy Requirements [40 CFR 142.16] 47
4.3.7 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)] 48
4.4 Guidance for the Special Primacy Requirements of the PN 50
4.4.1 Special Primacy for Requiring Public Notice for Violations or Situations Other Than Those
Listed in Appendix A to Subpart Q 51
4.4.2 Special Primacy Requirements Regarding Limited Distribution of Public Notice to Persons
Served by the Portion of the Distribution System that is Out of Compliance 52
4.4.3 Special Primacy Requirements Regarding Which Violations or Situations Require a Tier 1
Public Notice 52
4.4.4 Special Primacy for Requiring Additional Public Notice for Tier 1 Violations 54
4.4.5 Special Primacy Requirements Regarding Different Form, Manner, and Delivery for Tier 1,
2, and 3 Public Notices 55
4.4.6 Special Primacy for Requiring Tier 2 Public Notice (Rather Than Tier 3 Notice) for Specific
Monitoring or Testing Procedure Violations 55
4.4.7 Special Primacy Requirements Regarding Extending the Initial Tier 2 Public Notice
Distribution Deadline 55
4.4.8 Special Primacy Requirements Regarding Extending the Tier 2 Notice Repeat Frequency... 56
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4.4.9 Special Primacy for Requiring a Tier 1 Public Notice (Rather Than Tier 2 Notice) for a
Turbidity MCL Violation under 40 CFR 141.13(b) or a SWTR/IESWTR/LT1ESWTR TT Violation
Due to a Single Exceedance of the Maximum Allowable Turbidity Limit 57
4.4.10 Special Primacy Requirements Regarding Multilingual Notice Requirement 57
Section 5 Violation Determination and Safe Drinking Water Information System (SDWIS)
Reporting 60
5.1 Determining Violations of the PN Rule 62
5.1.1 What constitutes a violation of the PNRule? 62
5.1.2 How is a Violation of the PNRule Identified? 66
5.1.3 State Enforcement, Compliance Monitoring and Assistance, or Other Follow-up 66
5.1.4 Return to Compliance 67
5.2 SDWIS Reporting and EPA Follow-up 71
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. Summary of Action Dates for the PN Rule 4
Table 1-2. PWS Requirements for Reporting to the State Underthe PN Rule 6
Table 1-3. PWS Recordkeeping Requirements Underthe PNRule 6
Table 1-4. State Recordkeeping Requirements 6
Table 1-5. State Requirements for Reporting to EPA 7
Table 3-1. Violations and Situations Requiring Public Notice 21
Table 3-2. Requirements for Issuing Public Notice 26
Table 4-1. State Rule Implementation and Revision Timetable forthe PN Rule 39
Table 4-2. State Primacy Revision Checklist 46
Table 5-1. Federal Reporting for the PNRule 72
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List of Examples
Example 4-1. Example Extension Request Checklist 44
Example 4-2. Example of Attorney General's Statement 48
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List of Figures
Figure 3-1. Required Elements of a Public Notice 24
Figure 3-2. Sample Certification Box 34
Figure 4-1. Recommended Review Process for State Request for Approval of Program Revisions 41
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Acronyms and Abbreviations
Acronym/Abbreviation
ASDWA
AWWA
CCR
CFR
CWSs
EPA
FBRR
FR
GAO
GWR
GWS
GWUDI
HAAS
HPC
HQ
IESWTR
IOC
LCR
LT1 ESWTR
LT2ESWTR
MCL
MCLG
mg/l
MRDL
MRDLG
NCWS
NIPDWR
NOV
NPDWR
NTNCWS
NTU
OECA
OGC
OGWDW
ORC
Definition
Association of State Drinking Water Administrators
American Water Works Association
Consumer Confidence Report
Code of Federal Regulations
Community Water Systems
United States (US) Environmental Protection Agency
Filter Backwash Recycling Rule
Federal Register
General Accounting Office
Ground Water Rule
Ground Water System
Ground Water Under the Direct Influence (of Surface Water)
Haloacetic Acids
Heterotrophic Plate Count
Headquarters
Interim Enhanced Surface Water Treatment Rule
Inorganic Chemical
Lead and Copper Rule
Long-Term 1 Enhanced Surface Water Treatment Rule
Long-Term 2 Enhanced Surface Water Treatment Rule
Maximum Contaminant Level
Maximum Contaminant Level Goal
Milligrams per liter
Maximum Residual Detection Level
Maximum Residual Disinfectant Level Goal
Noncommunity Water System
National Interim Primary Drinking Water Regulation
Notice of Violation
National Primary Drinking Water Regulation
Nontransient Noncommunity Water System
Nephelometric Turbidity Unit
Office of Enforcement and Compliance Assurance
Office of General Counsel
Office of Ground Water and Drinking Water
Office of Regional Counsel
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Acronym/Abbreviation
OW
PN
PWS
PWSS
Q&A
RTC
SBREFA
SDWA
SDWIS
SMCL
SNC
SOC
Stage 1 DBPR
Stage 2 DBPR
SWAP
SWTR
TCR
TNCWS
TT
TTHMs
UV
VOC
Definition
Office of Water
Public Notification
Public Water System
Public Water System Supervision
Question and Answer
Return to Compliance
Small Business Regulatory Enforcement Fairness Act
Safe Drinking Water Act
Safe Drinking Water Information System
Secondary Maximum Contaminant Level
Significant Non-complier
Synthetic Organic Chemical
Stage 1 Disinfectants and Disinfection Byproducts Rule
Stage 2 Disinfectants and Disinfection Byproducts Rule
Source Water Assessment Program
Surface Water Treatment Rule
Total Coliform Rule
Transient Noncommunity Water System
Treatment Technique
Total Trihalomethanes
Ultraviolet
Volatile Organic Chemical
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Introduction
This document provides guidance to states and the US Environmental Protection Agency (EPA)
exercising primary enforcement responsibility under the Safe Drinking Water Act (SDWA), concerning
how EPA interprets the Public Notification (PN) Rule promulgated 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, US territories, Native American tribes, and EPA regional offices that maintain
state primacy.
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 document contains the following sections:
Section 1 summarizes the Rule requirements of the PN Rule and presents a timetable of important
dates.
Section 2 lists the "stand-alone" guidance materials that will help states and public water systems
(PWSs) implement each 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 PN Rule.
Section 5 addresses violation determinations and associated reporting requirements to assist states
in their compliance activities.
The appendices of this guidance also provide information that will be useful to states and EPA:
Appendix A contains the primacy revision application crosswalk for the PN Rule.
Appendix B contains a copy of the PN Rule (July 1, 2008, edition).
Appendix C contains fact sheets and a quick reference guide for the PN Rule.
Appendix D presents flowcharts to help states and systems implement the PN Rule.
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Appendix E contains a stand alone version of the State Primacy Revision Checklist and Example
Forms.
Please note that, in several sections, this 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 PN Rule.
Since the last revision of this guidance, EPA has published the following regulations:
Arsenic Rule - January 22, 2001.
Filter Backwash Recycling Rule (FBRR) - June 8,2001.
Long-Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) - January 14, 2002.
Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) - January 4, 2006.
Long-Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR) - January 5, 2006.
Ground Water Rule (GWR) - November 8, 2006.
Lead and Copper Rule (LCR) Short Term Regulatory Revisions and Clarifications - October 10,
2007.
Miscellaneous corrections to existing rules.
Miscellaneous revisions or additions to analytical methods, detection limits and compliance dates.
This guidance has been updated to reflect these rules, where appropriate. Changes to the PN Rule based
on these regulations occurs primarily in Appendix A to Title 40 of the Code of Federal Regulations
(CFR), Part 141, Subpart Q (hereafter referred to as Appendix A to Subpart Q) which lists contaminant
violations or situations by tiers and Appendix B to Title 40 of the Code of Federal Regulations (CFR),
Part 141, Subpart Q (hereafter referred to as Appendix B to Subpart Q) which lists contaminants, their
maximum contaminant level (MCL) (or treatment technique, TT), maximum contaminant level goal
(MCLG), and health effects language. These appendices are located on the EPA Web site at
http://www.epa.gov/safewater/publicnotification/regulations.html.
The PN Rule applies to the new regulations listed above in the following manner:
Arsenic Rule: Systems must provide Tier 2 public notice if they have an exceedance of the
arsenic MCL and Tier 3 public notice if they fail to monitor for arsenic.
Filter Backwash Recycling Rule (FBRR): Systems must provide Tier 2 public notice for the
treatment technique violation of failing to return water treatment recycle flows to the required
location or a state-approved location.
Long-Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR): A surface water system
must provide Tier 2 public notice for treatment technique violations including a single
exceedance of a maximum turbidity limit (can be elevated to Tier 1) or construction of an
uncovered finished water reservoir; and Tier 3 public notice for failure to notify the state before
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making a change to a disinfection practice, failure to conduct disinfection profiling and
benchmarking, and failure to monitor for turbidity.
Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR): Based on a system's
schedule under the Stage 2 DBPR, systems must provide Tier 2 public notice if their locational
running annual average for total trihalomethanes (TTHMs) or haloacetic acid 5 (HAAS) exceeds
the MCL and Tier 3 public notice if they fail to monitor for TTHMs or HAAS under Stage 2
DBPR.
Long-Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR): Based on a system's
schedule under the LT2ESWTR, a surface water system must provide notices for the following
violations:
- Tier 2 public notice for failure to monitor for Cryptosporidium for any three months.
- Tier 2 public notice for treatment technique violations including failure to address an
uncovered finished water reservoir (i.e., cover or treat); failure to determine and report a
bin classification (filtered systems); failure to calculate and report a mean
Cryptosporidium level (unfiltered systems); failure to provide, install or maintain a
required level of additional treatment (filtered systems); failure to achieve the required
inactivation level or maintain it once achieved (unfiltered systems); and failure to install a
second disinfectant (unfiltered systems).
- Tier 3 public notice for failure to monitor for E. coll and turbidity, failure to monitor for
Cryptosporidium for one or two months, and failure to conduct disinfection profiling and
benchmarking.
Ground Water Rule: Beginning on December 1, 2009, a ground water system must provide notice
for the following violations or situations:
- Tier 1 public notice when the system detects a fecal indicator (E. coli, enterococci,
coliphage) at the source.
- Tier 2 public notice for treatment technique violations including failure to maintain 4-log
treatment of viruses for more than 4 hours for systems required to treat to 4-log, failure to
take corrective action within the required timeframe or be in compliance with a state-
approved corrective action plan and schedule for a fecal indicator-positive source sample,
and failure to take corrective action within the required timeframe or be in compliance
with a state-approved corrective action plan and schedule for a significant deficiency.
- Tier 3 public notice for failure to conduct source water monitoring for fecal indicators or
compliance monitoring.
Lead and Copper Rule (LCR) Short Term Regulatory Revisions and Clarifications: The minor
revisions to the LCR did not affect the PN Rule.
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Section 1
Rule Requirements
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1.1 Introduction
Public notification of drinking water violations and other situations that can impact public health provides
water systems with a means to protect public health, build trust with consumers through open and honest
sharing of information, and establish an ongoing, positive relationship with the community. Public
notification can also help consumers understand the reason for rate increases and support increased
funding for drinking water treatment and protection. EPA believes the requirements established by the
Public Notification (PN) Rule allow systems to provide consumers with accurate and timely information
on violations and situations with potential adverse health effects.
EPA first issued public notification regulations in 1976 and revised them in 1987. In 1992, a review of the
public notification process by the General Accounting Office (GAO) revealed that the complexity of the
Rule hindered its successful implementation. Section 114 of the 1996 Amendments to the Safe Drinking
Water Act (SDWA), required EPA to amend the public notification provisions issued in 1987 to better
target notices for serious violations posing short-term exposure risks to health, and to make the existing
notification process less burdensome to public systems and more effective.
The revised PN Rule, published in the Federal Register on May 4, 2000, modified the minimum
requirements PWSs must meet regarding the form, manner, frequency, and content of public notices. The
regulations apply to all public water systems with violations of National Primary Drinking Water
Regulations (NPDWRs) or other situations posing a health risk. Since then, promulgation of each new
NPDWR has included some modification to the PN regulation. These incremental modifications are
reflected in the revised Handbooks discussed below and this Implementation Guidance.
States with primary enforcement responsibility (primacy) were required to revise their drinking water
programs by adopting regulations that were at least as stringent as the revised public notification
requirements. Primacy agency regulations needed to be adopted as soon as possible but no later than May
6, 2002.
To aid water systems in implementing the revised regulation, EPA, with assistance from the Association
of State Drinking Water Administrators (ASDWA), developed a Public Notification Handbook (EPA
816-R-00-010) in June 2000. In order to capture the requirements of more recently promulgated
regulations, a revised Public Notification Handbook (EPA 816-R-07-003) specifically for Community
Water Systems (CWSs) and Non-transient Noncommunity Water Systems (NTNCWs) was published in
March 2007 as well as a Transient Noncommunity Water Systems (TNCWS) Public Notification
Handbook, which was developed to only include provisions specific to transient systems (EPA 816-R-07-
004). A second revision to both the CWS and NTNCWS PN Handbook (EPA 816-R-09-013) and the
TNCWS PN Handbook (EPA 816-R-09-009) were reviewed by ASDWA and American Waterworks
Association (AWWA) and are being published concurrently with this document.
The most recent Handbooks include templates for public notices for many violations and other situations
included in EPA drinking water regulations published to date (March 2010), and other aids to help water
systems develop their own notices. By explaining the PN Rule and providing specific examples of notices
in the Handbooks, EPA hopes to streamline the public notification process and enhance the water
systems' ability to comply with Federal and state requirements. EPA also encourages states to incorporate
the most recent versions of both the CWS and NTNCWS PN Handbook and the TNCWS PN Handbook
into their public notification program. The most recent Handbooks are located on the EPA Web site at
http://www.epa.gov/safewater/publicnotification/compliancehelp.html.
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1.2 Requirements of the Rule: Public Water Systems
1.2.1 Applicability and Compliance Dates
The PN Rule requires public water systems (PWSs) to alert consumers to potential health risks from
violations of drinking water standards and to tell them how to avoid or minimize such risks. The revised
PN Rule modified the minimum requirements PWSs must meet regarding the form, manner, frequency,
and content of public notices. States with primary enforcement responsibility (primacy) were required to
revise their drinking water programs by adopting regulations that are at least as stringent as the revised
public notification requirements as soon as possible but no later than May 6, 2002.
The timetable for the PN Rule is presented in Table 1-1.
Table 1-1. Summary of Action Dates for the PN Rule
Key Date of Rule
May 4, 2000
October 31 , 2000
February 4, 2002
May 5, 2002
May 6, 2002
May 6, 2002
February 4, 2004
May 6, 2004
PN Rule Requirement
PN Rule published in Federal Register.
PN Rule effective for Direct Implementation programs.
States were encouraged to submit final primacy applications or
extension requests to EPA.
Until this date, systems in primacy states without approved primacy for
the PN Rule had to continue to comply with the public notification
requirements under 40 CFR 141 .32.
Final primacy application had to be submitted to the EPA Regional
Administrator or a request for an extension for up to 2 years. [40 CFR
142.12(b)(1)].
PN Rule was effective for states with primacy for the Public Water
System Supervision (PWSS) program.
States with approved extension agreements were encouraged to
submit final primacy applications to EPA.
Final primacy revision applications for Public Notification (PN) Rule
must be submitted to the EPA Regional Administrator if state was
granted an extension.
1.2.1.1 To Whom Does The Rule Apply?
The PN Rule applies to all PWSs with violations of national primary drinking water regulations
(NPDWRs) or other situations posing a public health risk. Each owner or operator of a PWS (CWSs,
NTNCWSs, and TNCWSs) must provide a public notice to all persons served when the system fails to
comply with certain drinking water regulations, has been granted a variance or exemption from the
regulations, or is facing other situations posing a potential risk to public health.
In general, public notice is required for any of the following violations:
Exceedances of MCLs or maximum residual disinfectant levels (MRDLs).
Violation of treatment techniques.
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Monitoring and testing procedure violations.
Failure to comply with the schedule of a variance or exemption.
Other situations (not violations) which require public notice include:
Occurrence of a waterborne disease outbreak or other waterborne emergency.
Fecal indicator-positive ground water source sample.
Exceedance of the nitrate MCL in noncommunity water systems (NCWSs) that have been granted
permission by the state to continue to exceed the nitrate MCL of 10 milligrams per liter (mg/1)
(although they may not exceed 20 mg/1).
Exceedance of the fluoride secondary MCL (SMCL).
Availability of unregulated contaminant monitoring results.
Operation under a variance or exemption.
States may also require notice for other violations or situations.
1.2.1.2 What Are The Compliance Dates?
PWSs in states with primacy for the Public Water System Supervision (PWSS) Program were required to
comply with the regulations under Part 141, Subpart Q no later than May 6, 2002. PWSs in jurisdictions
where EPA directly implements the PWSS program were required to comply by October 31, 2000.
1.2.2 Public Notice Tiers 1, 2, and 3
[40 CFR 141.202(a)-(b), 141.203(a)-(b), 141.204(a)-(b)]
The PN Rule assigns violations of drinking water standards and other situations to three tiers based upon
the risk of adverse health effects:
Tier 1 applies to NPDWR violations and situations with significant potential to have serious
adverse effects on human health as a result of short-term exposure. Notice is required within 24
hours of the violation or situation.
Tier 2 applies to other NPDWR violations and situations with the potential to have serious
adverse effects on human health. Notice is required within 30 days of the violation or situation,
with the possibility of an extension of up to three months at the discretion of the state.
Tier 3 applies to all other NPDWR violations and situations not included in Tier 1 and Tier 2.
Notice is required within 12 months of the violation or situation.
The tier to which a violation or situation is assigned determines the form, manner, and timing of the
public notice. EPA believes this linkage between the tier and the form, manner, and timing will allow
water systems to effectively tailor the public notice to the health risk from each violation.
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1.2.3 Public Water System Reporting Requirements
Table 1-2. PWS Requirements for Reporting to the State Under the PN Rule
PWS Requirements for Reporting to the State
Rule Cite
The public water system, within 10 days of completing the public notification
requirements under Subpart Q of this part for the initial public notice and any
repeat notices, must submit to the state a certification that it has fully complied
with the public notification regulations. The public water system must include with
this certification a representative copy of each type of notice distributed, published,
posted, and made available to the persons served by the system and to the media.
40CFR141.31(d)
1.2.4 Public Water System Recordkeeping Requirements
Table 1-3. PWS Recordkeeping Requirements Under the PN Rule
PWS Recordkeeping Requirements
Copies of public notices issued pursuant to Subpart Q of this part and certifications
made to the state pursuant to 40 CFR 1 41 .31 must be kept for three years after
issuance.
Rule Cite
40 CFR 141 .33(e)
1.3 Requirements of the Rule: States or Other Primacy Agencies
1.3.1 Special Primacy Requirements
[40 CFR 142.16(a)]
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
Table 1-4. State Recordkeeping Requirements
State Recordkeeping Requirements
Public notification records under Subpart Q of Part 141 of this chapter received
from public water systems (including certifications of compliance and copies of
public notices) and any state determinations establishing alternative public
notification requirements for the water systems must be retained for three years.
Rule Cite
40CFR142.14(f)
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1.3.3 State Reporting Requirements
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 1-5 describes the additional reporting
requirements for states under the PN Rule. Section 5 of this document provides information on Safe
Drinking Water Information System (SDWIS) reporting for the PN Rule.
Table 1-5. State Requirements for Reporting to EPA
State Requirements for Reporting to EPA
Each state which has primary enforcement responsibility shall submit quarterly
reports to the administrator on a schedule and in a format prescribed by the
Administrator consisting of the following information:
(1) New violations by public water systems in the state during the previous
quarter of state regulations adopted to incorporate the requirements of
national primary drinking water regulations, including violations of the public
notification requirements under Subpart Q of Part 141 of this chapter.
Rule Cite
40CFR142.15(a)(1)
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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 PN
Rule. This section is an overview of each of these resources and includes information on where to get
them.
2.1 Technical Guidance Manuals and Tools
The following guidance manuals and tools have been developed to support implementation of, and
compliance with, the provisions of the PN Rule. These manuals and tools will aid EPA, state agencies,
and affected PWSs in implementing this Rule, and will help ensure that the implementation among these
groups is consistent. The following resources can be found on EPA's Web site at:
http://www.epa.gov/safewater/publicnotification/compliancehelp.html.
Revised Public Notification Handbook for Community and Non-transient Non-community Water
Systems. EPA 816-R-09-013, March 2010. This guide was developed for community water
systems and non-transient noncommunity water systems. It provides instructions and templates
that can be used for various types of public notices.
Revised Public Notification Handbook for Transient Non-community Water Systems. EPA 816-R-
09-009, March 2010. This guide was developed for transient noncommunity water systems. It
provides instructions and templates that can be used for various types of public notices.
Updated version of Appendix A and B to Subpart Q which were last updated December 2006.
Microsoft Word files of PN templates. These templates can be used and customized by drinking
water systems to ensure they meet PN content requirements.
PNiWriter. EPA developed the PNiWriter to enable water system operators or other designated
personnel to generate a public notice that meets federal requirements. The program takes users
through the 10 required elements of a public notice and allows them to edit EPA's recommended
text and/or insert their own text to fit their violation or situation. Since PNiWriter is a Web-based
application (http://www.pniwriter.com'). Internet access is required.
Talking to your Customers about Chronic Contaminants in Drinking Water. EPA 814-F-07-022,
October 2007. This document provides guidance to water systems on the importance of
communicating with the public about chronic contaminants - both regulated and unregulated. It
also describes effective strategies for getting the message out.
In addition to the guidance manuals developed to support the PN Rule, EPA has developed other
guidance manuals that may help primacy agencies and affected PWSs with implementing the PN Rule.
Implementation Guidance for the Filter Backwash Recycling Rule. EPA 816-R-04-006, June
2004. http://www.epa.gov/safewater/filterbackwash.html.
Long Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) Implementation Guidance.
EPA 816-R-04-008, August, 2004. http://www.epa.gov/safewater/mdbp/lt 1 eswtr.html.
The Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) Implementation
Guidance. EPA 816-R-07-007, August 2007.
http://www.epa.gov/safewater/disinfection/stage2/compliance.html.
PN Rule Implementation Guidance 11 March 2010
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The Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR) Implementation
Guidance. EPA 816-R-07-006, August 2007.
http://www.epa.gov/safewater/disinfection/lt2/compliance.html.
The Ground Water Rule (GWR) Implementation Guidance. EPA 816-R-09-004, January 2009.
http://www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
For more information, contact EPA's Safe Drinking Water Hotline at 1-800-426-4791, or see the Office
of Ground Water and Drinking Water Web site. The PN guidance documents are located at
http://www.epa.gov/safewater/publicnotification/compliancehelp.html.
2.2 Rule Presentation
Presentations that can be used for workshops on the PN Rule are available in PowerPoint format on
EPA's Web site: http://www.epa.gov/safewater/publicnotification/compliancehelp.html.
2.3 Fact Sheets and Quick Reference Guide
Factsheets and Quick Reference Guides for the PN Rule may be useful for conveying basic information
about the Rule to water systems, new personnel, and stakeholders. These stand alone documents, included
in Appendix C of this document, are:
Public Notification Rule: A Quick Reference Guide. EPA 816-F-09-010. August 2009.
http://www.epa.gov/safewater/publicnotification/compliancehelp.html.
Fact Sheet: Drinking Water Public Notification. EPA 816-F-00-021, May 2000.
http://www.epa.gov/safewater/publicnotification/regulations.html.
Fact Sheet: Final Drinking Water Public Notification Regulations. EPA 816-F-00-020, May
2000. http://www.epa.gov/safewater/publicnotification/regulations.html.
Ground Water Rule Factsheet: Public Notification, Consumer Confidence Report, and Special
Notice Requirements for Community Water Systems. EPA 816-F-08-026. June 2008.
http://www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
Ground Water Rule Factsheet: Public Notification and Special Notice Requirements for
Noncommunity Water Systems. EPA 816-F-08-030. June 2008.
http://www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
2.4 Questions & Answers
Some questions and Answers (Q&As) on the PN Rule are provided in this section. These questions have
been asked of EPA through the Safe Drinking Water Hotline, implementation training, or other means.
Ql. What is public notification?
Al. Public notification is intended to ensure that consumers will always know if there is a
problem with their drinking water. Public water systems must notify the people who drink
their water if the level of a contaminant in the water exceeds EPA and state drinking water
PN Rule Implementation Guidance 12 March 2010
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regulations, if there is a waterborne disease outbreak or any other situation that may pose a
risk to public health, if the water system fails to test its water as required, or if the system has
a variance or exemption from the regulations. Depending on the severity of the situation,
water suppliers have from 24 hours to one year to notify their customers. EPA sets strict
requirements on the form, manner, content, and frequency of public notices. Public
notification is provided in addition to the annual water quality report (consumer confidence
report, or CCR), which provides customers with a more complete picture of drinking water
quality and system operations. The annual CCR tells consumers what's in their water, where
it comes from, and where they can obtain additional information.
Q2. What action is EPA taking?
A2. Public notice provisions have existed in the SDWA since its enactment in 1974. Public
notification regulations were first revised in 1987 and again in 2000 (Federal Register 65 FR
25981 on May 4, 2000). The revised regulations require fewer notices overall, faster notice
in emergencies, and notices that better communicate the potential health risks from drinking
water violations and how to avoid such risks. The 2000 Rule made the notification process
less burdensome for water suppliers, while enabling them to better target notices to the
seriousness of the risk and to make notices easier to read for consumers. Since then, the PN
Rule has undergone minor modifications with promulgation of each new drinking water
regulation to incorporate any PN requirements specific to that rule.
Q3. What changes were made to the public notification requirements from the previously
published Rule to the Rule published on May 4, 2000?
A3. The changes are as follows:
24-hours notice. Water systems are required to distribute Tier 1 notices within 24 hours
(instead of 72 hours) for violations posing acute health risks due to short-term exposure.
In addition, the number of violations and situations requiring a Tier 1 notice were
significantly expanded from the previous Rule.
Consultation requirement. Water systems must consult with the state or EPA within 24
hours of notification of a Tier 1 violation or situation to receive direction on subsequent
requirements.
30-day notice for other serious violations. The notice deadline for violations of maximum
contaminant levels or treatment techniques which do not pose an immediate threat to
human health is extended from 14 days to 30 days, with possible extension to 3 months
(Tier 2).
12-month notice for non-serious violations. The notice deadline for all other violations is
extended from 3 months to 12 months, allowing a single annual report where applicable
(Tier 3). Systems may choose to include this notice in their annual consumer confidence
report (CCR).
Simplified standard language. The existing standard health effects language is simplified,
consistent with the CCR requirements. New standard language is now required for
monitoring violations. Recipients of public notices are also encouraged, through standard
distribution language in notices, to further distribute the notices to people who may not
receive a notice (such as tenants or hospital patients).
PN Rule Implementation Guidance 13 March 2010
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Streamlined distribution of notices. Under the previous Rule, water systems were
required to use specific multiple delivery methods when distributing notices. The revised
Rule requires water systems to select a single minimum method for each tier and to take
additional steps of their own choosing that are reasonably calculated to reach all the other
persons served. The minimum required methods of delivery listed in the revised
regulation include the media, hand delivery, or posting for Tier 1 notices, and direct mail,
hand delivery, or posting for Tier 2 and Tier 3 notices.
Certification of Compliance. The revised Rule requires a water system to certify to the
state within 10 days that it has met all public notice requirements. The previous Rule
required only that a copy of the notices be sent to the state.
Q4. How quickly do water systems have to send notices?
A4. Depending on the severity of the situation, water suppliers have from 24 hours to one year to
notify their customers after a violation or situation occurs. EPA specifies three categories, or
tiers, of public notification. Depending on what tier a violation or situation falls into, water
systems have different amounts of time to distribute the notice and different ways to deliver
the notice:
Immediate Notice (Tier 1): Any time a situation occurs where there is the potential for
human health to be immediately impacted, water suppliers have 24 hours to notify people
who may drink the water of the situation. Water suppliers must use media outlets such as
television, radio, and newspapers, post their notice in public places, or personally deliver
a notice to their customers in these situations.
Notice as soon as possible (Tier 2): Any time a water system provides water with levels
of a contaminant that violate EPA or state standards or that otherwise violates a treatment
technique requirement but that doesn't pose an immediate risk to human health, the water
system must notify its customers as soon as possible, but within 30 days of the violation.
Notice may be provided via the media, posting, or through the mail.
Annual Notice (Tier 3): When a water system violates a drinking water requirement (e.g.,
failing to take a required sample on time) or other situation (e.g., exceedance of the
fluoride SMCL) that does not have a direct impact on human health, the water supplier
has up to a year to provide a notice of this situation to its customers. The extra time gives
water suppliers the opportunity to consolidate these notices and send them with annual
water quality reports (for example, community water systems may include them in their
consumer confidence reports).
Q5. What information must be included in a notice?
A5. All notices must include:
A description of the violation or situation that occurred, including the potential health
effects.
When the violation or situation occurred.
Potential adverse health effects.
PNRule Implementation Guidance 14 March 2010
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The population at risk.
Whether alternate water supplies need to be used.
Actions consumers can take.
What the water system is doing to correct the problem.
When the system expects the problem to be resolved.
How to contact the water system for more information.
Language encouraging broader distribution of the notice.
Q6. How often do violations occur that require a public notice?
A6. Although serious water quality problems are rare, approximately 25 percent of the nation's
170,000 public water suppliers violate at least one drinking water standard every year and
are required to provide public notice. The majority of these violations are due to the failure
of water systems to complete all sampling in a timely manner. Only about one percent of the
time do water systems incur a violation for a serious situation that requires immediate
notification (Tier 1 public notice).
Q7. What types of violations and situations are covered under each tier?
A7. The regulation contains an Appendix listing every violation and situation requiring a public
notice and its tier (Appendix A to Subpart Q). The requirements for the timing of the public
notice and the form and manner of its delivery are determined by the tier to which the
violation or situation is assigned. For example, a total coliform violation where fecal
coliform is present falls under Tier 1, which requires notification delivery within 24 hours (at
a minimum) using appropriate broadcast media, posting, or hand delivery.
Q8. What are EPA requirements for the form, manner, and content of the public notices?
A8. The PN Rule sets minimum methods of delivery under each tier, but also requires that water
systems take steps reasonably calculated to reach others that may not be contacted by the
primary method. Each notice must contain information addressing ten elements (see Q5
above), including use of standard health effects language for MCL and TT violations and
standard language for monitoring violations. Public water systems serving a large proportion
of non-English speaking consumers are also required to include information in the notice in
languages other than English.
Q9. Which public water systems are affected by the regulation?
A9. All public water systems are affected by the regulation regardless of their size or type.
The PN Rule requires states with primary enforcement authority to revise their approved
primacy programs to adopt regulations no less stringent than the revised EPA regulations.
The final regulation gives states considerable discretion, at their option, to work with EPA to
tailor public notification programs to fit unique needs, policies, and programs.
PN Rule Implementation Guidance 15 March 2010
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Q10. How is EPA helping public water systems with the PN requirements?
A10. EPA and the Association of State Drinking Water Administrators (ASDWA) issued a Public
Notification Handbook (EPA 816-R-00-010) in June 2000 to assist water systems in
implementing the regulation. A revised Public Notification Handbook (EPA 816-R-07-003)
specifically for community and non-transient noncommunity water systems was published in
March 2007 along with a handbook for transient noncommunity systems (EPA 816-R-07-
004), which was developed to only include provisions specific to transient systems. A
second revision to both the CWS and NTNCWS PN Handbook (EPA 816-R-09-013) and the
TNCWS PN Handbook (EPA 816-R-09-009) were reviewed by ASDWA and AWWA and
are being published concurrently with this document (March 2010). The most recent
Handbooks include templates for public notices for many violations and other situations
included in EPA drinking water regulations published to date (March 2010), and other aids
to help water systems develop their own notices.
PN Rule Implementation Guidance 16 March 2010
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Section 3
State Implementation
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This Page Intentionally Left Blank
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3.1 Overview of Implementation
The PN Rule requires all PWSs to alert consumers to potential health risks from violations of drinking
water standards or other situations that can pose public health risks, and to tell consumers how to avoid or
minimize such risks. The revised PN Rule, published in the Federal Register on May 4, 2000, modified
the minimum requirements PWSs must meet regarding the form, manner, frequency, and content of
public notices from those listed in the former PN Rule. States with primary enforcement responsibility
(primacy) were required to revise their drinking water programs by adopting regulations that were at least
as stringent as the revised public notification requirements as soon as possible, but no later than May 6,
2002.
States should note that in several sections the guidance makes suggestions and offers alternatives that go
O OO O
beyond the minimum requirements indicated by reading 40 CFR 142.16. EPA does this to provide states
with information and/or suggestions that may be helpful to states' implementation efforts. Such
suggestions may be prefaced by "may" or "can" and are considered to be advisory. They are not required
elements of states' programs.
3.2 Identify Affected Systems and Requirements
Provisions of the PN Rule apply differently to each type of PWSs. For instance, NTNCWSs and
TNCWSs have different delivery method options than CWSs. In addition, NTNCWSs and TNCWSs have
different violations or situations that require public notification (e.g., TNCWSs are not required to test for
inorganic chemicals).
3.2.1 General Provisions
The PN Rule applies to all PWSs with violations of NPDWRs or other situations posing a public health
risk. Each owner or operator of a PWS must provide a public notice to all persons served when the system
fails to comply with certain drinking water regulations, has been granted a variance or exemption from
the regulations, or is facing other situations posing a potential risk to public health.
In general, public notice is required for any of the following violations:
Exceedances of MCLs or MRDLs.
Violation of treatment techniques.
Monitoring and testing procedure violations.
Failure to comply with the schedule of a variance or exemption.
Other situations (not violations) which require public notice include:
Occurrence of a waterborne disease outbreak or other waterborne emergency.
Fecal indicator-positive ground water source sample.
Exceedance of the nitrate MCL in noncommunity water systems (NCWSs) that have been granted
permission by the state to continue to exceed the nitrate MCL of 10 mg/1 (although they may not
exceed 20 mg/1).
Exceedance of the fluoride SMCL.
PN Rule Implementation Guidance 19 March 2010
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Availability of unregulated contaminant monitoring results.
Operation under a variance or exemption.
States may require notice for other violations and situations.
3.2.2 Public Notice Tiers 1, 2, and 3
[40 CFR 141.202(a)-(b), 141.203(a)-(b), 141.204(a)-(b)]
The PN Rule classifies violations of drinking water standards and other situations into three tiers based
upon the risk of adverse health effects:
Tier 1 applies to NPDWR violations and situations with significant potential to have serious
adverse effects on human health as a result of short-term exposure. Notice is required within 24
hours of the violation or situation.
Tier 2 applies to other NPDWR violations and situations with the potential to have serious
adverse effects on human health. Notice is required within 30 days of the violation or situation,
with the possibility of an extension of up to three months at the discretion of the state.
Tier 3 applies to all other NPDWR violations and situations not included in Tier 1 and Tier 2.
Notice is required within 12 months of the violation or situation.
The tier to which a violation or other situation is assigned determines the form, content, and frequency of
the public notice. EPA believes this linkage between the tier and the form, manner, and timing will allow
water systems to effectively tailor the public notice to the health risk from each violation.
Table 3-1 below shows the appropriate tiers for NPDWR violations and other situations. A complete list
of contaminants and their appropriate tiers can be found in Appendix A to Subpart Q.
PN Rule Implementation Guidance 20 March 2010
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Table 3-1. Violations and Situations Requiring Public Notice
Tier 1 Violations and Other Situations Requiring Notice Within 24 Hours*
Violation of the MCL for total coliform, when fecal coliform or E. coli are present in the water distribution
system, or failure to test for fecal coliform or E. coli when any repeat sample tests positive for coliform.
Violation of the MCL for nitrate or nitrite, or when a confirmation sample is not taken within 24 hours of the
system's receipt of the first sample showing exceedance of the nitrate or nitrite MCL.
Exceedance of the nitrate MCL (10 mg/l) by noncommunity water systems, where permitted to exceed the MCL
(up to 20 mg/l) by the state.
Violation of the MRDL for chlorine dioxide when one or more of the samples taken in the distribution system on
the day after exceeding the MRDL at the entrance of the distribution system, or when required samples are not
taken in the distribution system.
Violation of the turbidity MCL of 5 NTU, where the state determines after consultation that a Tier 1 notice is
required or where consultation does not occur in 24 hours after the system learns of violation.
Violation of the treatment technique requirement resulting from a single exceedance of the maximum allowable
turbidity limit, where the state determines after consultation that a Tier 1 notice is required or where consultation
does not take place in 24 hours after the system learns of violation.
Occurrence of a waterborne disease outbreak, as defined in 40 CFR 141.2, or other waterborne emergency.
Detection of E. coli, enterococci, or coliphage in a ground water source sample.
Other violations or situations with significant potential to have serious adverse effects on human health as a
result of short-term exposure, as determined by the state either in its regulations or on a case-by-case basis.
* If the system experiences any of these violations or situations, in addition to issuing public notice, it must initiate
consultation with the state as soon as practical but within 24 hours after learning of the violation or situation. Note:
Initiate consultation means that at a minimum, the system has taken steps to contact the state. EPA and most states
now have voicemail or an emergency hotline, so systems should be able to leave a message. If the system is not
able to reach anyone within the 24-hour period, the system must still issue public notice within that timeframe. When
consultation does occur, the state or EPA will inform the system of any additional steps they must take as a follow-up
to the initial notice.
Tier 2 Violations and Other Situations Requiring Notice Within 30 Days'
All violations of MCL, MRDL, and (TT) requirements except where Tier 1 notice is required.
Violations of monitoring requirements where the state determines that a Tier 2 public notice is required,
taking into account potential health impacts and persistence of the violation.
Failure to comply with the terms and conditions of any variance or exemption in place.
For ground water systems providing 4-log treatment for viruses, failure to maintain required treatment for more
than 4 hours.
Failure to take corrective action within the required timeframe or be in compliance with a state-approved
corrective action plan and schedule for a fecal indicator-positive source sample under the Ground Water
Rule.
Failure to take corrective action within the required timeframe or be in compliance with a state-approved
corrective action plan and schedule for a significant deficiency under the Ground Water Rule.
Special public notice for repeated failure to conduct monitoring for Cryptosporidium (40 CFR 141.211).
** If the system exceeds the maximum allowable turbidity level, as identified in Appendix A to Subpart Q, it must
consult with the state as soon as practical but no later than 24 hours after learning of the violation. Note: Consult with
the state means that the system contacts and has a discussion with the state about the violation. If the system does
not have a consultation with the state within the 24-hour period, a Tier 1 public notice requirement is automatically
triggered and the system must issue a public notice within the next 24-hour period. In contrast to the term "initiate
consultation" for Tier 1 violations or situations, EPA intends that the system actually have a discussion about the
violation or situation.
PN Rule Implementation Guidance
21
March 2010
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Tier 3 Violations and Other Situations Requiring Notice Within 1 Year
Monitoring violations, except where a Tier 1 notice is required or the state determines that the violation
requires a Tier 2 notice.
Failure to comply with an established testing procedure, except where a Tier 1 notice is required or the state
determines that the violation requires a Tier 2 notice.
Operation under variance granted under ง 1415 or exemption granted under ง 1416 of the Safe Drinking Water
Act.
Availability of unregulated contaminant monitoring results.
Exceedance of the secondary maximum contaminant level for fluoride (community water systems only).
3.2.3 Content of a Public Notice - Ten Required Elements
[40 CFR 141.205(a)]
With the exception of some special notices as described in Section 3.2.9., all public notices must include a
clear and readily understandable explanation of each violation or situation and must address the following
ten elements:
1) A description of the violation or situation including contaminant(s) of concern and (as applicable)
the contaminant level(s).
2) When the violation or situation occurred (i.e., date the sample was collected or was supposed to
be collected).
3) Any potential adverse health effects from the violation or situation, using standard language for
health effects provided in Appendix B to Subpart Q or for monitoring or testing procedure
violations provided in 40 CFR 141.205(d)(2). (Refer to Section 3.2.8 of this document).
4) The population at risk, including subpopulations particularly vulnerable if exposed to the
contaminant in their drinking water.
5) Whether alternate water supplies should be used.
6) What actions consumers should take, including when to seek medical help (if known).
7) What the system is doing to correct the violation or situation.
8) When the system expects to return to compliance or resolve the situation.
9) Contact information: name, business address, and phone number of the water system owner,
operator, or designee of the PWS that can provide additional information concerning the notice.
10) A statement encouraging notice recipients to distribute the notice to other persons served, where
applicable, using standard language provided in 40 CFR 141.205(d)(3). (Refer to Section 3.2.8 of
this document).
Although required elements may not appear to be applicable to each type of violation, the system must
still address each element in the notice. For example, if there is no "action consumers should take," the
notice should not disregard this requirement but simply state this. EPA believes this is especially
important for Tier 2 notices, where a violation may have been resolved by the time the notice is issued or
PN Rule Implementation Guidance
22
March 2010
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may not be an immediate health risk. Systems may consult with their state or a local health department for
the appropriate information for some elements of the notice, such as the actions consumers should take.
The local health department also can help identify other system-specific information, such as populations
at risk (e.g., children or dialysis patients).
If a system does not know when it will return to compliance, EPA expects the notice to give consumers an
idea of how long it will take. For example, it may take a few days to resolve an E. coll violation or a few
months to install corrosion control. Public notice is required for as long as the violation or situation
persists. When the problem is resolved, EPA recommends that a system issue a follow-up notice.
For some situations, such as waterborne emergencies, that may not have mandatory health effects
language, systems will have to develop situation-specific descriptions of potential health effects. A PWS
may be able to adapt the language from a treatment technique or MCL violation. Figure 3-1 contains an
example showing how all the required content elements fit into a notice for a violation.
PN Rule Implementation Guidance 23 March 2010
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Figure 3-1. Required Elements of a Public Notice
2) Mien ihe
violation or
situation
occurred
f
6) Actions <
consumers
should take
3} Potential
health effects
7) Wliai is being
done to correct
the violation or
situation
10| Required
distribution
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Tests Showed Co lifonn Bacteria in Jo Jiesville Mobile Heine Park Water
We routinely m onitor f of drinking water contaminants. We took three ,.
samples to test for the presence of coliform bacteria during July, Two of out
samples showed the presence of total coliform bactena The standardisthat
no m ore than 1 sarn pie p er m onth m ay do so.
Whntshouldldo?
r
You do not need to boil your water or take other collective actions:
However, if youhave specific health concerns, consult your doctor.
You do notneedto Use an alternate (e.g. bottled) water supply.
If you have a severely com promised immune system, have an infant, are
pregnant, or are elderly, you maybe atincreasednsk and should seek
advicefrotti your healthcare providers about drinking this Water.
General guidelines oil ways to lessen the nsk of infection by microbes^
are available from EFA's Safe Drinking Water H otline at 1 -ง0.0-426-
4791
Wlw r do es this in en 11*?
This is not an em ergency. I fit ha d b e en you would ha ve b e en notifie d within
24 hours. Total coliform bacteria are generally notharmful them selves.
' CoHforms are bacteria which are naturallypresent in the environment and
are used as an indicator that of her., potentially-harmful, bacteria may be
present. Co liforms were found in more samples than all owed and this was a
warning of potential problems.
Usually, colif onus are a sign thatthere could be a problem with our treatm erA
or distribution system (jMpes), Whenever we detect colif ami bacteria in any
sample, we do follow-up testing to see if other bacteria of greater concern,
suchasfecal coliform or S. coli, are present. We dM not find any oftkese
b acteria in u or sub sequent testing.
k Wlia t wn $ donel
We took additional samples for coliform bactena which all cam eback
negative. As an addedprecaution, we chlorinated andflushedthe pipes in the
distribution system to m ake sure bacteria were eliminated. This situation is *"
now resolved.
For m ore inform ation, or to learn m ore about protecting your drinking water
please contactJohnJonesatl-502-5554213, ซ
^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, nursinghomes, schools, and businesses). You. can do
this bypostingthis notice in a public place or distribufingcopies by hand or
mail.
This notice is being sent to you by the Jonesville Mobile Home Park.
State Water System I D#l 23 4567. DateDistfibuted. 8/8/09.
If Description ot
the violation or
sitirntion
5) Should
nliem.He water
supplies lie
used
4) The popdliitioir
it risk
8| When the system
expects to return
to compliance
9) Name and Phone
number for more
iiiluiin.iiioh
PN Rule Implementation Guidance
24
March 2010
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3.2.4 Minimum Delivery Requirements for Public Notice
[40 CFR 141.202(c), 141.203(c), and 141.204(c)]
The PN Rule establishes minimum delivery methods for systems to use in distributing public notices for a
Tier 1, 2, or 3 violation or situation. Water systems must select at least one delivery method from the
regulatory list and take steps reasonably calculated to reach others served by the system.
Tierl
40 CFR 141.202(c) gives systems the flexibility to choose the specific method of delivery to distribute
Tier 1 notices. For Tier 1 notification, a PWS must use, at a minimum, at least one of the following
delivery methods:
Appropriate broadcast media.
Posting of the notice in conspicuous locations.
Hand delivery.
Another minimum delivery method specified in writing by the state.
The Rule also establishes a performance standard requiring the system to use delivery methods reasonably
calculated to reach all other persons not reached by the primary method within the 24-hour period,
including all residential, transient, and non-transient users of the water.
Tiers 2 and 3
Delivery requirements for Tier 2 and 3 notices differ depending on whether a system is a CWS or a
NCWS. The requirements for delivering Tier 2 notices are specified in 40 CFR 141.203(c). Requirements
for Tier 3 notification are specified in 40 CFR 141.204(c). The Rule requires a CWS, at a minimum, to
mail or otherwise directly deliver the notice to each customer receiving a bill and to other service
connections to which water is delivered, and to use another method reasonably calculated to reach other
persons regularly served by the system. NCWSs must, at a minimum, post the notice in conspicuous
locations or mail or directly deliver the notice to each customer and service connection (if known), and to
use another method reasonably calculated to reach other persons if they would not normally be reached by
the posted notice. The state may direct the system in writing to provide a delivery method other than the
methods required in 40 CFR 141.203(c) and 40 CFR 141.204(c).
Table 3-2 summarizes the minimum delivery requirements prescribed for Tier 1, 2, and 3 notices.
If a public notice is posted, it must remain in place for as long as the violation or situation lasts, but in no
case less than seven days, even if the violation or situation is resolved [40 CFR 141.203(b) and 40 CFR
141.204(b)]. Generally, a violation or situation is considered to be resolved when the system has returned
to compliance as defined by the regulation in question; however systems may wish to contact their state to
determine whether a violation or situation is considered resolved.
PN Rule Implementation Guidance 25 March 2010
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Table 3-2. Requirements for Issuing Public Notice
Tier
Deadline for
Initial Notice
Repeated
Notices*
Delivery Methods to Use
24 hours*
As dictated
by the state
1) Broadcast media (radio or television), hand delivery, or
posting.
2) In consultation with the state, additional methods may
be required.
30 days***
Every 3
months
CWS:
1) Mail or hand delivery.
2) Another method as needed to reach consumers not
likely to receive a notice from methods noted in item #1.
NCWS:
1) Posting, hand delivery, or mail.
2) Another method as needed to reach consumers not
likely to receive a notice from methods noted in item #1.
1 year**
Annually
CWS:
1) Mail or hand delivery (public notice delivery may be
provided by CCR if one year requirement is met).
2) Another method as needed to reach consumers not
likely to receive a notice from methods noted in item #1.
NCWS:
1) Posting, hand delivery, or mail.
2) Another method as needed to reach consumers not
likely to receive a notice from methods noted in item #1.
Repeated notices are required if the violation or situation persists, unless otherwise directed by
the state.
For Tier 1, systems must also initiate consultation with the state within 24 hours.
Systems with turbidity MCL violations based on the average of samples over two days or with
turbidity single exceedance treatment technique violations must consult with the state within 24
hours after learning of the violation.
EPA recommends consolidating all Tier 3 violations and situations occurring within a given year
into an annual notice (refer to Section 3.2.4.1 for more information).
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March 2010
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3.2.4.1 Use of Annual Notice to Meet Tier 3 PN Requirements
[40 CFR 141.204(b)(2), 141.204(d)]
The PN Rule allows systems the option of providing an annual notice summarizing all Tier 3 violations
occurring during the year instead of providing individual Tier 3 public notices [40 CFR 141.204(b)(2)].
Given that the majority of violations or situations require a Tier 3 public notice, EPA believes the
advantages of using an annual notice for Tier 3 violations or situations are reduced cost and more
effective communication with consumers.
A community water system (CWS) has the option to use their consumer confidence report (CCR) as a
vehicle for Tier 3 notices (initial and repeat notices). States and systems should be aware that the timing
and content requirements of the PN Rule differ from those of the CCR Rule and any Tier 3 notices
inserted in the CCR must meet the PN requirements. With regard to timing, for example, a CCR
published on July 1, 2011 must include violations or situations that occurred between January 1, 2010 and
December 31, 2010. However, a CCR published on this date cannot be used to provide public notification
for Tier 3 violations or situations that occurred between January and June 2010 since the CCR would
reach consumers more than a year after they occurred. To minimize the timing conflict, systems could
publish the CCR early (i.e., as soon after the end of the calendar year as possible) or include a separate
public notice for the violations that occurred from January through June of the current year in the same
envelope as the CCR covering the previous calendar year's violations.
As specified in 40 CFR 141.204(d), if a CWS chooses to use the CCR for public notification, the CWS
must:
1) Provide the CCR to all persons served no later than 12 months after the system learns of the
violation as required in 40 CFR 141.204(b).
2) Meet the PN requirements for content of Tier 3 public notices under 40 CFR 141.205.
3) Distribute the CCR following the PN delivery requirements in 40 CFR 141.204(c). Small CWSs
that have a mailing waiver for CCR would not satisfy the PN delivery requirements. In addition,
the CCR must be provided to persons served that are not necessarily only the billing customers
who would receive the CCR.
3.2.5 Who Must be Notified
[40 CFR 141.201(c), 141.206, and 141.210]
Each PWS must provide public notice to persons served by the water system [40 CFR 141.201(c)]. EPA
interprets the obligation of a system to reach persons served to extend beyond bill-paying customers and
service connections to all consumers of the system's drinking water. This means that a PWS must take
steps reasonably calculated to inform people who drink the water if they would not be reached by the
primary delivery methods. For example, if a CWS mails a notice to its billing customers only, people who
do not receive water bills, such as tenants or people who work in the area served by the system but live
elsewhere would not receive a notice. Publishing the notice in the newspaper and/or providing copies of
the notice to landlords to distribute to their tenants would help reach those people. In addition to posting
the notice, a NCWS could deliver multiple copies of the notice to central locations (e.g., community
centers).
The PN Rule also requires inclusion of standard language in the notice to encourage distribution of the
notice, where applicable. This language is included in Section 3.2.8 and is intended to increase public
PN Rule Implementation Guidance 27 March 2010
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awareness of the situation. However, use of this language does not relieve systems of their obligation to
notify persons served.
3.2.5.1 Wholesale and Consecutive System Responsibilities
[40 CFR 141.201(c)(l)]
Public water systems that sell or otherwise provide drinking water to other public water systems are
required to give public notice of a violation or situation to the owner or operator of any systems to whom
they sell water. (Selling systems are known as "wholesale" systems; purchasing systems are referred to as
"consecutive" systems.) The wholesale system is not required under the PN Rule to distribute notice to
persons served by the consecutive systems. It is the responsibility of the consecutive system to provide
public notice to the people it serves. For example, if a PWS supplies water to six other systems, the PN
Rule requires the wholesale system to provide public notice to the owner or operator of each of the other
six water systems. Each of the six consecutive systems must, in turn, provide notice to the persons they
serve within the appropriate deadline.
The "clock" for public notification (i.e., the point in time from which the deadline for notification is
determined) begins for each of the consecutive systems when they are notified of the violation or
situation. In a situation where a system purchases water, then sells some of this water to another system,
this could have a "multiplying" effect. In a Tier 1 situation, for example, the notification deadline for the
third system could be up to three days after the violation was originally identified. In such circumstances,
it may be easier and more appropriate for the wholesale system to notify all consumers of consecutive
systems by broadcasting the notice over television or radio, or for the systems to issue joint notices. In
general, wholesale systems should send copies of the notice to their consecutive systems prior to
notifying the media, if time permits. Although the legal obligations are clear under the Rule, EPA
recommends that in such cases the wholesale and consecutive systems agree on, and specify in their
contracts, the most effective approach for distributing public notices.
3.2.5.2 Limited Distribution of Notices
[40 CFR 141.201(c)(2)]
In cases where a system has a violation in a portion of the distribution system that is physically or
hydraulically isolated from the rest of the distribution system, the PN Rule provides states with the
flexibility to allow a system to only notify persons served by that portion of the system that is out of
compliance. The state must provide written permission to the system for limiting distribution of the
notice.
This provision can also apply to wholesale systems and consecutive systems. If a consecutive connection
is in an area of the distribution system that is isolated from other parts of the distribution system, and that
portion of the distribution serving the consecutive system is in compliance, the state can grant the
wholesale system permission, in writing, to only notify those areas of the distribution system that are not
in compliance. Thus the consecutive system would not be notified of the violation.
3.2.5.3 Copy of Notice to State
[40 CFR 141.201(c)(3)]
A copy of the notice and certification that all requirements have been met must be sent to the state, in
accordance with the requirements of 40 CFR 141.31(d). Refer to Section 3.2.11 of this document for more
information.
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3.2.5.4 Notice to New Billing Units
[40 CFR 141.206]
The Rule requires community water systems to give a copy of the most recent public notice for any
continuing violation, the existence of a variance or exemption, or other ongoing situations requiring a
public notice to all new billing units or new customers prior to or at the time service begins. Non-
community water systems must continuously post the public notice in conspicuous locations to inform
new consumers of any continuing violation, the existence of a variance or exemption, or other ongoing
situations requiring public notice.
3.2.5.5 Notice by the State on Behalf of the System
[40 CFR 141.210]
The state at its discretion, may give public notice on behalf of the PWS if all PN requirements are met.
The owner or operator of the PWS remains responsible for ensuring that the PN requirements are met.
3.2.6 Variances and Exemptions
[40 CFR 141.204(b)(l) and 141.205(b)]
Systems operating under a variance or exemption must provide Tier 3 notice to their consumers within
one year of obtaining the variance or exemption, and repeat the notice annually for as long as the variance
or exemption exists. In addition, if the notice is posted, it must remain in place for as long as the variance
or exemption exists [40 CFR 141.204(b)(l)]. The notice must include the following [40 CFR 141.205(b)]:
An explanation of the reasons for the variance or exemption.
The date on which the variance or exemption was issued.
Brief report on the steps the system is taking to comply with the terms of the variance or
exemption.
Notice of any opportunity for public input of the variance and exemption.
A system that violates the conditions of a variance or exemption must issue a Tier 2 public notice
containing the ten elements specified in 40 CFR 141.205(a).
3.2.7 Multilingual Requirements
[40 CFR 141.205(c)(2)]
The PN Rule establishes minimum multilingual requirements for PWSs to meet. If a large proportion of
the population a system serves does not speak English, the system must provide at least partially
multilingual notices. The notice must, at a minimum, contain information in the appropriate language(s)
regarding the importance of the notice, or it must provide a phone number or address where a translated
notice or information or assistance in the appropriate language is available. The state may establish
criteria for what constitutes a large proportion of the population served. The PN Rule also requires a PWS
to comply with the multilingual requirements, where appropriate, even in those cases where the state does
not provide further direction.
To determine the languages spoken in a community, systems should rely on knowledge of their consumer
base or contacts with community representatives. Another possible source of information on the
languages spoken in a locale is the US Census Bureau's Web site, http://factfinder.census.gov, which
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contains information about local communities. The Census database includes answers to questions about
what languages besides English are spoken at home and the level of English proficiency.
EPA expects systems to be more proactive in deciding whether to translate PNs than they would for
CCRs because public notices are about violations of drinking water standards or other situations that pose
a health risk, whereas CCRs are more educational in nature. Systems may wish to provide notices in
multiple languages if non-English speaking populations are in the service area, whether or not there are a
large proportion of such people. Although systems are not required to provide full translations of notices,
this is strongly recommended for Tier 1 notices and for other violations that pose a serious health risk.
The revised CWS and NTNCWS PN Handbook (EPA 816-R-09-013) and the revised TNCWS PN
Handbook (EPA 816-R-09-009) include Spanish translations for two Tier 1 notices: violation of the
nitrate MCL and violation of the total coliform MCL where fecal coliforms or E. coli are present. These
are posted on EPA's Web site at: http://www.epa.gov/safewater/publicnotification/compliancehelp.html.
3.2.8 Standard Language for Public Notices
[40 CFR 141.205(d)]
The PN Rule contains mandatory health effects language for MCL, MRDL, and TT violations, standard
language for monitoring violations, and standard language for distribution of the notice to all persons
served.
Appendix B to Subpart Q specifies health effects language for MCL and MRDL violations, TT
violations, and violations of the conditions of a variance or exemption. A PWS must include in
each public notice the health effects language specified in Appendix B to Subpart Q [40 CFR
141.205(d)(l)]. If there is no mandatory language provided for a violation or situation, systems
should describe potential health effects using their own language.
The following language must be included for all monitoring violations (including testing
procedure violations) [40 CFR 141.205(d)(2)]:
We are required to monitor your drinking water for specific contaminants on a regular
basis. Results of regular monitoring are an indicator of whether or not your drinking
water meets health standards. During [compliance period], we ['did not monitor or test'
or 'did not complete all monitoring or testing'] for [contaminant(s)], and therefore
cannot be sure of the quality of your drinking water during that time.
The following language to encourage distribution of the notice to all persons served must be
included in all notices, where appropriate [40 CFR 141.205(d)(3)]. EPA believes distribution of
the notice to all persons served increases public awareness of the situation. Use of this language
does not relieve systems of their obligation to notify persons served:
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.
There are situations where this may not apply. For example, this language would probably not be
necessary on a posted notice, since posting makes the notice available to everyone who passes by.
It would also not be needed for a notice provided by broadcast and print media.
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3.2.9 Special Notices
[40 CFR 141.207,141.208,141.209, and 141.211]
The PN Rule specifies violations and situations that have special conditions of form, manner, and/or
content. They are referred to as special notices. Situations that require special notice include the
availability of unregulated contaminant monitoring data, fluoride SMCL exceedances, and NCWS nitrate
exceedances above the MCL allowed by the state. Violations that require special notice include repeated
failure to conduct monitoring of the source water for Cryptosporidium, and failure to determine bin
classification or mean Cryptosporidium level.
Unregulated contaminant monitoring [40 CFR 141.207]: If a PWS is required to monitor for
unregulated contaminants under the Unregulated Contaminant Monitoring Rule, it must issue a
public notice stating that the results of the monitoring are available and give a phone number to
call for those results. The ten required elements of a public notice [40 CFR 141.205(a)] do not
need to be included, but the system must follow the Tier 3 schedule to issue a public notice no
later than 12 months after the monitoring results are known. Systems also have the option to
include this information in an annual notice for Tier 3 situations and violations.
Exceedance of the SMCL for Fluoride [40 CFR 141.208]: CWSs that exceed the SMCL of 2
mg/1 for fluoride but do not exceed the MCL of 4 mg/1 must provide public notice containing the
special fluoride language shown below (in italics). Systems do not need to include the ten
required elements of a public notice [40 CFR 141.205(a)], as these are addressed in the
mandatory special language.
This is an alert about your drinking water and a cosmetic dental problem that might
affect children under nine years of age. At low levels, fluoride can help prevent cavities,
but children drinking water containing more than 2 mg/l of fluoride may develop
cosmetic discoloration of their permanent teeth (dental fluorosis). The drinking water
provided by your community water system [name] has a fluoride concentration of [insert
value] mg/l.
Dental fluorosis, in its moderate or severe forms, may result in a brown staining and or
pitting of the permanent teeth. This problem occurs only in developing teeth, before they
erupt from the gums. Children under nine should be provided with alternative sources of
drinking water or water that has been treated to remove the fluoride to avoid the
possibility of staining and pitting of their permanent teeth. You may also want to contact
your dentist about proper use by young children of fluoride-containing products. Older
children and adults may safely drink the water.
Drinking water containing more than 4 mg/l of fluoride (the US Environmental
Protection Agency's drinking water standard) can increase your risk of developing bone
disease. Your drinking water does not contain more than 4 mg/l of fluoride, but we are
required to notify you when we discover that the fluoride levels in your drinking water
exceed 2 mg/l because of this cosmetic dental problem.
For more information, please call [name of water system contact] of [name of community
water system] at [phone number]. Some home water treatment units are also available to
remove fluoride from drinking water. To learn more about available home water
treatment units, you may call NSFInternational at l-877-8^NSF-HELP.
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Public notice must be provided as soon as practical but no later than 12 months from the day the
water system learns of the exceedance. A copy of the notice must also be sent to all new billing
units and new customers at the time service begins as well as to the state public health officer or
state health department. The water system must repeat the notice annually for as long as the
SMCL is exceeded. If the public notice is posted, the notice must remain in place for as long as
the SMCL is exceeded, but in no case less than seven days (even if the exceedance is eliminated).
On a case-by-case basis, the state may require an initial notice sooner than 12 months and repeat
notices more frequently than annually. The form and manner of the public notice (including
repeat notices) must follow the requirements for a Tier 3 public notice specified in 40 CFR
141.204(c),(d)(l)and(d)(3).
Nitrate exceedances above the MCL by NCWSs [40 CFR 141.209]: The owner or operator of
a NCWS granted permission by the state under 40 CFR 141.11 (d) to exceed the nitrate MCL
must provide notice to persons served according to the requirements for a Tier 1 notice under 40
CFR 141.202(a) and (b). The NCWS must provide continuous posting of the fact that nitrate
levels exceed 10 mg/1 according to the requirements for Tier 1 notice delivery under 40 CFR
141.202(c) and the content requirements under 40 CFR 141.205 (the 10 required elements).
Repeated failure to conduct monitoring of the source water for Cryptosporidium for surface
water systems [40 CFR 141.211]: Surface water systems that incur a violation for failing to
conduct required Cryptosporidium monitoring of their source water for any three months are
required to issue a Tier 2 special notice within 30 days. The notice must meet all the Tier 2 PN
requirements. The notice must also include the following mandatory language as well as a
description of what the system is doing to correct the violation and when the system expects to
return to compliance or resolve the situation:
We are required to monitor the source of your drinking water for Cryptosporidium. Results of the
monitoring are to be used to determine whether (treatmentplant name) is sufficient to adequately
treat the water for Cryptosporidium. We are required to complete this monitoring and make this
determination by (required bin determination date). We "did not monitor or test" or "did not
complete all monitoring or testing" on schedule and, therefore, we may not be able to determine
by the required date what treatment modifications, if any, must be made. Missing this deadline
may, in turn, jeopardize our ability to have the required treatment modifications, if any,
completed by the deadline required, (date). For more information, please call (name of water
system contact) of (name of water system) at (phone number).
Monitoring the source water for Cryptosporidium is a requirement under LT2ESWTR. The
compliance date for this requirement depends on the schedule the system must follow under
LT2ESWTR.
(Note: systems that fail to collect one or two months of the scheduled Cryptosporidium samples
are required to issue Tier 3 notification. In this case, special notice language does not apply.)
Failure to determine bin classification or mean Cryptosporidium level [40 CFR 141.211]:
Surface water systems that fail to determine their bin classification or mean Cryptosporidium
level after completing source water monitoring required under LT2ESWTR are required to issue
Tier 2 special notice within 30 days. The notice must meet all the Tier 2 PN requirements. The
notice must also include the following mandatory language as well as a description of what the
system is doing to correct the violation and when the system expects to return to compliance or
resolve the situation:
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We are required to monitor the source of your drinking water for Cryptosporidium in order to
determine by (date) whether water treatment at the (treatmentplant name) is sufficient to
adequately remove Cryptosporidium from your drinking water. We have not made this
determination by the required date. Our failure to do this may jeopardize our ability to have the
required treatment modifications, if any, completed by the required deadline of (date). For more
information, please call (name of water system contact) of (name of water system) at (phone
number).
The compliance date for this requirement depends on the schedule the system must follow under
LT2ESWTR.
3.2.10 Formatting Requirements for Public Notices
[40 CFR 141.205(c)(l)]
All public notices must meet certain formatting standards. These requirements help highlight notices in a
newspaper and help ensure that consumers can easily understand the notice.
>^ Notices must be displayed in a conspicuous way (where printed or posted).
>^ They may not contain overly technical language or very small print.
>^ They may not be formatted in a way that defeats the purpose of the notice.
>^ They may not contain language which nullifies the purpose of the notice.
3.2.11 Certification
[40 CFR 141.31(d)]
The PN Rule requires a PWS, within 10 days of completing the public notification requirements for the
initial public notice and any repeat notices, to submit a certification to the state that it has fully complied
with the PN regulations along with a copy of each type of notice. A PWS must include with the
certification a copy of each type of notice distributed, published, posted, or made available to the persons
served by the system and to the media (e.g., press release to TV/radio, mail notices). In the revised CWS
and NTNCWS PN Handbook (EPA 816-R-09-013) and the revised TNCWS PN Handbook (EPA 816-R-
09-009), EPA include a sample certification "box" with appropriate language, suitable for checking off
required activities as a PWS completes them. The sample is also provided below in Figure 3-2. The box is
not mandatory (only a statement is); however, it can be a useful tool for systems to track and note
required activities. States may develop their own certification forms specifying content and format.
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Figure 3-2. Sample Certification Box
PWS Name: [give system name!
PWS ID #: [provide PWS number!
For Violation: [describe violation or situation!
Occurring on: [insert date! .
The public water system indicated above hereby affirms that public notice has been
provided to consumers in accordance with the delivery, content, and format requirements
and deadlines in [regulatory citation].
n Consultation with primacy agency (if required) on [insert date! .
n Notice distributed by [insert method! on [insert date!
n Notice distributed by [insert method! on [insert date!
n Content - required elements.
Signature of owner or operator Date
3.2.12 Public Water System Recordkeeping Requirements
[40 CFR 141.33(e)]
The PN Rule requires a PWS to maintain copies of all public notices and certifications made to the state.
The PWS must keep these records for at least 3 years after issuance.
3.3 Communicate PN Rule Requirements to Systems
If yet to be completed, states should identify what actions they plan on taking and develop a schedule for
carrying out those actions in order to implement the PN Rule in a timely and effective manner. One key
step for states implementing the PN Rule 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.
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 PN Rule's provisions, states may find it useful to draft and send out
different form letters to different categories of systems (CWS, NTNCWS or TNCWS). States should
consider categorizing systems early on in their PN Rule communication efforts so that each system is
provided only with the provisions that apply to them.
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3.3.2 Methods of Communication
Written Notice
Providing written notice of rule requirements to PWSs serves two purposes: (1) the recipient system
obtains a formal notice of upcoming regulatory requirements and a timeline for compliance, and (2) the
state 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 document includes this type of additional information. The documents in Appendix C are intended to
be distributed to water systems through mailings, training sessions, and other educational forums. These
publications (also available at http://www.epa.gov/safewater/publicnotification/compliancehelp.html')
provide overviews of the PN Rule to help systems understand the provisions of the Rule and determine
which provisions apply. The publications also describe the benefits of the Rule.
Although valuable, systems also need to be reminded that these resources do not substitute for official
rule language, and therefore, states should include in the letter the Web site address where their regulatory
language can be accessed.
Training Sessions
While written communications will provide necessary information to systems, training sessions can help
deepen a systems understanding of Rule 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 developed a training session on the PN Rule (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 are
available electronically on the EPA Web site at
http://www.epa.gov/safewater/publicnotification/compliancehelp.html.
Guidance Documents
Guidance documents developed for the PN Rule are also useful for explaining rule requirements and
specific aspects of rule implementation to system operators, including monitoring and compliance
determinations. The guidance documents can be used as stand-alone references or as supporting materials
in PN Rule training events. See Section 2 for more information on these references.
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 PN Rule.
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PNRule Implementation Guidance 36 March 2010
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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 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).
Note: Although the dates for obtaining primacy have passed, Sections 4.1 through 4.3.5 and 4.37 are
included as a historical reference. For new PN requirements from Rules promulgated after 2005, refer to
Sections 4.3.6 and 4.4.
4.1 State Primacy Program Revision
Pursuant to 40 CFR 142.12, 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 PN Rule
would begin on the date the state submits its 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 PN Rule
EPA/State Action
PN Rule promulgated
Rule compliance date for Direct Implementation Programs
Rule compliance date for all other programs
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
Time Frame
May 4, 2000
October 31 , 2000
May 6, 2002
JulyS, 2000
February 4, 2002
Completed within 90 days of
state submittal of draft
(suggested)
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EPA/State Action
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
States with approved extensions submit complete and final program
revision package
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
Time Frame
May 6, 20021
May 4, 20042
Completed within 90 days of
state submittal of final program
revision package
45 days Region
45 days Headquarters3
1. EPA suggests submitting an application by February 4, 2002, to ensure timely approval. EPA regulations allow states until
May 6, 2002, for this submittal. An extension of up to 2 years may be requested by the state.
2. EPA suggests submitting an application by February 4, 2004, 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 RequestEPA strongly encourages the submission of draft regulations and primacy revision
requests. 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 RequestThis 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 February 5, 2002, for the PN Rule). 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 promulgationideally within 2 months of promulgation.
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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 Headquarters (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.
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
State Request for Extension
*CPR142.12(b)
EPA Promulgates New or
RevisedNPDWR or Regulation
PN Regulation Promulgated
State Submits Draft. Primacy
Revision Application to EPA
(optional)
40 CFR 142,12(4X1)0)
EPA Review and
Tentative Determination
(suggestedwithinSO days)
40CFR142,12(ctXl)(ii)
State Submits Complete and
Final Primacy Revision
Application to EPA
4QCFR142.12(d)(2)
EPA Review and Determination
(within 90 days)
40CFR 142.12(d)(3)
Tiitmline
Start
May 4,2000
February 2001
February 2002
May 2002
9 Months Later
21 Months Latei1
24 Months Late;!
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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.
Therefore, the state must either adopt regulations pertaining to the PN Rule and submit a complete and
final primacy revision application by May 6, 2002, 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 PN Rule 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.
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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 it approves 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.
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 reasonsmost 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 PN Rule. Water suppliers are also
encouraged to refer to the PN Rule guidance materials, reference guide, and fact sheets listed in Section 2
and included in Appendix C.
PN Rule Implementation Guidance 43 March 2010
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Example 4-1. Example Extension Request Checklist
{Date}
{Regional Administrator}
Regional Administrator
US EPA Region =
{Street Address}
(Citv. State. Zip}
RE: Request/approval for an Extension Agreement
Dear {Regional Administrator}:
The State of {State} is requesting an extension to the date that final primacy revisions are due to EPA for
the Public Notification (PN) Rule until {insert date - no later than August 21T 2002}, 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 j
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 PN Rule 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 PN Rule.
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 PN Rule.
Keep PWSs informed of reporting requirements during development and implementation.
Report PN Rule 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 (NO Vs) for treatment technique and monitoring/ reporting violations of
the PN Rule.
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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 PN Rule 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 PN Rule 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 PN Rule as outlined above.
Regional Administrator Date
EPA Region {Region}
This Extension Agreement will take effect upon the date of the last signature.
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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 Relevant 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 provides an example of the checklist of general primacy requirements, as shown in Table
4-2, that should be completed and submitted with the state's primacy package. 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 state regulatory citation and date of 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 included new provisions for the definition of a PWS and administrative
penalty authority. States must adopt provisions at least as stringent as these SDWA provisions, codified at
40 CFR 142.2 and 40 CFR 142.10. Failure to revise these elements can affect primacy for the PN Rule.
States must have primacy or interim primacy for all existing regulations before they can receive interim
primacy for the PN Rule. 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
1 42.10(a)
142.10(b)(1)
142.10(b)(6)(i)
142.10(b)(6)(ii)
142.10(b)(6)(iii)
142.10(b)(6)(iv)
Primary Enforcement
Definition of Public Water System*
Regulations No Less Stringent
Maintain Inventory
Authority to apply regulations
Authority to sue in courts of competent
jurisdiction
Right of Entry
Authority to Require Records
Revision to
State Program
EPA
Findings/Comments
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Required Program Elements
142.10(b)(6)(v)
142.10(b)(6)(vi)
142.10(c)
142.10(f)
142.10(g)
Authority to Require Public Notification
Authority to Assess Civil and Criminal
Penalties
Maintenance of Records
Administrative Penalty Authority*
Electronic Reporting Regulations**
Revision to
State Program
EPA
Findings/Comments
* A requirement from the 1996 SDWA Amendments. Regulations published in the April 28,1998, Federal Register.
** 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 of this document, 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 Recordkeeping Requirements [40 CFR 142.14(f)]
Under the PN Rule, each state that has primary enforcement responsibility must maintain for 3 years:
records of certifications of compliance, copies of public notices received from the PWSs, and any state
determinations establishing alternative PN requirements for the water systems.
4.3.5 State Reporting Requirements [40 CFR 142.15(a)(l)]
Under the PN Rule, states must report whether there is a violation of the PN Rule (initial or repeat notice,
certification, etc.). In addition, the state needs to provide:
Date of the PN violation.
Link to the underlying NPDWR violation.
When the system has returned to compliance for the PN violation.
If the state brought formal enforcement action, the type of action, the date it was initiated, and the
date the violation was resolved.
The revised PN Rule requires states to report the information specified above within 45 days after the
quarter in which the PN violation occurred, or in which the system returned to compliance. Additional
information on state reporting is in Section 5 of this document.
4.3.6 Special Primacy Requirements [40 CFR 142.16]
Special primacy conditions pertain to specific regulations where implementation of the PN Rule involves
activities beyond general primacy provisions. States must include these rule-distinct provisions in an
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application for approval or revision of their program. 40 CFR 142.16(a)(l) requires states to submit
complete and final requests for approval of program revisions to adopt the revised PN requirements. In
addition, it allows states to establish alternative PN requirements with respect to the form and content of
the public notice. Alternative requirements for form and content must be designed to provide the same
type and amount of information as is required under Subpart Q. 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 PN Rule.
4.3.7 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}] 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)1 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)1 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 (5), 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].
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Model Language
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)1 does not affect the ability of {3} to meet enforcement and information
gathering requirements under the Safe Drinking Water Act because [State/Commonwealth of ฃ3}] 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 state if it has independent legal counsel.
(2) 40 CFR 142.11 (a)(6)(i) for initial primacy applications or 40 CFR 142.12(c)(1)(iii) for primacy
program revision applications.
(3) Name of state or commonwealth.
(4) Name of tribe.
(5) Name of state.
4.3.7.1 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,
(http://www.epa.gov/osw/laws-regs/state/policy/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.
PNRule Implementation Guidance 49 March 2010
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4.4 Guidance for the Special Primacy Requirements of the PN
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.
EPA believes these special primacy requirements are very important to implementation of the PN Rule.
These provisions give states the flexibility to augment or otherwise change the federal requirements to
build a more complete and effective state public notification program. In some cases the provisions
provide states with the option to tailor the EPA baseline requirements to increase program flexibility and
in other cases to be more stringent than the Federal Rule. Adoption of these provisions is not mandatory,
but for any provision a state chooses to adopt and address in the primacy revision application, the state
should provide a general explanation of how it intends to implement the provision. For the purpose of
satisfying primacy review, EPA does not expect a state to describe detailed technical procedures for
evaluations that will be done on a case-by-case basis. Special primacy requirements for the PN Rule are
listed in 40 CFR 142.16(a) and described below.
40 CFR 142.16(a)(l) requires states to submit complete and final requests for approval of program
revisions to adopt the revised PN requirements. In addition, it allows states to establish alternative public
notification requirements with respect to the form and content of the public notice. Alternative
requirements for form and content must be designed to provide the same type and amount of information
as is required under Subpart Q. Primacy states must adopt the revised PN requirements or develop an
alternative public notification program that provides the same type and amount of information as the
Federal Rule and submit its primacy revision application package or a request for an extension to EPA by
May 6, 2002.
Section 142.16(a)(2) requires states to establish enforceable requirements and procedures when a state
opts to add to or change the minimum requirements under:
1) Table 1 to 40 CFR 141.201(a) (Item 3v) - To require public water systems to give a public notice
for violations or situations other than those listed in Appendix A to Subpart Q of the Rule.
2) 40 CFR 141.201(c)(2) - To allow public water systems, under the specific circumstances listed in
40 CFR 141.201(c)(2), to limit the distribution of the public notice to persons served by the
portion of the distribution system that is out of compliance.
3) 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 the Rule.
4) 40 CFR 141.202(b)(3) - To require public water systems to comply with additional Tier 1 public
notification requirements set by the state subsequent to the initial 24-hour Tier 1 notice, as a
result of their consultation with the state required under 40 CFR 141.202(b)(2).
5) 40 CFR 141.202(c), 141.203(c) and 141.204(c) - To require a different form and manner of
delivery for Tier 1, 2 and 3 public notices.
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6) Table 1 to 40 CFR 141.203(a) (Item 2) - To require the public water systems to provide a Tier 2
public notice (rather than Tier 3) for monitoring or testing procedure violations specified by the
state.
7) 40 CFR 141.203(b)(l) - To grant public water systems an extension of up to three months for
distributing the Tier 2 public notice in appropriate circumstances (other than those specifically
excluded in the Rule).
8) 40 CFR 141.203(b)(2) - To grant a different repeat notice frequency for the Tier 2 public notice
in appropriate circumstances (other than those specifically excluded in the Rule), but no less
frequently than once per year.
9) 40 CFR 141.203(b)(3) - To respond within 24 hours to a request for consultation by the public
water system to determine whether a Tier 1 (rather than a Tier 2) notice is required for a turbidity
MCL violation under 40 CFR 141.13 (b) or a Surface Water Treatment Rule (SWTR)/Interim
Enhanced SWTR (IESWTR)/treatment technique (TT) violation due to a single exceedance of the
maximum allowable turbidity limit.
10) 40 CFR 141.205(c)(2) - To determine the specific multilingual requirement for a public water
system, including defining a "large proportion of non-English-speaking consumers."
Note: States may assign the responsibility for the multilingual requirement determination
to the water system. If a state chooses not to set its own criteria, systems must meet the
general requirement set in the rule, which is to provide such information when
appropriate.
The following sections contain guidance states can use when addressing the 10 special primacy
requirements listed above and in 40 CFR 142.16(a)(2). As part of a state's revised primacy program, the
state must establish enforceable requirements and procedures to meet each special primacy requirement
identified in 40 CFR 142.16(a)(2) which the state chooses to adopt.
Six of the 10 special primacy requirements listed in 40 CFR 142.16(a)(2) describe scenarios under which
states may elect to be more stringent than the Federal Rule. For those provisions, EPA requires states to
provide a general explanation of how the state will address the provision. EPA is not asking states to
provide specific and detailed justification for the scenarios in which they elect to be more stringent than
the Federal Rule. States are free to establish requirements that are more stringent than the EPA program
without including them in their approved primacy program. For the areas of state flexibility listed in 40
CFR 142.16(a)(2) which a state chooses to adopt, a state has the option of: 1) identifying in the crosswalk
modifications to the Federal Rule consistent with 40 CFR 142.16(a); or 2) describing in its primacy
revision application the criteria it will use to make allowed modifications on a case-by-case basis.
4.4.1 Special Primacy for Requiring Public Notice for Violations or Situations
Other Than Those Listed in Appendix A to Subpart Q
For 40 CFR 141.201 (a) (Table 1, Item 3v), a state must provide additional information if
they require public water systems to give a public notice for violations or situations other
than those listed in Appendix A to Subpart Q [40 CFR 142.16(a) (2) (i)].
The PN Rule allows states to determine if there are violations or other situations not listed in Appendix A
to Subpart Q that should require public notice due to the potential for serious adverse effects on human
health. EPA expects that states will wish to use this flexibility to tailor their programs to respond to their
unique public notification policies and situations.
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A state has the option of identifying in its rules the other violations and situations that may require notice.
For example, a state may specify in its rules that a public notice must be issued if the state determines that
circumstances exist which may present a potential danger to drinking water consumers, based on
information from the water system or other sources. Circumstances could include but are not limited to
source contamination, spills, accidents, natural disasters, conditions found during an inspection or
sanitary survey, or breakdowns in treatment. A state may also choose to make such determinations on a
case-by-case basis. In that circumstance, the state may explain in their primacy revision application either
the conditions or process by which the state would require notice. The explanation could be a general
statement of the states' intention to require water systems to issue a Tier 1 public notice for other
violation or situations, not listed in Appendix A to Subpart Q, with significant potential to have serious
adverse health effects from short-term exposure. Evaluation of any violation or situations would be
conducted by the state on a case-by-case basis, using the potential danger to drinking water consumers as
one criterion.
4.4.2 Special Primacy Requirements Regarding Limited Distribution of Public
Notice to Persons Served by the Portion of the Distribution System that is Out
of Compliance
A state must provide additional information if they allow public water systems, under the
specific circumstances listed in 40 CFR 141.201(c)(2), to limit the distribution of the
public notice to persons served by the portion of the distribution system that is out of
compliance [40 CFR 142.16(a)(2)(ii)].
The PN Rule requires systems to provide public notice to persons served system-wide within a specified
timeframe. However, the PN Rule allows states to grant exceptions to the system-wide notice obligation
where the violation is clearly contained within a portion of the distribution system that is either physically
or hydraulically isolated from the rest of the distribution system. In those two specific circumstances,
states have the flexibility to allow systems to limit the distribution of the public notice to persons served
by the portion of the system that is out of compliance. Unless states provide systems with this
determination in writing, systems must distribute the notice to persons served by the entire system.
If a state chooses to exercise this flexibility, the state should explain in their primacy revision application
how the determination to grant exceptions to the system-wide distribution requirement will be made. For
example, if a state opts to make this determination on a case-by-case basis then it should explain that each
case will be evaluated on the two regulatory criteria specified in the PN Rule. In order to meet the
criterion for physical isolation, a system must show that the affected portion of the distribution system is
separated from other parts of the distribution system with no interconnections. Because of the physical
separation, elevated contaminant levels contained in only that portion of the system would have no
bearing on contaminant levels in a separate area of the system. To meet EPA's criterion for hydraulic
isolation, a system must show that design of the distribution system and/or system operation created a
situation where water in the affected portion is effectively isolated from the water in all other parts of the
distribution system because of projected water flow patterns and water pressure zones.
4.4.3 Special Primacy Requirements Regarding Which Violations or Situations
Require a Tier 1 Public Notice
For 141.202(a) (Items 5, 6, and 9 of Table 1), a state must provide additional information
if they 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 [40 CFR
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This special primacy requirement addresses state flexibility to require systems to give a Tier 1 public
notice (rather than a Tier 2 or Tier 3 notice) for violations or situations not explicitly listed by EPA in
Appendix A to Subpart Q as requiring Tier 1 notice. EPA authorized and expects states to elevate either
violations or situations when necessary to protect public health. State flexibility to elevate the status of a
violation to Tier 1, EPA believes, is critical to the successful implementation of the PN Rule. Therefore,
EPA anticipates that most states will respond to this special primacy requirement in their primacy revision
applications.
The PN Rule identified the following three situations where states may exercise flexibility to require a
Tier 1 notice:
1) Violation of the turbidity MCL, under 40 CFR 141.13(b), where the state determines after
consultation whether a Tier 1 notice is required or where consultation does not take place within
24 hours after the system learns of the violation [141.202(a)-Item 5 of Table 1].
2) Violation of the SWTR, IESWTR, or LT1ESWTR treatment technique requirements resulting
from a single exceedance of the maximum allowable turbidity limit (as identified in Appendix A
to Subpart Q) [141.202(a)-Item 6 of Table 1].
3) Other violations or situations with significant potential to have serious adverse effects on human
health as a result of short-term exposure [141.202(a)-Item 9 of Table 1].
Although EPA recognizes that the majority of situations are best determined on a case-by-case basis, the
Agency believes there are certain situations that should be elevated to Tier 1 status. All Tier 2 violations
with significant potential to cause serious adverse health effects as a result of short-term exposure should
be elevated to Tier 1 status. For example, EPA believes violations of the maximum turbidity level are
serious situations requiring immediate consultation to determine the best course of action. In some cases,
violation of the maximum turbidity level, combined with other site-specific information, might indicate
that pathogens may have passed through to the finished water. In those situations, the public needs to be
alerted quickly to the high potential for short-term health risk. However, EPA does not believe that all
maximum turbidity excursions will require a Tier 1 notice and expects states to evaluate the merits of
each case during the consultation.
Since turbidity exceedance by itself, without other supporting information, has not been shown to date to
be a predictable indicator of pathogen loading in the finished water, EPA expects most turbidity
exceedances will require a Tier 2 notice. A single exceedance of the maximum allowable turbidity limit,
although a treatment technique violation, may also prove to be a false reading because of a testing
equipment malfunction. For these reasons, EPA classified all turbidity violations as Tier 2, but added the
new requirement that PWSs consult with the state within 24 hours when exceedances of the maximum
allowable turbidity limit occur. After consultation with the system, a state could direct the system to issue
a Tier 1 notice. EPA believes the requirement for immediate consultation for these situations will ensure
that Tier 1 notices will be required when supported by the evidence. If a system cannot consult with the
state within the 24~iiour time period, the Rule requires an automatic Tier 1 notice.
In addition to violations of the maximum allowable turbidity limit, EPA recognizes that there may be
other violations or situations where elevation to a Tier 1 notice may be required. For example, a Total
Coliform Rule (TCR) or SWTR violation may create a significant and immediate health risk. In those
situations, a Tier 1, 24-hour public notice is necessary to immediately alert consumers to the potential risk
rather than a Tier 2 notice.
PN Rule Implementation Guidance 53 March 2010
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A state can identify in its rules the violations or other situations not listed in Appendix A to Subpart Q
that would require Tier 1 notice or describe the criteria it will use to make that determination on a case-
by-case basis in its primacy revision application. EPA is not asking states to provide specific and detailed
justification for the scenarios in which the state elects to be more stringent than the Federal Rule. Rather,
a general description of either the conditions or process by which the state would make the determination
to elevate to Tier 1 status is sufficient. For example, a state may explain that the determination to elevate
to Tier 1 will be made on a case-by-case basis because the potential health risk associated with some
violations or situations are dependent on a combination of factors. Some factors that might play into the
decision-making process to elevate a turbidity violation include but are not limited to: if turbidity is
significantly higher than the limit; if turbidity if above the limit for multiple measurements; what type of
treatment occurs after the turbidity measuring point; and whether the source water quality is good. In
addition the type of system, limits the system is subject to, and the type of filtration need to be
considered.
4.4.4 Special Primacy for Requiring Additional Public Notice for Tier 1 Violations
A state must provide additional information if they require public water systems to
comply with additional Tier 1 public notification requirements set by the state subsequent
to the initial 24-hour Tier 1 notice, as a result of the water system's consultation with the
state required under 40 CFR 141.202(b)(3) [40 CFR 142.16(a)(2)(iv)].
EPA believes Tier 1 violations have a significant potential to cause serious adverse health effects from
short-term exposure and has mandated consultation between the water system and the state. Systems have
24 hours after learning of the violation to initiate consultation with the state and determine if the state will
establish subsequent PN requirements. Systems must comply with any additional PN requirements
established during that consultation. This special primacy requirement addresses state flexibility to
determine under what circumstances additional public notice should be given by the system to make sure
all persons served are informed of the seriousness of the violation.
EPA encourages states to require additional notice in situations where: 1) there was inadequate delivery
of the initial notice, 2) special populations need to be informed, and 3) the system returned to compliance.
For example, if the methods used to deliver Tier 1 public notice were insufficient, inadequate, or
inappropriate, additional notices may be necessary to reach other persons served who may not have seen
the initial notice and to emphasize the seriousness of the public health risk from drinking the water.
Additional notices may also be needed if new information becomes available, or to target special
populations such as hospitals, schools, day-care facilities and/or other healthcare professionals. A
supplemental notice announcing that the violation has been resolved and the risk from the drinking water
has been abated can bring closure to the emergency situation. Although the final Rule does not require
systems to send such notice, EPA believes it is a good idea.
Additional notice requirements may also address the timing, manner, frequency, and content of repeat
notices as well as other actions designed to reach all persons served. EPA expects states to use this
authority to ensure effective, enforceable follow-up to the initial Tier 1 notice. In order to satisfy this
special primacy requirement, a state has the option of identifying in its rules specific situations where
additional notice would be required. If states wish to address this on a case-by-case basis, states should
explain how they would establish procedures to determine when additional notice is needed and to require
systems to comply with the additional notification requirements in their primacy revision applications.
PN Rule Implementation Guidance 54 March 2010
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4.4.5 Special Primacy Requirements Regarding Different Form, Manner, and
Delivery for Tier 1, 2, and 3 Public Notices
For 40 CFR 141.202(c), 141.203(c), & 141.204(c), a state must provide additional
information if they allow systems to use a different form and manner of delivery for Tier
1, 2 and 3 public notices not already listed in EPA 's rule [40 CFR 142.16(a)(2)(v)].
In accordance with the PN Rule, a PWS must use at a minimum, one of the delivery methods specified for
the appropriate Tier and any additional methods "reasonably calculated" to reach all persons served. This
means that water systems have a responsibility to use any method reasonably calculated to reach other
persons served by the system if they would not be reached by minimum methods specified in the Rule.
This special primacy requirement addresses state flexibility to approve in writing the use of a substitute
delivery method not already listed in the PN Rule. EPA recognizes the need to tailor any additional
methods of delivery used to the specific situation and believes states will make this determination on a
case-by-case basis. For example, the list of required delivery methods (broadcast media, posting and hand
delivery) may be too limiting and inappropriate for some Tier 1 situations. Additional methods a state
may wish to substitute include newspaper, postal patron mailings, e-mail or priority mail.
A state has the option of identifying in its rules any alternate PN form and manner requirements or
describing, in its primacy revision application, the criteria it will use to make these case-by-case
determinations.
4.4.6 Special Primacy for Requiring Tier 2 Public Notice (Rather Than Tier 3
Notice) for Specific Monitoring or Testing Procedure Violations
For 40 CFR 141.203(a), a state must provide additional information if they plan to
require public water systems to provide a Tier 2 public notice (rather than Tier 3) for
monitoring or testing procedure violations specified by the state [40 CFR
In accordance with the PN Rule, states can determine that a Tier 2 public notice (rather than a Tier 3
notice) is required for certain violations of monitoring and testing procedure requirements. This special
primacy requirement gives states the flexibility to address cases where persistent monitoring violations
could disguise potentially serious drinking water quality violations and the lack of a timely notice may
pose a risk to public health.
A state has the option of identifying in its rules, the specific monitoring and testing procedure violations
listed in Appendix A to Subpart Q that require Tier 2 notice or describing the criteria it will use to make
these case-by-case determinations in its primacy revision application. Criteria may include but are not
limited to potential health impacts and the persistence of the violation.
EPA expects states to build this additional authority into their approved programs to ensure that notices
for monitoring violations posing potential serious adverse health effects are delivered within 30 days.
EPA is not asking states to provide specific and detailed justification for the scenarios in which the state
elects to be more stringent than the Federal Rule. Rather a general description of either the conditions or
process by which the state would make the determination to elevate to Tier 2 status is sufficient.
4.4.7 Special Primacy Requirements Regarding Extending the Initial Tier 2 Public
Notice Distribution Deadline
For 40 CFR 141.203(b)(l), a state must provide additional information if they plan to
grant public water systems an extension up to three months for distributing the Tier 2
PN Rule Implementation Guidance 55 March 2010
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public notice in appropriate circumstances (other than those specifically excluded in the
Rule) [40 CFR 142.16(a)(2)(vii)].
The PN Rule allows states, in appropriate circumstances, to extend the time period of the Tier 2 initial
notice from 30 days to up to three months. This special primacy requirement addresses state flexibility to
determine when deviations from the minimum required timeframe for Tier 2 notices are warranted. These
determinations must be made in writing.
Circumstances that may warrant an extension include but are not limited to, coordination with billing
cycles and return to compliance. An extension for up to three months may allow a system to include the
initial notice in the same mailing as the quarterly bill. For violations that were quickly resolved and no
longer pose any risk to persons served, an extension may be appropriate so the system can also report a
return to compliance.
Although there may be a number of reasons to grant an extension, there are two circumstances where
EPA believes extending the Tier 2 deadline is inappropriate: 1) extensions for unresolved violations; and,
2) "across-the-board" or "blanket" extensions for all violations of a certain type (e.g., all volatile organic
contaminant (VOC) MCL violations). EPA strongly believes that in order to meet the public health
objectives of the PN Rule, the Tier 2 deadline of 30 days is sufficient for water systems to notify their
consumers of unresolved violations with potential for serious risk. EPA does not intend for extensions to
be automatic, but to be reviewed on a case-by-case basis. Therefore, EPA views "blanket" extensions as
contrary to the goals of the Rule.
Note: This special primacy requirement applies only to extensions of the Tier 2 notice
deadline. The Rule gives states broad flexibility to deviate from the required timeframe of
30 days. This includes being more stringent than the Rule. For example, it is acceptable
for a state to shorten the deadline for issuing PNfor a monthly coliform violation to 14
days. The state does not need to submit documentation when shortening a timeframe.
A state may identify in its rules the appropriate circumstances under which the Tier 2 notice distribution
deadline may be extended or describe the criteria it will use to make that determination on a case-by-case
basis in its primacy revision application.
4.4.8 Special Primacy Requirements Regarding Extending the Tier 2 Notice Repeat
Frequency
For 40 CFR 141.203 (b)(2), a state must provide additional information if they grant a
different repeat notice frequency for the Tier 2 public notice in appropriate
circumstances (other than those specifically excluded in the rule), but no less frequently
than once per year [40 CFR 142.16(a)(2)(viii)].
The PN Rule gives states the flexibility to allow a less frequent repeat notice than the PN Rule's
requirement of every three months. Notices must be issued no less than once per year for unresolved Tier
2 violations. However, the PN Rule specifically disallows less frequent repeat notices for unresolved
violations posing potential risk from short-term exposure (e.g., unresolved TCR violations or treatment
technique violations under the SWTR or IESWTR Rules) or for all unresolved violations of a certain
violation type. The state can require a different repeat notice frequency for the Tier 2 public notice (to be
no less frequent than once per year), for appropriate circumstances defined in the state's primacy
program. Similar to extending the Tier 2 initial notice distribution deadline, a state may identify in its
rules the circumstances under which extensions may be given or describe the criteria it will use to make
these case-by-case determinations in its primacy revision application.
PN Rule Implementation Guidance 56 March 2010
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4.4.9 Special Primacy for Requiring a Tier 1 Public Notice (Rather Than Tier 2
Notice) for a Turbidity MCL Violation under 40 CFR 141.13(b) or a
SWTRTESWTR/LT1ESWTR TT Violation Due to a Single Exceedance of
the Maximum Allowable Turbidity Limit
For 40 CFR 141.203(b)(3), a state must provide information on any process developed to
respond within 24 hours to a request for consultation by the public water system to
determine whether a Tier 1 (rather than a Tier 2) notice is required for a turbidity MCL
violation under 40 CFR I4l.l3(b) or a SWTR/IESWTR/LTIESWTR TT violation due to a
single exceedance of the maximum allowable turbidity limit [40 CFR 142.16(a)(2)(ix)].
This special primacy requirement addresses the ability of the state to respond within 24-hours to a request
for consultation by a PWS to determine whether a Tier 1 notice is required for a turbidity violation under
40 CFR 141.13(b) or a SWTR/IESWTR/LTIESWTR TT violation due to single exceedance of the
maximum allowable turbidity limit. If a system cannot consult with the state within the 24-hour time
period, the Rule requires an automatic Tier 1 notice. EPA believes the ability of a state to respond to a
system's request for consultation is critical to the successful implementation of the PN Rule. EPA expects
states to establish a process that would lead to determination within the 24-hour window to avoid a "no
action" default to a Tier 1 notice on every turbidity single exceedance violation. As discussed for special
primacy requirement 40 CFR 142.16(a)(2)(iii), EPA believes violations of the maximum turbidity level
are serious situations requiring immediate consultation to determine the best course of action. EPA does
not believe that all turbidity excursions will require a Tier 1 notice and expects states to evaluate the
potential health risks of each case during the consultation.
In order to address this special primacy requirement, a state should describe the process it has developed
to respond within the 24-hour time frame to a PWS's request for consultation. Some states already have
emergency hotlines for systems to use.
4.4.10 Special Primacy Requirements Regarding Multilingual Notice Requirement
For 40 CFR 141.205(c), a state must provide additional information if they determine the
specific multilingual requirement for a public water system, including defining "large
proportion of non-English-speaking consumers" [40 CFR 142.16(a)(2)(x)].
The PN Rule requires systems serving a large proportion of non-English speaking consumers, as
determined by the state, to include in their notices, in the appropriate languages, information on the
importance of the notice or a telephone number or address where persons served may contact the water
system to obtain a translated copy of the notice or to request assistance in the appropriate languages. This
special primacy requirement addresses state flexibility to determine the specific multilingual requirement
for systems, including defining a large proportion of non-English speaking populations. States can set
their own criteria for determining whether there is a large proportion of non-English speaking consumers.
For example, a state could specify a population threshold such as 10 percent, so that when over 10 percent
of the population served uses a language or languages other than English as their first language,
multilingual information must be included in the notice. If a state chooses not to set its own criteria, water
systems must meet the general requirement set in the federal Rule, which is providing such information
when appropriate. Information on whether there is a significant non-English speaking population in a
community can be found through the US Census Bureau's Web site at factfmder.census.gov.
EPA strongly encourages the use of multilingual notification if non-English speaking populations are in
the system's service area, whether or not there is a large proportion of non-English speaking people,
because public notification of drinking water violations and other situations is an important means of
protecting public health. Although full translations of notices are not required, EPA strongly encourages
PN Rule Implementation Guidance 57 March 2010
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systems to go beyond the minimum multilingual requirements in the Rule, particularly for Tier 1 notices
and other situations that pose a serious health risk, and provide a translated copy of the notice on request
or offer telephone assistance in the appropriate language. The revised CWS and NTNCWS PN Handbook
(EPA 816-R-09-013) and the revised TNCWS PN Handbook (EPA 816-R-09-009) contain additional
hints on implementing this requirement.
A state has the option of identifying in its rules the more specific multilingual requirements or describing
the criteria it will use to make such case-by-case determinations in its primacy revision application.
PN Rule Implementation Guidance 58 March 2010
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PNRule Implementation Guidance 59 March 2010
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Section 5
Violation Determination and
Safe Drinking Water
Information System (SDWIS)
Reporting
-------
This Page Intentionally Left Blank
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5.1 Determining Violations of the PN Rule
One of the important factors to making the public notification process work is the timely and complete
reporting of violations of the PN Rule by the states. A 1992 review of the public notification process by
the General Accounting Office (GAO) provided strong evidence that the program was not working as
intended. Problems cited included: high rates of non-compliance, even when contaminants pose a health
risk; limited non-compliance tracking by both EPA and the states; and the complexity of the Rule. In
order to address those problems, EPA revised the PN requirements to be less complex, more clear, and
self-implementable. EPA believes these streamlined requirements encourage more water systems to
comply with the Rule and are less burdensome than the previous Rule for state tracking and reporting of
violations. However, the program will not succeed without compliance monitoring and follow-up actions
by the state and EPA.
Flowcharts 1, 2, and 3 starting on the next page provide timelines for actions PWSs must take under the
PN Rule, once a system learns of a Tier 1, 2, or 3 violation or situation.
5.1.1 What constitutes a violation of the PN Rule?
The trigger point for public notification is when a system learns that a violation or other situation posing a
health risk exists. From that point on, the Rule prescribes specific time lines a PWS must meet to: 1)
distribute the notice to persons served; 2) provide the state with a representative copy of the initial and
any repeat notices; and 3) certify to the state that all applicable PN requirements were met. The Rule also
prescribes the form, manner, and frequency of the public notices.
A system can incur a violation of the PN Rule for failing to:
Prepare and deliver public notice to consumers in accordance with the Rule.
Submit to the state within 10 days of completing the public notification requirements, a
certification that it has fully complied with the PN Rule and a representative copy of the notice.
PN Rule Implementation Guidance 62 March 2010
-------
Flowchart 1: Tier 1 Public Notices - Timeline for PWS Actions
PWS Learns of Tier 1 Violation or
Situation
Tier 1 Violations Include:
Violations of MCL (or total eolifcrm *tee fecal
eolifowi or ฃ. Colt are present, o* for failure to tost
for fecal coliform or E Colt when any repeat
samples tesi positive
* Violations of the MCL for nitrate, nitrite, or
combined nitrate* nitrite, or failure to teke a
OOP firms won sample within 24 tours aftซป laarninp
itiat an initial sample exceeded MCL.
* Violations of ine MPDL fcx chlorine dioxide where
required repeat samples *n Ite disiribullan system
exceeded the MROL or are not taken
ซ Violation ol" ihe turbidity MCL urwk* -10 CFR
14 1 13(b) where the state determines Tic* l
required, of where consultation did not (HKB place
will MI 24 liours after Hie system l:
or other waterborn* emergency.
Other violations and situations etevatec! to Tiซr 1
fty rtwbtale
cic
c
>ck Starts
\
dr
Within 24 hours after
PWS learns of the
violation or situation
the PWS rmisl provide
notice to customers,
PWS must use at minimum
wie or more ot the following
methods ijroBcicRs! media.
postlr-fl, tuiiid d^iiveiv or
anottier state approved
method
Within 24 hours after
a PWS learn sofa
violation or situation
tha PWS must initiate
state,
Purpose" To determine If
lheซB are any Rddi'tonal PN
ป0tiirปrr'ซwite to irksei
24 hours after
PWS learns of
violation or
situation
10 days after
completing
initial PN
requirements
10 days after
completing
subsequent
PN
requirements
Within tDdays
after
completing
initial PN
requlremeflts
PWS must
send to the
state;
- A rปpy of ffie
notica
- Certification
State decides
If PWS should
meet
additional PN
requirements,
Such 8.5' repeat
polices, director
on duratior of
posted nonces or
oilier actions
required to renrh
aM persons
served.
^
i
PWS must
comply with
additional PN
requirements.
Within 10 days
after
completing
subsequent PN
requirements,
trie PWS must
send to the
state
- A any,/ of me
noftce,
- Certification
PN Rule Implementation Guidance
63
March 2010
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Flowchart 2; Tier 2 Public Notices - Timeline for PWS Actions
Clock Starts
PWS Learns of Tier 2 Violation or
Situation
Tier 2 Violations include:
ซ All violations of Itie MCL. MRDL and Ireatrnem
lucNHoue mqulferttents rwl listed in it* Tiw 1
category
* Violations of monitoring and testing procedure
'equipments, wtiere the state determines that a
Tier 2 rather ihan Tier 3 public ntniw isrequired
Failure to comply wtih Ifie (arms am* concluaw of
any variance or ex&mpuon in place.
ป For ground water systems providing Q-iog
irealmfritl. failure 10 maintain required treatment foi
more than 4 hours.
* Failure to take any required corrective action or be
in compliance with 3 corrective action plan tor fecal
indicator-positive source water sample.
ซ Failure to take any reared corroellvt* action or De
in compliance with a corrective action plan far a
significant Deficiency under She Grouno Water
Rule
Special public notlos for wpsaied laltuie to
conduct rnonitorirut
Note: In appropriate circumsiances the state may
allow additional time toe distribution of the Ntial Tier 2
nctiice ol up to 3 months from (tie date the syslew
learns of ihs vซjlBtlnซi
The state also has discretion to allow a different Tier 2
repeat notice Jrequency. However In no
cifcwrisiannes is the rspest nation lo he gซVBn less
frerjiieplly Ihan once per year
As soon as practical but
no later than 30 days after
Ihc PWS teams of the
violation the PWS must
provldfe public notice ID
consumers.
CWS. must use:
Mnil or other direc!
>jt*ilyซซy so eacti custoniji
'striving a bill and to other
soiviw connections
AND
-Any other rr
-------
Flowchart 3; Tier 3 Public Notices - Timeline for PWS Actions
PWS Learns of Tier 3 Violation or
Situation
Tier 3 Violations Include:
ป Monltoong violations undei 40 CFR part 141.
except where a Tier 1 or Tier 2 notice Is
required under 40 CFR 141,202(a) or wlwe
the state determines that a Tier 2 nolice is
required.
Failure to comply with a tasting procedure
established in 40 CFR pan 141 except
where a Tier 1 notice is reQuined under 40
CFR 141 202(al or where the state
determipes (hat a Tier 2 noiice is required.
Her 3 Situations Include:
ซ Operation under a variance granted under
Section 1415 of exemption granted under
Section 1416 of SDWA.
* Availability of unragotatid contaminants
monitoring results as required under 40 CFR
141,207
Exceedance of She fluoride SMCL as
required under 40 CFR 141.208.
Note. Instead of individual Tier 3 public notices a
PWS may use an annual report to deaM alt victaiions
and situations *hat occurred during the previous 12
months, as tong as the liming requirements of 40
CFR 141204(6)11) am mat
1 2 months
after PWS
_ , (earns of
blartS violation or
situation
** ^-. 10 days after
1 0 days after 1 2 months completing
completing after PWS compwing
WtWPN sends inftla! ซ*ซซjซซซI
requirements notice requirements
Within 12 months after
the PWS learns of the
violation or situation the
PWS must provide public
notice to consumers,
CWS friuss use:
- Mail or other difec:
d&iiv&iy to each customat
receiving a bill snd to otnei
ซwviซi connection!;
AND
-Any olier metfiod
reasonably calculated to
ceacri other persons
fpqiilarl^ served fry' l*ie
^y^!eปn tf they iwculd not
nominally to reached by lha
first n^ttป3d
fcE-H^jataLusfi-
-Poiil,cง, CHT msli * dlreet
Ja'iva'y to each customs*
and iSfVice connection
iwf-ere known).
AND
-Any other maffidd
"tsasonably calculated to
'esch other persons serwd
!>y th* sysiBซn If tfiey would
n'H nnrmallv tK refjnhetl hv
Iiiซ*ir4l fndthod
Within 10 days
after
completing
Initial PN
requirements
PWS must
send to the
state:
- A copy ซl ll*
nonce.
- Certification
Aa long as
violation or
situation
exists, the
PWS must
sand a repeat
notice to
eonsumtrs
every 12
months.
Within 10 days
after
completing
subsequent
PN
requirements,
PWS must
^ send to the
state:
- A copy
-------
5.1.2 How is a Violation of the PN Rule Identified?
EPA anticipates that states will primarily rely on the certification (or lack thereof) to track whether a PWS
has met all applicable PN requirements, unless the state chooses to use additional tracking methods or
believes that the certification is not reliable. 40 CFR 141.31(d) requires water systems to submit a copy of
the notice and a certification to the state within 10 days of completing the PN requirements for the initial
public notice and any repeat notices. If a state has not received a copy of the notices and a certification
from a PWS within the 10-day time frame, states should assume notice was not given and record a
violation of the PN Rule for that PWS in its own tracking system, and in its quarterly reporting to EPA.
States should also record a violation of the PN Rule, if after state review, the state determines the notice
was inadequate.
States are expected to record a violation of the PN Rule for a PWS if:
The state did not receive copies of the notices and certifications.
The state received any notice or certification late.
After review, the state concluded that the form, delivery or content of an initial or repeat notice
was inadequate or otherwise determined the timing or distribution requirements were not met
(despite the certification).
5.1.3 State Enforcement, Compliance Monitoring and Assistance, or Other Follow-
up
Primacy states will have statutory or regulatory enforcement authority adequate to compel compliance
with the PN requirements that conforms to the requirements in 40 CFR 142.10(b)(6). When violations of
the PN Rule occur, in addition to an underlying violation for which the state brings an enforcement
action, the state should include the violations of the PN Rule as part of the enforcement action for the
underlying violation. For situations where there is no underlying violation, the state should enforce PN
requirements independently from enforcement of underlying violations and should enforce the PN
requirements. State and EPA compliance monitoring and tracking programs, as well as the linkages in
their databases between the public notice violations and underlying violations, will help states and EPA to
identify, address and ensure the correction of violations of the PN Rule. States should take any informal
or formal measures necessary to return a PWS to compliance with the PN Rule as quickly as possible.
EPA encourages states to develop compliance assistance programs in order to help PWSs comply with the
PN Rule and, in the event of a violation of the PN Rule, to return to compliance with the Rule. For
example, when a state learns of an NPDWR violation or other situation, the state may remind the PWS of
its obligation to provide public notice and may inform the PWS of the public notice form, manner,
content, and delivery requirements. The state may also choose to give notice to the public on behalf of the
PWS, in accordance with 40 CFR 141.210. However, the owner or operator of the PWS remains legally
responsible for ensuring that the PN requirements are met. As part of its compliance assistance efforts, a
state may provide the PWS with guidance documents, templates and other resources. See Section 2 for a
list of these resources.
Flowcharts 4, 5, and 6 provide timelines for state actions, once a state learns of a Tier 1, 2, or 3 violation
or situation.
PN Rule Implementation Guidance 66 March 2010
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5.1.4 Return to Compliance
Generally, a PWS that has violated the PN Rule returns to compliance with the Rule when it performs the
action required under the Rule. The following provides some examples of what a PWS should do to
return to compliance. These examples may not include all return to compliance situations:
If the system did not prepare and distribute the public notice in accordance with the Rule, the
system has subsequently prepared and distributed the notice, as well as provided a copy of the
notice and a certification to the state.
If the system did not submit either a copy of the notice or the certification by the required
deadline, the system has subsequently sent the state the required documents.
If the system prepared an inadequate notice, the system has subsequently prepared a notice that
addresses all deficiencies identified by the state, delivered it to the state with a certification, and
distributed it to persons served in accordance with the Rule.
Return to compliance with the PN Rule does not relieve the PWS from liability for public notice or
NPDWR violations.
PN Rule Implementation Guidance 67 March 2010
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Flowchart 4: Tier 1 Public Notices - Timeline for State Actions
Clock Starts
Within 24 hours
of learning of
the violation or
situation the
PWS must:
- Provide public
nofce to
oonsumere
- Initiate
consultation wllh
tnestaw.
Stele determines If
PWS must meet
additional PN
require meats
during Ih*
consultation.
State records
a violation of
the PN Rule If
the slate;
- Did not receive
a copy of the
iriiuBt public
notice andtor
certiflcaiwn.
- Received either
document late.
Review ftnds the
public notice to
PN return to
compliance
for PWS
- Sand state
copy of no-tee
and'or
-Redo notice and
sand staw copy
of notice and
State records
violation of
the PN Ryle W
the stats:
-Old not receive
a copy of the
subsequent
peaces andfor
certsSoaixw, ?he
slBSs lakes erihet
irfonnal or
formal
enfof cement
action to gel the
PWS to return to
compliance.
PN return to
compliance
for PWS
- Send state
copy of iiซiee
certification,
of nollua and
rartication
PN Rule Implementation Guidance
68
March 2010
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Flowchart 5: Tier 2 Public Notices Timeline for State Actions
Clock Starts
As soon ns
practical but no
later than 30 days
arter learning of
(he violation or
situation, the PWS
must provide
public notice to
consumers.
Note In appropriate circumstances
ite stalfr insy sllow additional lirftsf lcซ
distribution a! lhป initial Tier 1 notice
of UD to three months from ttnง dale
the system teams of the violation.
"The slai^ sl&3 has discretion ia atow
a d^ffeient Tiei 2 r^fM*3t ^iGike
fti0quer*cy- However *n r*o
circumstance ปs the repeat notice to
be given less frequently than once per
year
Slate records m
violation of the
PN Rule if the
state:
- Did not rseeli's
j copy jt thy
infii' pur lit
ifi'i~6- In
State takat
cither
Informal or
formal
enforcement
action to gel
PWS to
return (a
compliance.
PN return to
compliance
for PWS
- Send iiate
copy of
notice amii'or
-Redu nftiป.^&
anil sanrt
stale co{w of
notice and
As long as
violation or
situation
exists, the
PWS must
sand a
repeal
notice to
consumers
every 3
months.
State wconis a
violation of the
PN Rule if the
state:
- Did rwt receive
a copy of u*
fapeat puttie
- Reeeivett either
dQt:^jn*^Tt &]&
Review finds tna
public notice to
State takiis
eilhcr
Inforrnal or
formal
entorcemctil
action to gat
PWS to
return to
PN return to
compliance
for PWS
Send state
ropy nf
notion and/or
tsnlflcation.
-Redo notice
and send
slate copy of
notice and
certification.
Stata
reports
violation of
thePN
Rule to
SDWIS
State
reports
violation of
thePN
Rule to
SOWS.
PN Rule Implementation Guidance
69
March 2010
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Flowchart 6: Tier 3 Public Notices - Timeline for State Actions
Clock Starts
10 days
completing
subsequent
PN
requirements
No later than 12
month!, after
Isaf nlrtg of tho
violation or
situation, the PWS
must provide
public notice to
consumers.
PWS can group
multiple violations
at situations Into
an annual report
records s
violation
-------
5.2 SDWIS Reporting and EPA Follow-up
The state and EPA compliance monitoring and tracking systems help the states and EPA to identify,
address, and ensure the correction of violations of the PN Rule. Under the PN Rule, states must maintain
copies of public notices and records of PN violations for 3 years [40 CFR 142.14(f)]. States must also
report to EPA's SDWIS/FED database system, on a quarterly basis, information about PN violations in
the state during the previous quarter and new enforcement actions taken by the state during the previous
quarter against PWSs for PN violations.
In order to help states and EPA to track violations of the PN Rule and to ensure that those violations are
included in enforcement actions for the underlying SDWA violations or otherwise, SDWIS/FED has a
mechanism to link the record for the public notification violation to the record for the underlying
NPDWR violation. The underlying NPDWR violation drives the severity of the public health risk and is
the basis for the new requirement to link the PN violation to the related NPDWR violation.
EPA expects that violations of PN requirements will be included as part of enforcement action for the
underlying NPDWR violation. EPA also anticipates there will be enforcement of public notice
requirements independent from enforcement of underlying violations and for situations where there is no
underlying violation.
When the state records a PN violation in its database, the state should also report the PN violation to
SDWIS/FED. Under the revised PN Rule, states will have to report the following information to
SDWIS/FED:
1) Whether there is a PN violation for the public notice (initial or repeat notice, certification, etc.).
2) Date of the PN violation.
3) Link to the underlying NPDWR violation.
4) When the system has returned to compliance for the PN violation.
5) If the state brought formal enforcement action, the type of action, the date it was initiated, and the
date the violation was resolved.
The PN Rule requires states to report the information specified above to SDWIS/FED within 45 days
after the quarter in which the PN violation occurred, or in which the system returned to compliance.
EPA will use this information on violations of the PN Rule to track PWS compliance with the PN Rule
and to review the adequacy of state implementation, compliance monitoring and enforcement of the PN
requirements. Based upon a review of this information, EPA may provide compliance assistance
suggestions and additional guidance to the state or directly to the PWS. When appropriate, EPA may also
decide to pursue federal enforcement. Table 5-1 summarizes the SDWIS reporting requirements for the
PN Rule.
PN Rule Implementation Guidance 71 March 2010
-------
Table 5-1. Federal Reporting for the PN Rule
Violation
Code*
75
76
Rule Code
7500
7500
PN Section
Reference
40CFR141.201
40CFR141.211
40CFR141.202
40CFR141.203
40CFR141.204
40CFR141.207
40CFR141.208
40CFR141.209
Description
PN Violation for a NPDWR Violation
(e.g., failure to notify public via initial or repeat
notice, failure to provide required documents [initial
or repeat notice or certification] to state)
Other Potential Health Risk Situations/Violations
(i.e., for those situations where there is no
underlying NPDWR violation such as waterborne
disease outbreak/other waterborne emergency;
variance or exemption; availability of unregulated
contaminant monitoring data; fluoride SMCL
exceedance; and nitrate exceedances above the
MCL by NCWS, where granted permission by the
state)
States must report only when violations occur.
PN Rule Implementation Guidance
72
March 2010
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PNRule Implementation Guidance 73 March 2010
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Appendix A
Primacy Revision Crosswalk
-------
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
PART 141- NATIONAL PRIMARY DRINKING WATER REGULATIONS
SUBPART BMAXIMUM CONTAMINANT LEVELS
ง 141.11 MAXIMUM CONTAMINANT LEVELS FOR INORGANIC CHEMICALS.
The non-community water system is meeting the public
notification requirements under ง141.209, including
continuous posting of the fact that nitrate levels exceed
10 mg/1 and the potential health effects of exposure;
ง 141.11(d)(2)
SUBPART CMONITORING AND ANALYTICAL REQUIREMENTS
ง 141.23 INORGANIC CHEMICAL SAMPLING AND ANALYTICAL REQUIREMENTS.
Where nitrate or nitrite sampling results indicate an
exceedance of the maximum contaminant level, the
system shall take a confirmation sample within 24 hours
of the system's receipt of notification of the analytical
results of the first sample. Systems unable to comply
with the 24-hour sampling requirement must
immediately notify persons served by the public water
system in accordance with ง141.202 and meet other
Tier 1 public notification requirements under Subpart Q
of this part. Systems exercising this option must take
and analyze a confirmation sample within two weeks of
notification of the analytical results of the first sample.
ง 141.23(f)(2)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
SUBPART D REPORTING AND RECORDKEEPING
ง 141.31 REPORTING REQUIREMENTS.
The public water system, within 10 days of completing
the public notification requirements under Subpart Q of
this part for the initial public notice and any repeat
notices, must submit to the primacy agency a
certification that it has fully complied with the public
notification regulations. The public water system must
include with this certification a representative copy of
each type of notice distributed, published, posted, and
made available to the persons served by the system and
to the media.
ง 141.31(d)
ง141.33 RECORD MAINTENANCE.
Copies of public notices issued pursuant to Subpart Q
of this part and certifications made to the primacy
agency pursuant to ง 1 4 1 . 3 1 must be kept for three years
after issuance.
ง 141.33(e)
SUBPART H FILTRATION AND DISINFECTION
ง 141.75 REPORTING AND RECORDKEEPING REQUIREMENTS.
If at any time the turbidity exceeds 5 NTU, the system
must consult with the primacy agency as soon as
practical, but no later than 24 hours after the
exceedance is known, in accordance with the public
notification requirements under ง141.203(b)(3).
ง 141.75(a)(5)(ii)
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November 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
If at any time the turbidity exceeds 5 NTU, the system
must consult with the primacy agency as soon as
practical, but no later than 24 hours after the
exceedance is known, in accordance with the public
notification requirements under ง141.203(b)(3).
ง 141.75(b)(3)(ii)
SUBPART OCONSUMER CONFIDENCE REPORTS
ง141.153 CONTENT OF THE REPORTS.
A report that contains data on contaminants that EPA
regulates using any of the following terms must include
the applicable definitions:
ง 141.153(c)(3)
Maximum residual disinfectant level goal or MRDLG:
The level of a drinking water disinfectant below which
there is no known or expected risk to health. MRDLGs
do not reflect the benefits of the use of disinfectants to
control microbial contaminants.
ง 141.153(c)(iii)
Maximum residual disinfectant level orMRDL: The
highest level of a disinfectant allowed in drinking water.
There is convincing evidence that addition of a
disinfectant is necessary for control of microbial
contaminants.
ง 141.153(c)(iv)
Information on detected contaminants:
This sub-section specifies the requirements for
information to be included in each report for
contaminants subject to mandatory monitoring (except
Cryptosporidium ), it applies to; contaminants subject to
a MCL, action level, maximum residual disinfectant
level, or treatment technique (regulated contaminants).
ง 141.153(d)(l)(i)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
The likely source(s) of detected contaminants to the
best of the operator's knowledge. Specific information
regarding contaminants may be available in sanitary
surveys and source water assessments, and should be
used when available to the operator. If the operator
lacks specific information on the likely source, the
report must include one or more of the typical sources
for that contaminant listed in appendix A to this subpart
that is most applicable to the system.
ง 141.153(d)(4)(ix)
The table(s) must clearly identify any data indicating
violations of MCLs, MRDLs, or treatment techniques,
and the report must contain a clear and readily
understandable explanation of the violation including:
the length of the violation, the potential adverse health
effects, and actions taken by the system to address the
violation. To describe the potential health effects, the
system must use the relevant language of Appendix A
to this subpart.
ง 141.153(d)(6)
Lead and copper control requirements prescribed by
subpart I of this part. For systems that fail to take one or
more actions prescribed by งง141.80(d), 141.81,
141.82, 141.83 or 141.84, the report must include the
applicable language of Appendix A to this subpart for
lead, copper, or both.
ง 141.153(f)(3)
Treatment techniques for Acrylamide and
Epichlorohydrin prescribed by subpart K of this part.
For systems that violate the requirements of subpart K
of this part, the report must include the relevant
language from Appendix A to this subpart.
ง 141.153(f)(4)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 141.154 REQUIRED ADDITIONAL HEALTH INFORMATION.
Community water systems that detect TTHM above
0.080 mg/1, but below the MCL in ง141.12, as an
annual average, monitored and calculated under the
provisions of ง141.30, must include health effects
language for TTHMs prescribed by Appendix A.
ง 141.154(e)
ง 141.155 REPORT DELIVERY AND RECORDKEEPING.
Any system subject to this subpart must retain copies of
its Consumer Confidence Report for no less than 3
years.
ง 141.155(h)
SUBPART Q - PUBLIC NOTIFICATION OF DRINKING WATER REGULATIONS
ง 141.201 GENERAL PUBLIC NOTIFICATION REQUIREMENTS.
Public water systems in States with primacy for the
public water system supervision (PWSS) program must
comply with the requirements in this subpart no later
than May 6, 2002 or on the date the State-adopted rule
becomes effective, whichever comes first. Public water
systems in jurisdictions where EPA directly implements
the PWSS program must comply with the requirements
in this subpart on October 31, 2000. Prior to these dates,
public water systems must continue to comply with the
public notice requirements in ง141.32 of this part. The
term "primacy agency" is used in this subpart to refer to
either EPA or the State or the Tribe in cases where EPA,
the State, or the Tribe exercises primary enforcement
responsibility for this subpart.
ง141.201
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'November 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Who must give public notice? Each owner or operator
of a public water system (community water systems,
non-transient non-community water systems, and
transient non-community water systems) must give
notice for all violations of national primary drinking
water regulations (NPDWR) and for other situations, as
listed in Table 1. The term "NPDWR violations" is used
in this subpart to include violations of the maximum
contaminant level (MCL), maximum residual
disinfection level (MRDL), treatment technique (TT),
monitoring requirements, and testing procedures in this
part 141. Appendix A to this subpart identifies the tier
assignment for each specific violation or situation
requiring a public notice.
ง 141.201(a)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
TABLE 1 TO ง141.201VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A PUBLIC NOTICE
(1) NPDWR violations:
(i) Failure to comply with an applicable maximum contaminant level (MCL) or maximum residual disinfectant level (MRDL).
(ii) Failure to comply with a prescribed treatment technique (TT).
(iii) Failure to perform water quality monitoring, as required by the drinking water regulations.
(iv) Failure to comply with testing procedures as prescribed by a drinking water regulation.
2) Variance and exemptions under sections 1415 and 1416 of SDWA:
(i) Operation under a variance or an exemption.
(ii) Failure to comply with the requirements of any schedule that has been set under a variance or exemption.
3) Special public notices:
(i) Occurrence of a waterborne disease outbreak or other waterborne emergency.
(ii) Exceedance of the nitrate MCL by non-community water systems (NCWS), where granted permission by the primacy agency under 141.11(d) of this
part.
(iii) Exceedance of the secondary maximum contaminant level (SMCL) for fluoride.
(iv) Availability of unregulated contaminant monitoring data.
(v) Other violations and situations determined by the primacy agency to require a public notice under this subpart, not already listed in Appendix A.
What type of public notice is required for each violation
or situation? Public notice requirements are divided into
three tiers, to take into account the seriousness of the
violation or situation and of any potential adverse health
effects that may be involved. The public notice
requirements for each violation or situation listed in
Table 1 of this section are determined by the tier to
which it is assigned. Table 2 of this section provides the
definition of each tier. Appendix A of this part identifies
the tier assignment for each specific violation or
situation.
ง 141.201(b)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
TABLE 2 TO ง141.201DEFINITION OF PUBLIC NOTICE TIERS
(1) Tier 1 public notice required for NPDWR violations and situations with significant potential to have serious adverse effects on human health as a result of
hort-term exposure.
(2) Tier 2 public notice required for all other NPDWR violations and situations with potential to have serious adverse effects on human health.
(3) Tier 3 public notice required for all other NPDWR violations and situations not included in Tier 1 and Tier 2.
Who must be notified?
Each public water system must provide public notice to
persons served by the water system, in accordance with
this subpart. Public water systems that sell or otherwise
provide drinking water to other public water systems
(i.e. , to consecutive systems) are required to give public
notice to the owner or operator of the consecutive
system; the consecutive system is responsible for
providing public notice to the persons it serves.
ง 141.201(c)(l)
If a public water system has a violation in a portion of
the distribution system that is physically or
hydraulically isolated from other parts of the
distribution system, the primacy agency may allow the
system to limit distribution of the public notice to only
persons served by that portion of the system which is
out of compliance. Permission by the primacy agency
for limiting distribution of the notice must be granted in
writing.
ง 141.201(2)
A copy of the notice must also be sent to the primacy
agency, in accordance with the requirements under
ง141.31(d).
ง 141.201(3)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 141.202 TIER 1 PUBLIC NOTICEFORM, MANNER, AND FREQUENCY OF NOTICE.
Which violations or situations require a Tier 1 public
notice? Table 1 of this section lists the violation
categories and other situations requiring a Tier 1 public
notice. Appendix A to this subpart identifies the tier
assignment for each specific violation or situation.
ง 141.202(a)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
TABLE 1 TO ง141.202VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A TIER 1 PUBLIC NOTICE
(1) Violation of the MCL for total coliforms when fecal coliform or E. coli are present in the water distribution system (as specified in ง141.63(b)), or when
the water system fails to test for fecal coliforms or E. coli when any repeat sample tests positive for coliform (as specified in ง141.21(e));
(2) Violation of the MCL for nitrate, nitrite, or total nitrate and nitrite, as defined in ง 141.62, or when the water system fails to take a confirmation sample
within 24 hours of the system's receipt of the first sample showing an exceedance of the nitrate or nitrite MCL, as specified in ง141.23(f)(2);
(3) Exceedance of the nitrate MCL by non-community water systems, where permitted to exceed the MCL by the primacy agency under ง141.11(d), as
required under ง 141.209;
(4) Violation of the MRDL for chlorine dioxide, as defined in ง 141.65(a), when one or more samples taken in the distribution system the day following an
exceedance of the MRDL at the entrance of the distribution system exceed the MRDL, or when the water system does not take the required samples in the
distribution system, as specified in ง141.133(c)(2)(i);
(5) Violation of the turbidity MCL under ง141.13(b), where the primacy agency determines after consultation that a Tier 1 notice is required or where
consultation does not take place within 24 hours after the system learns of the violation;
(6) Violation of the Surface Water Treatment Rule (SWTR), Interim Enhanced Surface Water Treatment Rule (IESWTR) or Long Term 1 Enhanced Surface
Water Treatment Rule (LT IESWTR) treatment technique requirement resulting from a single exceedance of the maximum allowable turbidity limit (as
identified in Appendix A), where the primacy agency determines after consultation that a Tier 1 notice is required or where consultation does not take place
within 24 hours after the system learns of the violation;
(7) Occurrence of a waterborne disease outbreak, as defined in ง 141.2, or other waterborne emergency (such as a failure or significant interruption in key
water treatment processes, a natural disaster that disrupts the water supply or distribution system, or a chemical spill or unexpected loading of possible
pathogens into the source water that significantly increases the potential for drinking water contamination);
(8) Detection of E. coli, enterococci, or coliphage in source water samples as specified in ง141.402(a) and ง141.402(b); and,
(9) Other violations or situations with significant potential to have serious adverse effects on human health as a result of short-term exposure, as determined by
the primacy agency either in its regulations or on a case-by-case basis.
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
When is the Tier 1 public notice to be provided? What
additional steps are required? Public water systems
must:
ง 141.202(b)
Provide a public notice as soon as practical but no later
than 24 hours after the system learns of the violation;
ง 141.202(b)(l)
Initiate consultation with the primacy agency as soon as
practical, but no later than 24 hours after the public
water system learns of the violation or situation, to
determine additional public notice requirements; and
ง 141.202(b)(2)
Comply with any additional public notification
requirements (including any repeat notices or direction
on the duration of the posted notices) that are
established as a result of the consultation with the
primacy agency. Such requirements may include the
timing, form, manner, frequency, and content of repeat
notices (if any) and other actions designed to reach all
persons served.
ง 141.202(b)(3)
What is the form and manner of the public notice?
Public water systems must provide the notice within 24
hours in a form and manner reasonably calculated to
reach all persons served. The form and manner used by
the public water system are to fit the specific situation,
but must be designed to reach residential, transient, and
non-transient users of the water system. In order to
reach all persons served, water systems are to use, at a
minimum, one or more of the following forms of
delivery:
ง 141.202(c)
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SUMMARY OF FEDERAL REQUIREMENT
Appropriate broadcast media (such as radio and
television);
Posting of the notice in conspicuous locations
throughout the area served by the water system;
Hand delivery of the notice to persons served by the
water system; or
Another delivery method approved in writing by the
primacy agency.
FEDERAL CITATION
40CFR
ง 141.202(c)(l)
ง 141.202(c)(2)
ง 141.202(c)(3)
ง 141.202(c)(4)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 141.203 TIER 2 PUBLIC NOTICE FORM, MANNER, AND FREQUENCY OF NOTICE.
Which violations or situations require a Tier 2 public
notice? Table 1 of this section lists the violation
categories and other situations requiring a Tier 2 public
notice. Appendix A to this subpart identifies the tier
assignment for each specific violation or situation.
ง 141.203(a)
TABLE 1 TO ง141.203 VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A TIER 2 PUBLIC NOTICE
(1) All violations of the MCL, MRDL, and treatment technique requirements, except where a Tier 1 notice is required under ง141. 202(a) or where the primacy
agency determines that a Tier 1 notice is required;
(2) Violations of the monitoring and testing procedure requirements, where the primacy agency determines that a Tier 2 rather than a Tier 3 public notice is
required, taking into account potential health impacts and persistence of the violation; and
(3) Failure to comply with the terms and conditions of any variance or exemption in place.
(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 ง141.403(a).
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
When is the Tier 2 public notice to be provided?
ง 141.203(b)
Public water systems must provide the public notice as
soon as practical, but no later than 30 days after the
system learns of the violation. If the public notice is
posted, the notice must remain in place for as long as
the violation or situation persists, but in no case for less
than seven days, even if the violation or situation is
resolved. The primacy agency may, in appropriate
circumstances, allow additional time for the initial
notice of up to three months from the date the system
learns of the violation. It is not appropriate for the
primacy agency to grant an extension to the 30-day
deadline for any unresolved violation or to allow across-
the-board extensions by rule or policy for other
violations or situations requiring a Tier 2 public notice.
Extensions granted by the primacy agency must be in
writing.
ง 141.203(b)(l)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
The public water system must repeat the notice every
three months as long as the violation or situation
persists, unless the primacy agency determines that
appropriate circumstances warrant a different repeat
notice frequency. In no circumstance may the repeat
notice be given less frequently than once per year. It is
not appropriate for the primacy agency to allow less
frequent repeat notice for an MCL violation under the
Total Coliform Rule or a treatment technique violation
under the Surface Water Treatment Rule or Interim
Enhanced Surface Water Treatment Rule. It is also not
appropriate for the primacy agency to allow through its
rules or policies across-the-board reductions in the
repeat notice frequency for other ongoing violations
requiring a Tier 2 repeat notice. Primacy agency
determinations allowing repeat notices to be given less
frequently than once every three months must be in
writing.
ง 141.203(b)(2)
For the turbidity violations specified in this paragraph,
public water systems must consult with the primacy
agency as soon as practical but no later than 24 hours
after the public water system learns of the violation, to
determine whether a Tier 1 public notice under
ง141.202(a) is required to protect public health. When
consultation does not take place within the 24-hour
period, the water system must distribute a Tier 1 notice
of the violation within the next 24 hours (i.e., no later
than 48 hours after the system learns of the violation),
following the requirements under ง141.202(b) and (c).
Consultation with the primacy agency is required for:
ง 141.203(b)(3)
Violation of the turbidity MCL under ง 141.13 (b); or
ง 141.203(b)(3)(i)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Violation of the SWTR, IESWTR or LT1ESWTR
treatment technique requirement resulting from a single
exceedance of the maximum allowable turbidity limit.
ง 141.203(b)(3)(ii)
What is the form and manner of the Tier 2 public
notice? Public water systems must provide the initial
public notice and any repeat notices in a form and
manner that is reasonably calculated to reach persons
served in the required time period. The form and
manner of the public notice may vary based on the
specific situation and type of water system, but it must
at a minimum meet the following requirements:
ง 141.203(c)
Unless directed otherwise by the primacy agency in
writing, community water systems must provide notice
by:
ง 141.203(c)(l)
Mail or other direct delivery to each customer receiving
a bill and to other service connections to which water is
delivered by the public water system; and
ง 141.203(c)(l)(i)
Any other method reasonably calculated to reach other
persons regularly served by the system, if they would
not normally be reached by the notice required in
paragraph (c)(l)(i) of this section. Such persons may
include those who do not pay water bills or do not have
service connection addresses (e.g., house renters,
apartment dwellers, university students, nursing home
patients, prison inmates, etc.). Other methods may
include: Publication in a local newspaper; delivery of
multiple copies for distribution by customers that
provide their drinking water to others (e.g., apartment
building owners or large private employers); posting in
public places served by the system or on the Internet; or
delivery to community organizations.
ง 141.203(c)(l)(ii)
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SUMMARY OF FEDERAL REQUIREMENT
Unless directed otherwise by the primacy agency in
writing, non-community water systems must provide
notice by:
Posting the notice in conspicuous locations throughout
the distribution system frequented by persons served by
the system, or by mail or direct delivery to each
customer and service connection (where known); and
Any other method reasonably calculated to reach other
persons served by the system if they would not normally
be reached by the notice required in paragraph (c)(2)(i)
of this section. Such persons may include those served
who may not see a posted notice because the posted
notice is not in a location they routinely pass by. Other
methods may include: Publication in a local newspaper
or newsletter distributed to customers; use of E-mail to
notify employees or students; or, delivery of multiple
copies in central locations (e.g., community centers).
FEDERAL CITATION
40CFR
ง 141.203(c)(2)
ง 141.203(c)(2)(i)
ง 141.203(c)(2)(ii)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 141.204 TIER 3 PUBLIC NOTICE FORM, MANNER, AND FREQUENCY OF NOTICE.
Which violations or situations require a Tier 3 public
notice? Table 1 of this section lists the violation
categories and other situations requiring a Tier 3 public
notice. Appendix A to this subpart identifies the tier
assignment for each specific violation or situation.
ง 141.204(a)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
TABLE 1 TO ง141.204 VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A TIER 3 PUBLIC NOTICE
(1) Monitoring violations under 40 CFRpart 141, except where a Tier 1 notice is required under ง141.202(a) or where the primacy agency determines that a
Tier 2 notice is required;
(2) Failure to comply with a testing procedure established in 40 CFRpart 141, except where a Tier 1 notice is required under ง141.202(a)) or where the primacy
agency determines that a Tier 2 notice is required;
(3) Operation under a variance granted under Section 1415 or an exemption granted under Section 1416 of the Safe Drinking Water Act;
(4) Availability of unregulated contaminant monitoring results, as required under ง141.207; and
(5) Exceedance of the fluoride secondary maximum contaminant level (SMCL), as required under ง141.208.
When is the Tier 3 public notice to be provided?
Public water systems must provide the public notice not
later than one year after the public water system learns
of the violation or situation or begins operating under a
variance or exemption. Following the initial notice, the
public water system must repeat the notice annually for
as long as the violation, variance, exemption, or other
situation persists. If the public notice is posted, the
notice must remain in place for as long as the violation,
variance, exemption, or other situation persists, but in
no case less than seven days (even if the violation or
situation is resolved).
Instead of individual Tier 3 public notices, a public
water system may use an annual report detailing all
violations and situations that occurred during the
previous twelve months, as long as the timing
requirements of paragraph (b)(l) of this section are met.
ง 141.204(b)
ง 141.204(b)(l)
ง 141.204(b)(2)
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SUMMARY OF FEDERAL REQUIREMENT
What is the form and manner of the Tier 3 public
notice? Public water systems must provide the initial
notice and any repeat notices in a form and manner that
is reasonably calculated to reach persons served in the
required time period. The form and manner of the public
notice may vary based on the specific situation and type
of water system, but it must at a minimum meet the
following requirements:
Unless directed otherwise by the primacy agency in
writing, community water systems must provide notice
by:
Mail or other direct delivery to each customer receiving
a bill and to other service connections to which water is
delivered by the public water system; and
Any other method reasonably calculated to reach other
persons regularly served by the system, if they would
not normally be reached by the notice required in
paragraph (c)(l)(i) of this section. Such persons may
include those who do not pay water bills or do not have
service connection addresses (e.g., house renters,
apartment dwellers, university students, nursing home
patients, prison inmates, etc.). Other methods may
include: Publication in a local newspaper; delivery of
multiple copies for distribution by customers that
provide their drinking water to others (e.g., apartment
building owners or large private employers); posting in
public places or on the Internet; or delivery to
community organizations.
Unless directed otherwise by the primacy agency in
writing, non-community water systems must provide
notice by:
FEDERAL CITATION
40CFR
ง 141.204(c)
ง 141.204(c)(l)
ง 141.204(c)(l)(i)
ง 141.204(c)(l)(ii)
ง 141.204(c)(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
Posting the notice in conspicuous locations throughout
the distribution system frequented by persons served by
the system, or by mail or direct delivery to each
customer and service connection (where known); and
Any other method reasonably calculated to reach other
persons served by the system, if they would not
normally be reached by the notice required in paragraph
(c)(2)(i) of this section. Such persons may include those
who may not see a posted notice because the notice is
not in a location they routinely pass by. Other methods
may include: Publication in a local newspaper or
newsletter distributed to customers; use of E-mail to
notify employees or students; or, delivery of multiple
copies in central locations (e.g., community centers).
In what situations may the Consumer Confidence
Report be used to meet the Tier 3 public notice
requirements? For community water systems, the
Consumer Confidence Report (CCR) required under
Subpart O of this part may be used as a vehicle for the
initial Tier 3 public notice and all required repeat
notices, as long as:
The CCR is provided to persons served no later than 12
months after the system learns of the violation or
situation as required under ง141. 204(b);
The Tier 3 notice contained in the CCR follows the
content requirements under ง141.205; and
The CCR is distributed following the delivery
requirements under ง141.204(c).
FEDERAL CITATION
40CFR
ง 141.204(c)(2)(i)
ง 141.204(c)(2)(ii)
ง 141.204(d)
ง 141.204(d)(l)
ง 141.204(d)(2)
ง 141.204(d)(3)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 141.205 CONTENT OF THE PUBLIC NOTICE.
What elements must be included in the public notice for
violations of National Primary Drinking Water
Regulations (NPD WR) or other situations requiring a
public notice? When a public water system violates a
NPDWR or has a situation requiring public notification,
each public notice must include the following elements:
A description of the violation or situation, including the
contaminant(s) of concern, and (as applicable) the
contaminant level(s);
When the violation or situation occurred;
Any potential adverse health effects from the violation
or situation, including the standard language under
paragraph (d)(l) or (d)(2) of this section, whichever is
applicable;
The population at risk, including subpopulations
particularly vulnerable if exposed to the contaminant in
their drinking water;
Whether alternative water supplies should be used;
What actions consumers should take, including when
they should seek medical help, if known;
What the system is doing to correct the violation or
situation;
When the water system expects to return to compliance
or resolve the situation;
The name, business address, and phone number of the
water system owner, operator, or designee of the public
water system as a source of additional information
concerning the notice; and
ง 141.205(a)
ง 141.205(a)(l)
ง 141.205(a)(2)
ง 141.205(a)(3)
ง 141.205(a)(4)
ง 141.205(a)(5)
ง 141.205(a)(6)
ง 141.205(a)(7)
ง 141.205(a)(8)
ง 141.205(a)(9)
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SUMMARY OF FEDERAL REQUIREMENT
A statement to encourage the notice recipient to
distribute the public notice to other persons served,
using the standard language under paragraph (d)(3) of
this section, where applicable.
What elements must be included in the public notice for
public water systems operating under a variance or
exemption?
If a public water system has been granted a variance or
an exemption, the public notice must contain:
An explanation of the reasons for the variance or
exemption;
The date on which the variance or exemption was
issued;
A brief status report on the steps the system is taking to
install treatment, find alternative sources of water, or
otherwise comply with the terms and schedules of the
variance or exemption; and
A notice of any opportunity for public input in the
review of the variance or exemption.
If a public water system violates the conditions of a
variance or exemption, the public notice must contain
the ten elements listed in paragraph (a) of this section.
How is the public notice to be presented?
Each public notice required by this section:
Must be displayed in a conspicuous way when printed
or posted;
Must not contain overly technical language or very
small print;
FEDERAL CITATION
40CFR
ง 141.205(a)(10)
ง 141.205(b)
ง 141.205(b)(l)
ง 141.205(b)(l)(i)
ง 141.205(b)(l)(ii)
ง 141.205(b)(l)(iii)
ง 141.205(b)(l)(iv)
ง 141.205(b)(2)
ง 141.205(c)
ง 141.205(c)(l)
ง 141.205(c)(l)(i)
ง 141.205(c)(l)(ii)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Must not be formatted in a way that defeats the purpose
of the notice;
ง 141.205(c)(l)(iii)
Must not contain language which nullifies the purpose
of the notice.
ง 141.205(c)(l)(iv)
Each public notice required by this section must comply
with multilingual requirements, as follows:
ง 141.205(c)(2)
For public water systems serving a large proportion of
non-English speaking consumers, as determined by the
primacy agency, the public notice must contain
information in the appropriate language(s) regarding the
importance of the notice or contain a telephone number
or address where persons served may contact the water
system to obtain a translated copy of the notice or to
request assistance in the appropriate language.
ง141.205(c)(2)(i)
In cases where the primacy agency has not determined
what constitutes a large proportion of non-English
speaking consumers, the public water system must
include in the public notice the same information as in
paragraph (c)(2)(i) of this section, where appropriate to
reach a large proportion of non-English speaking
persons served by the water system.
ง 141.205(c)(2)(ii)
What standard language must public water systems
include in their public notice? Public water systems are
required to include the following standard language in
their public notice:
ง 141.205(d)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Standard health effects language for MCL or MRDL
violations, treatment technique violations, and
violations of the condition of a variance or exemption.
Public water systems must include in each public notice
the health effects language specified in Appendix B to
this subpart corresponding to each MCL, MRDL, and
treatment technique violation listed in Appendix A to
this subpart, and for each violation of a condition of a
variance or exemption.
ง 141.205(d)(l)
Standard language for monitoring and testing procedure
violations. Public water systems must include the
following language in their notice, including the
language necessary to fill in the blanks, for all
monitoring and testing procedure violations listed in
Appendix A to this subpart:
We are required to monitor your drinking water for
specific contaminants on a regular basis. Results of
regular monitoring are an indicator of whether or not
your drinking water meets health standards. During
[compliance period], we "did not monitor or test" or
"did not complete all monitoring or testing" for
[contaminant(s)], and therefore cannot be sure of the
quality of your drinking water during that time.
ง 141.205(d)(2)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Standard language to encourage the distribution of the
public notice to all persons served. Public water systems
must include in their notice the following language
(where applicable):
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.
ง 141.205(d)(3)
ง 141.206 NOTICE TO NEW BILLING UNITS OR NEW CUSTOMERS.
What is the requirement for community water systems?
Community water systems must give a copy of the most
recent public notice for any continuing violation, the
existence of a variance or exemption, or other ongoing
situations requiring a public notice to all new billing
units or new customers prior to or at the time service
begins.
ง 141.206(a)
What is the requirement for non-community water
systems? Non-community water systems must
continuously post the public notice in conspicuous
locations in order to inform new consumers of any
continuing violation, variance or exemption, or other
situation requiring a public notice for as long as the
violation, variance, exemption, or other situation
persists.
ง 141.206(b)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 141.207 SPECIAL NOTICE OF THE AVAILABILITY OF UNREGULATED CONTAMINANT MONITORING RESULTS.
When is the special notice to be given? The owner or
operator of a community water system or non-transient,
non-community water system required to monitor under
ง141.40 must notify persons served by the system of the
availability of the results of such sampling no later than
12 months after the monitoring results are known.
ง 141.207(a)
What is the form and manner of the special notice? The
form and manner of the public notice must follow the
requirements for a Tier 3 public notice prescribed in
งง141.204(c), (d)(l), and (d)(3). The notice must also
identify a person and provide the telephone number to
contact for information on the monitoring results.
ง 141.207(b)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 141.208 SPECIAL NOTICE FOR EXCEEDANCE OF THE SMCL FOR FLUORIDE.
When is the special notice to be given? Community
water systems that exceed the fluoride secondary
maximum contaminant level (SMCL) of 2 mg/1 as
specified in ง143.3 (determined by the last single
sample taken in accordance with ง141.23), but do not
exceed the maximum contaminant level (MCL) of 4
mg/1 for fluoride (as specified in ง 14 1 .62), must provide
the public notice in paragraph (c) of this section to
persons served. Public notice must be provided as soon
as practical but no later than 12 months from the day the
water system learns of the exceedance. A copy of the
notice must also be sent to all new billing units and new
customers at the time service begins and to the State
public health officer. The public water system must
repeat the notice at least annually for as long as the
SMCL is exceeded. If the public notice is posted, the
notice must remain in place for as long as the SMCL is
exceeded, but in no case less than seven days (even if
the exceedance is eliminated). On a case-by-case basis,
the primacy agency may require an initial notice sooner
than 12 months and repeat notices more frequently than
annually.
What is the form and manner of the special notice? The
form and manner of the public notice (including repeat
notices) must follow the requirements for a Tier 3
public notice in ง141.204(c) and (d)(l) and (d)(3).
ง 141.208(a)
ง 141.208(b)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
What mandatory language must be contained in the
special notice? The notice must contain the following
language, including the language necessary to fill in the
blanks:
This is an alert about your drinking water and a
cosmetic dental problem that might affect children
under nine years of age. At low levels, fluoride can help
prevent cavities, but children drinking water containing
more than 2 milligrams per liter (mg/1) of fluoride may
develop cosmetic discoloration of their permanent teeth
(dental fluorosis). The drinking water provided by your
community water system [ name ] has a fluoride
concentration of [ insert value ] mg/1. Dental fluorosis,
in its moderate or severe forms, may result in a brown
staining and/or pitting of the permanent teeth. This
problem occurs only in developing teeth, before they
erupt from the gums. Children under nine should be
provided with alternative sources of drinking water or
water that has been treated to remove the fluoride to
avoid the possibility of staining and pitting of their
permanent teeth. You may also want to contact your
dentist about proper use by young children of fluoride-
containing products. Older children and adults may
safely drink the water. Drinking water containing more
than 4 mg/L of fluoride (the U.S. Environmental
Protection Agency's drinking water standard) can
increase your risk of developing bone disease. Your
drinking water does not contain more than 4 mg/1 of
fluoride, but we're required to notify you when we
discover that the fluoride levels in your drinking water
exceed 2 mg/1 because of this cosmetic dental problem.
ง 141.208(c)
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SUMMARY OF FEDERAL REQUIREMENT
For more information, please call [name of water
system contact] of [name of community water system]
at [phone number]. Some home water treatment units
are also available to remove fluoride from drinking
water. To learn more about available home water
treatment units, you may call NSF International at 1-
877-8-NSF-HELP."
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 141.209 SPECIAL NOTICE FOR NITRATE EXCEEDANCES ABOVE MCL BY NON-COMMUNITY WATER SYSTEMS (NCWS), WHERE GRANTED PERMISSION BY THE
PRIMACY AGENCY UNDER ง141.11(D).
When is the special notice to be given? The owner or
operator of a non-community water system granted
permission by the primacy agency under ง141. ll(d) to
exceed the nitrate MCL must provide notice to persons
served according to the requirements for a Tier 1 notice
under ง141. 202(a) and (b).
What is the form and manner of the special notice?
Non-community water systems granted permission by
the primacy agency to exceed the nitrate MCL under
ง141.11(d) must provide continuous posting of the fact
that nitrate levels exceed 10 mg/1 and the potential
health effects of exposure, according to the
requirements for Tier 1 notice delivery under
ง141.202(c) and the content requirements under
ง141.205.
ง 141.209(a)
ง 141.209(b)
ง 141.210 NOTICE BY PRIMACY AGENCY ON BEHALF OF THE PUBLIC WATER SYSTEM.
May the primacy agency give the notice on behalf of the
public water system? The primacy agency may give the
notice required by this subpart on behalf of the owner
and operator of the public water system if the primacy
agency complies with the requirements of this subpart.
ง 141.210(a)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
What is the responsibility of the public water system
when notice is given by the primacy agency? The owner
or operator of the public water system remains
responsible for ensuring that the requirements of this
subpart are met.
ง 141.210(b)
ง 141.211 SPECIAL NOTICE FOR REPEATED FAILURE TO CONDUCT MONITORING OF THE SOURCE WATER FOR CRYPTOSPORIDIUM AND FOR FAILURE TO
DETERMINE BIN CLASSIFICATION OR MEAN CRYPTOSPORIDIUM LEVEL.
When is the special notice for repeated failure to
monitor to be given? The owner or operator of a
community or non-community water system that is
required to monitor source water under ง 141.701 must
notify persons served by the water system that
monitoring has not been completed as specified no later
than 30 days after the system has failed to collect any 3
months of monitoring as specified in ง141.701(c). The
notice must be repeated as specified in ง141.203(b).
ง141.211(a)
When is the special notice for failure to determine bin
classification or mean Cryptosporidium level to be
given? The owner or operator of a community or non-
community water system that is required to determine a
bin classification under ง141.710, or to determine mean
Cryptosporidium level under ง141.712, must notify
persons served by the water system that the
determination has not been made as required no later
than 30 days after the system has failed report the
determination as specified in ง141.710(e) or
ง141.712(a), respectively. The notice must be repeated
as specified in ง141.203(b). The notice is not required if
the system is complying with a State-approved schedule
to address the violation.
ง141.211(b)
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
What is the form and manner of the special notice? The
form and manner of the public notice must follow the
requirements for a Tier 2 public notice prescribed in
ง141.203(c). The public notice must be presented as
required in ง141.205(c).
ง141.211(c)
What mandatory language must be contained in the
special notice? The notice must contain the following
language, including the language necessary to fill in the
blanks.
ง141.211(d)
The special notice for repeated failure to conduct
monitoring must contain the following language:
We are required to monitor the source of your drinking
water for Cryptosporidium. Results of the monitoring
are to be used to determine whether water treatment at
the (treatment plant name) is sufficient to adequately
remove Cryptosporidium from your drinking water. We
are required to complete this monitoring and make this
determination by (required bin determination date). We
"did not monitor or test" or "did not complete all
monitoring or testing" on schedule and, therefore, we
may not be able to determine by the required date what
treatment modifications, if any, must be made to ensure
adequate Cryptosporidium removal. Missing this
deadline may, in turn, jeopardize our ability to have the
required treatment modifications, if any, completed by
the deadline required, (date). For more information,
please call (name of water system contact) of (name of
water system) at (phone number).
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SUMMARY OF FEDERAL REQUIREMENT
The special notice for failure to determine bin
classification or mean Cryptosporidium level must
contain the following language:
We are required to monitor the source of your drinking
water for Cryptosporidium in order to determine by
(date) whether water treatment at the (treatment plant
name) is sufficient to adequately remove
Cryptosporidium from your drinking water. We have
not made this determination by the required date. Our
failure to do this may jeopardize our ability to have the
required treatment modifications, if any, completed by
the required deadline of (date). For more information,
please call (name of water system contact) of (name of
water system) at (phone number).
Each special notice must also include a description of
what the system is doing to correct the violation and
when the system expects to return to compliance or
resolve the situation.
Appendix A to Subpart Q
Appendix B to Subpart Q
Appendix C to Subpart Q
FEDERAL CITATION
40CFR
ง 141.21 l(d)(2)
ง141.211(d)(3)
Appendix A to Subpart Q
Appendix B to Subpart Q
Appendix C to Subpart Q
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
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November 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
PART 142-NATioNAL PRIMARY DRINKING WATER REGULATIONS IMPLEMENTATION
SUBPART B-PRIMARY ENFORCEMENT RESPONSIBILIT\
ง 142.10 REQUIREMENTS FOR A DETERMINATION OF PRIMARY ENFORCEMENT RESPONSIBILITY.
Authority to require public water systems to give public
notice that is no less stringent than the EPA
requirements in Subpart Q of Part 141 of this chapter
andง142.16(a).
Authority to assess civil or criminal penalties for
violation of the State's primary drinking water
regulations and public notification requirements,
including the authority to assess daily penalties or
multiple penalties when a violation continues;
ง 142.10(b)(6)(v)
ง 142.10(b)(6)(vi)
ง 142.14 RECORDS KEPT BY STATES.
Public notification records under Subpart Q of Part 141
of this chapter received from public water systems
(including certifications of compliance and copies of
public notices) and any state determinations
establishing alternative public notification requirements
for the water systems must be retained for three years.
ง 142.14(f)
ง142.15 REPORTS BY STATES.
Each State which has primary enforcement
responsibility shall submit quarterly reports to the
Administrator on a schedule and in a format prescribed
by the Administrator, consisting of the following
information:
ง 142.15(a)
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November 2009
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SUMMARY OF FEDERAL REQUIREMENT
(1) New violations by public water systems in the State
during the previous quarter of State regulations adopted
to incorporate the requirements of national primary
drinking water regulations, including violations of the
public notification requirements under Subpart Q of
Part 141 of this chapter.
FEDERAL CITATION
40 CFR
ง 142.15(a)(l)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
ง 142.16 SPECIAL PRIMACY REQUIREMENTS.
State public notification requirements
Each State that has primary enforcement authority
under this part must submit complete and final requests
for approval of program revisions to adopt the
requirements of Subpart Q of Part 141 of this chapter,
using the procedures in ง 142. 12(b) through (d). At its
option, a State may, by rule, and after notice and
comment, establish alternative public notification
requirements with respect to the form and content of the
public notice required under Subpart Q of Part 141 of
this chapter. The alternative requirements must provide
the same type and amount of information required
under Subpart Q and must meet the primacy
requirements under ง142.10.
As part of the revised primacy program, a State must
also establish enforceable requirements and procedures
when the State adds to or changes the requirements
under:
Table 1 to 40 CFR 14 1.201 (a) (Item (3)(v)) To require
public water systems to give a public notice for
violations or situations other than those listed in
Appendix A of Subpart Q of Part 141 of this chapter;
ง 142.16(a)
ง 142.16(a)(l)
ง 142.16(a)(2)
ง 142.16(a)(2)(i)
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November 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
40 CFR 141.201(c)(2) To allow public water
systems, under the specific circumstances listed in
ง141.201(c)(2), to limit the distribution of the public
notice to persons served by the portion of the
distribution system that is out of compliance;
ง 142.16(a)(2)(ii)
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;
ง 142.16(a)(2)(iii)
40 CFR 141.202(b)(3) To require public water
systems to comply with additional Tier 1 public
notification requirements set by the State subsequent to
the initial 24-hour Tier 1 notice, as a result of their
consultation with the State required under
งง141.202(b)(2);
ง 142.16(a)(2)(iv)
40 CFR 141.202(c), 141.203(c) and 141.204(c) To
require a different form and manner of delivery for Tier
1, 2 and 3 public notices.
ง 142.16(a)(2)(v)
Table 1 to 40 CFR 141.203(a) (Item (2)) To require
the public water systems to provide a Tier 2 public
notice (rather than Tier (3)) for monitoring or testing
procedure violations specified by the State;
ง 142.16(a)(2)(vi)
40 CFR 141.203(b)(l) To grant public water systems
an extension up to three months for distributing the Tier
2 public notice in appropriate circumstances (other than
those specifically excluded in the rule);
ง 142.16(a)(2)(vii)
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November 2009
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SUMMARY OF FEDERAL REQUIREMENT
FEDERAL CITATION
40CFR
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
40 CFR 141.203(b)(2) To grant a different repeat
notice frequency for the Tier 2 public notice in
appropriate circumstances (other than those specifically
excluded in the rule), but no less frequently than once
per year;
ง 142.16(a)(2)(viii)
40 CFR 141.203(b)(3) To respond within 24 hours to
a request for consultation by the public water system to
determine whether a Tier 1 (rather than a Tier 2) notice
is required for a turbidity MCL violation under
ง141.13(b) or a SWTR/IESWTR TT violation due to a
single exceedance of the maximum allowable turbidity
limit;
ง 142.16(a)(2)(ix)
40 CFR 141.205(c) To determine the specific
multilingual requirement for a public water system,
including defining "large proportion of non-English-
speaking consumers."
ง 142.16(a)(2)(x)
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Appendix B
Rule Requirements
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ง141.201
40 CFR Ch. I (7-1-08 Edition)
than 2.0 NTU in two consecutive meas-
urements taken 15 minutes apart at
any time in each of two consecutive
months, the system must report the
filter number, the turbidity measure-
ment, and the date(s) on which the ex-
ceedance occurred. In addition, the sys-
tem must arrange for the conduct of a
comprehensive performance evaluation
by the State or a third party approved
by the State no later than 30 days fol-
lowing the exceedance and have the
evaluation completed and submitted to
the State no later than 90 days fol-
lowing the exceedance.
(c) Additional reporting requirements.
(1) If at any time the turbidity exceeds
1 NTU in representative samples of fil-
tered water in a system using conven-
tional filtration treatment or direct
filtration, the system must inform the
State as soon as possible, but no later
than the end of the next business day.
(2) If at any time the turbidity in
representative samples of filtered
water exceeds the maximum level set
by the State under ง141.173(1)) for filtra-
tion technologies other than conven-
tional filtration treatment, direct fil-
tration, slow sand filtration, or diato-
maceous earth filtration, the system
must inform the State as soon as pos-
sible, but no later than the end of the
next business day.
[63 FR 69516, Dec. 16, 1998, as amended at 66
FR 3779, Jan. 16, 2001]
Subpqrt QPublic Notification of
Drinking Water Violations
SOURCE: 65 FR 26035, May 4, 2000, unless
otherwise noted.
ง141.201 General public notification
requirements.
Public water systems in States with
primacy for the public water system
supervision (PWSS) program must
comply with the requirements in this
subpart no later than May 6, 2002 or on
the date the State-adopted rule be-
comes effective, whichever comes first.
Public water systems in jurisdictions
where EPA directly implements the
PWSS program must comply with the
requirements in this subpart on Octo-
ber 31, 2000. Prior to these dates, public
water systems must continue to com-
ply with the public notice require-
ments in ง141.32 of this part. The term
"primacy agency" is used in this sub-
part to refer to either EPA or the State
or the Tribe in cases where EPA, the
State, or the Tribe exercises primary
enforcement responsibility for this sub-
part.
(a) Who must give public notice? Each
owner or operator of a public water
system (community water systems,
non-transient non-community water
systems, and transient non-community
water systems) must give notice for all
violations of national primary drink-
ing water regulations (NPDWR) and for
other situations, as listed in Table 1.
The term "NPDWR violations" is used
in this subpart to include violations of
the maximum contaminant level
(MCL), maximum residual disinfection
level (MRDL), treatment technique
(TT), monitoring requirements, and
testing procedures in this part 141. Ap-
pendix A to this subpart identifies the
tier assignment for each specific viola-
tion or situation requiring a public no-
tice.
TABLE 1 TO ง 141.201VIOLATION CATEGORIES
AND OTHER SITUATIONS REQUIRING A PUBLIC
NOTICE
(1) NPDWR violations:
(i) Failure to comply with an applicable
maximum contaminant level (MCL) or
maximum residual disinfectant level
(MRDL).
(ii) Failure to comply with a prescribed
treatment technique (TT).
(iii) Failure to perform water quality mon-
itoring, as required by the drinking
water regulations.
(iv) Failure to comply with testing proce-
dures as prescribed by a drinking
water regulation.
(2) Variance and exemptions under sections
1415 and 1416 of SDWA:
(i) Operation under a variance or an ex-
emption.
(ii) Failure to comply with the require-
ments of any schedule that has been
set under a variance or exemption.
(3) Special public notices:
(i) Occurrence of a waterborne disease
outbreak or other waterborne emer-
gency.
550
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Environmental Protection Agency
ง141.202
TABLE 1 TO ง 141.201VIOLATION CATEGORIES
AND OTHER SITUATIONS REQUIRING A PUBLIC
NOTICEContinued
(ii) Exceedance of the nitrate MCL by
non-community water systems
(NCWS), where granted permission by
the primacy agency under 141.11(d) of
this part.
(iii) Exceedance of the secondary max-
imum contaminant level (SMCL) for
fluoride.
(iv) Availability of unregulated contami-
nant monitoring data.
(v) Other violations and situations deter-
mined by the primacy agency to re-
quire a public notice under this sub-
part, not already listed in Appendix A.
(b) What type of public notice is re-
quired for each violation or situation?
Public notice requirements are divided
into three tiers, to take into account
the seriousness of the violation or situ-
ation and of any potential adverse
health effects that may be involved.
The public notice requirements for
each violation or situation listed in
Table 1 of this section are determined
by the tier to which it is assigned.
Table 2 of this section provides the def-
inition of each tier. Appendix A of this
part identifies the tier assignment for
each specific violation or situation.
TABLE 2 TO ง141.201DEFINITION OF PUBLIC
NOTICE TIERS
(1) Tier 1 public noticerequired for NPDWR
violations and situations with significant po-
tential to have serious adverse effects on
human health as a result of short-term ex-
posure.
(2) Tier 2 public noticerequired for all other
NPDWR violations and situations with po-
tential to have serious adverse effects on
human health.
(3) Tier 3 public noticerequired for all other
NPDWR violations and situations not in-
cluded in Tier 1 and Tier 2.
(c) Who must be notified?
(1) Each public water system must
provide public notice to persons served
by the water system, in accordance
with this subpart. Public water sys-
tems that sell or otherwise provide
drinking water to other public water
systems (i.e., to consecutive systems)
are required to give public notice to
the owner or operator of the consecu-
tive system; the consecutive system is
responsible for providing public notice
to the persons it serves.
(2) If a public water system has a vio-
lation in a portion of the distribution
system that is physically or hydrau-
lically isolated from other parts of the
distribution system, the primacy agen-
cy may allow the system to limit dis-
tribution of the public notice to only
persons served by that portion of the
system which is out of compliance.
Permission by the primacy agency for
limiting distribution of the notice
must be granted in writing.
(3) A copy of the notice must also be
sent to the primacy agency, in accord-
ance with the requirements under
ง141.31(d).
ง141.202 Tier 1 Public NoticeForm,
manner, and frequency of notice.
(a) Which violations or situations re-
quire a Tier 1 public notice? Table 1 of
this section lists the violation cat-
egories and other situations requiring
a Tier 1 public notice. Appendix A to
this subpart identifies the tier assign-
ment for each specific violation or sit-
uation.
TABLE 1 TO ง 141.202VIOLATION CATEGORIES
AND OTHER SITUATIONS REQUIRING A TIER 1
PUBLIC NOTICE
(1) Violation of the MCL for total conforms
when fecal coliform or E. coli are present
in the water distribution system (as speci-
fied in ง 141.63(b)), or when the water sys-
tem fails to test for fecal coliforms or E.
coli when any repeat sample tests positive
for coliform (as specified in ง 141.21 (e));
(2) Violation of the MCL for nitrate, nitrite, or
total nitrate and nitrite, as defined in
ง 141.62, or when the water system fails to
take a confirmation sample within 24 hours
of the system's receipt of the first sample
showing an exceedance of the nitrate or
nitrite MCL, as specified in ง 141.23(f)(2);
(3) Exceedance of the nitrate MCL by non-
community water systems, where permitted
to exceed the MCL by the primacy agency
under ง141.11(d), as required under
ง141.209;
551
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ง141.203
40 CFR Ch. I (7-1-08 Edition)
TABLE 1 TO ง141.202VIOLATION CATEGORIES
AND OTHER SITUATIONS REQUIRING A TIER 1
PUBLIC NOTICEContinued
(4) Violation of the MRDL for chlorine diox-
ide, as defined in ง141.65(a), when one or
more samples taken in the distribution sys-
tem the day following an exceedance of
the MRDL at the entrance of the distribu-
tion system exceed the MRDL, or when
the water system does not take the re-
quired samples in the distribution system,
as specified in ง141.133(c)(2)(i);
(5) Violation of the turbidity MCL under
ง141.13(b), where the primacy agency de-
termines after consultation that a Tier 1 no-
tice is required or where consultation does
not take place within 24 hours after the
system learns of the violation;
(6) Violation of the Surface Water Treatment
Rule (SWTR), Interim Enhanced Surface
Water Treatment Rule (IESWTR) or Long
Term 1 Enhanced Surface Water Treat-
ment Rule (LT1ESWTR) treatment tech-
nique requirement resulting from a single
exceedance of the maximum allowable tur-
bidity limit (as identified in Appendix A),
where the primacy agency determines after
consultation that a Tier 1 notice is required
or where consultation does not take place
within 24 hours after the system learns of
the violation;
(7) Occurrence of a waterborne disease out-
break, as defined in ง141.2, or other wa-
terborne emergency (such as a failure or
significant interruption in key water treat-
ment processes, a natural disaster that dis-
rupts the water supply or distribution sys-
tem, or a chemical spill or unexpected
loading of possible pathogens into the
source water that significantly increases
the potential for drinking water contamina-
tion);
(8) Detection of E. coli, enterococci, or
coliphage in source water samples as
specified in ง141.402(a) and ง141.402(b);
(9) Other violations or situations with signifi-
cant potential to have serious adverse ef-
fects on human health as a result of short-
term exposure, as determined by the pri-
macy agency either in its regulations or on
a case-by-case basis.
(b) When is the Tier 1 public notice to
be provided? What additional steps are
required? Public water systems must:
(1) Provide a public notice as soon as
practical but no later than 24 hours
after the system learns of the viola-
tion;
(2) Initiate consultation with the pri-
macy agency as soon as practical, but
no later than 24 hours after the public
water system learns of the violation or
situation, to determine additional pub-
lic notice requirements; and
(3) Comply with any additional public
notification requirements (including
any repeat notices or direction on the
duration of the posted notices) that are
established as a result of the consulta-
tion with the primacy agency. Such re-
quirements may include the timing,
form, manner, frequency, and content
of repeat notices (if any) and other ac-
tions designed to reach all persons
served.
(c) What is the form and manner of the
public notice? Public water systems
must provide the notice within 24
hours in a form and manner reasonably
calculated to reach all persons served.
The form and manner used by the pub-
lic water system are to fit the specific
situation, but must be designed to
reach residential, transient, and non-
transient users of the water system. In
order to reach all persons served, water
systems are to use, at a minimum, one
or more of the following forms of deliv-
ery:
(1) Appropriate broadcast media
(such as radio and television);
(2) Posting of the notice in con-
spicuous locations throughout the area
served by the water system;
(3) Hand delivery of the notice to per-
sons served by the water system; or
(4) Another delivery method approved
in writing by the primacy agency.
[65 FR 26035, May 4, 2000, as amended at 67
FR 1836, Jan. 14, 2002; 71 FR 65652, Nov. 8,
2006]
ง141.203 Tier 2 Public NoticeForm,
manner, and frequency of notice.
(a) Which violations or situations re-
quire a Tier 2 public notice? Table 1 of
this section lists the violation cat-
egories and other situations requiring
a Tier 2 public notice. Appendix A to
this subpart identifies the tier assign-
ment for each specific violation or sit-
uation.
552
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Environmental Protection Agency
ง141.203
TABLE 1 TO ง141.203VIOLATION CATEGORIES
AND OTHER SITUATIONS REQUIRING A TIER 2
PUBLIC NOTICE
(1) All violations of the MCL, MRDL, and
treatment technique requirements, except
where a Tier 1 notice is required under
ง141.202(a) or where the primacy agency
determines that a Tier 1 notice is required;
(2) Violations of the monitoring and testing
procedure requirements, where the pri-
macy agency determines that a Tier 2 rath-
er than a Tier 3 public notice is required,
taking into account potential health impacts
and persistence of the violation; and
(3) Failure to comply with the terms and con-
ditions of any variance or exemption in
place.
(4) Failure to take corrective action or failure
to maintain at least 4-log treatment of vi-
ruses (using inactivation, removal, or a
State-approved combination of 4-log virus
inactivation and removal) before or at the
first customer under ง141.403(a).
(b) When is the Tier 2 public notice to
be provided?
(1) Public water systems must pro-
vide the public notice as soon as prac-
tical, but no later than 30 days after
the system learns of the violation. If
the public notice is posted, the notice
must remain in place for as long as the
violation or situation persists, but in
no case for less than seven days, even if
the violation or situation is resolved.
The primacy agency may, in appro-
priate circumstances, allow additional
time for the initial notice of up to
three months from the date the system
learns of the violation. It is not appro-
priate for the primacy agency to grant
an extension to the 30-day deadline for
any unresolved violation or to allow
across-the-board extensions by rule or
policy for other violations or situa-
tions requiring a Tier 2 public notice.
Extensions granted by the primacy
agency must be in writing.
(2) The public water system must re-
peat the notice every three months as
long as the violation or situation per-
sists, unless the primacy agency deter-
mines that appropriate circumstances
warrant a different repeat notice fre-
quency. In no circumstance may the
repeat notice be given less frequently
than once per year. It is not appro-
priate for the primacy agency to allow
less frequent repeat notice for an MCL
violation under the Total Coliform
Rule or a treatment technique viola-
tion under the Surface Water Treat-
ment Rule or Interim Enhanced Sur-
face Water Treatment Rule. It is also
not appropriate for the primacy agency
to allow through its rules or policies
across-the-board reductions in the re-
peat notice frequency for other ongoing
violations requiring a Tier 2 repeat no-
tice. Primacy agency determinations
allowing repeat notices to be given less
frequently than once every three
months must be in writing.
(3) For the turbidity violations speci-
fied in this paragraph, public water
systems must consult with the primacy
agency as soon as practical but no
later than 24 hours after the public
water system learns of the violation, to
determine whether a Tier 1 public no-
tice under ง141.202(a) is required to pro-
tect public health. When consultation
does not take place within the 24-hour
period, the water system must dis-
tribute a Tier 1 notice of the violation
within the next 24 hours (i.e., no later
than 48 hours after the system learns of
the violation), following the require-
ments under ง141.202(b) and (c). Con-
sultation with the primacy agency is
required for:
(i) Violation of the turbidity MCL
under ง141.13(b); or
(ii) Violation of the SWTR, IESWTR
or LT1ESWTR treatment technique re-
quirement resulting from a single ex-
ceedance of the maximum allowable
turbidity limit.
(c) What is the form and manner of the
Tier 2 public notice? Public water sys-
tems must provide the initial public
notice and any repeat notices in a form
and manner that is reasonably cal-
culated to reach persons served in the
required time period. The form and
manner of the public notice may vary
based on the specific situation and type
of water system, but it must at a min-
imum meet the following require-
ments:
(1) Unless directed otherwise by the
primacy agency in writing, community
water systems must provide notice by:
(i) Mail or other direct delivery to
each customer receiving a bill and to
other service connections to which
553
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ง141.204
40 CFR Ch. I (7-1-08 Edition)
water is delivered by the public water
system; and
(ii) Any other method reasonably cal-
culated to reach other persons regu-
larly served by the system, if they
would not normally be reached by the
notice required in paragraph (c)(l)(i) of
this section. Such persons may include
those who do not pay water bills or do
not have service connection addresses
(e.g., house renters, apartment dwell-
ers, university students, nursing home
patients, prison inmates, etc.). Other
methods may include: Publication in a
local newspaper; delivery of multiple
copies for distribution by customers
that provide their drinking water to
others (e.g., apartment building owners
or large private employers); posting in
public places served by the system or
on the Internet; or delivery to commu-
nity organizations.
(2) Unless directed otherwise by the
primacy agency in writing, non-com-
munity water systems must provide
notice by:
(i) Posting the notice in conspicuous
locations throughout the distribution
system frequented by persons served by
the system, or by mail or direct deliv-
ery to each customer and service con-
nection (where known); and
(ii) Any other method reasonably cal-
culated to reach other persons served
by the system if they would not nor-
mally be reached by the notice re-
quired in paragraph (c)(2)(l) of this sec-
tion. Such persons may include those
served who may not see a posted notice
because the posted notice is not in a lo-
cation they routinely pass by. Other
methods may include: Publication in a
local newspaper or newsletter distrib-
uted to customers; use of E-mail to no-
tify employees or students; or, delivery
of multiple copies in central locations
(e.g., community centers).
[65 FR 26035, May 4, 2000, as amended at 67
FR 1836, Jan. 14, 2002; 71 FR 65652, Nov. 8,
2006]
ง141.204 Tier 3 Public NoticeForm,
manner, and frequency of notice.
(a) Which violations or situations re-
quire a Tier 3 public notice? Table 1 of
this section lists the violation cat-
egories and other situations requiring
a Tier 3 public notice. Appendix A to
this subpart identifies the tier assign-
ment for each specific violation or sit-
uation.
TABLE 1 TO ง141.204VIOLATION CATEGORIES
AND OTHER SITUATIONS REQUIRING A TIER 3
PUBLIC NOTICE
(1) Monitoring violations under 40 CFR part
141, except where a Tier 1 notice is re-
quired under ง141.202(a) or where the pri-
macy agency determines that a Tier 2 no-
tice is required;
(2) Failure to comply with a testing procedure
established in 40 CFR part 141, except
where a Tier 1 notice is required under
ง141.202(a)) or where the primacy agency
determines that a Tier 2 notice is required;
(3) Operation under a variance granted under
Section 1415 or an exemption granted
under Section 1416 of the Safe Drinking
Water Act;
(4) Availability of unregulated contaminant
monitoring results, as required under
ง141.207; and
(5) Exceedance of the fluoride secondary
maximum contaminant level (SMCL), as
required under ง141.208.
(b) When is the Tier 3 public notice to
be provided?
(1) Public water systems must pro-
vide the public notice not later than
one year after the public water system
learns of the violation or situation or
begins operating under a variance or
exemption. Following the initial no-
tice, the public water system must re-
peat the notice annually for as long as
the violation, variance, exemption, or
other situation persists. If the public
notice is posted, the notice must re-
main in place for as long as the viola-
tion, variance, exemption, or other sit-
uation persists, but in no case less than
seven days (even if the violation or sit-
uation is resolved).
(2) Instead of individual Tier 3 public
notices, a public water system may use
an annual report detailing all viola-
tions and situations that occurred dur-
ing the previous twelve months, as
long as the timing requirements of
paragraph (b)(l) of this section are met.
(c) What is the form and manner of the
Tier 3 public notice? Public water sys-
tems must provide the initial notice
and any repeat notices in a form and
manner that is reasonably calculated
to reach persons served in the required
554
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Environmental Protection Agency
ง141.205
time period. The form and manner of
the public notice may vary based on
the specific situation and type of water
system, but it must at a minimum
meet the following requirements:
(1) Unless directed otherwise by the
primacy agency in writing, community
water systems must provide notice by:
(i) Mail or other direct delivery to
each customer receiving a bill and to
other service connections to which
water is delivered by the public water
system; and
(ii) Any other method reasonably cal-
culated to reach other persons regu-
larly served by the system, if they
would not normally be reached by the
notice required in paragraph (c)(l)(i) of
this section. Such persons may include
those who do not pay water bills or do
not have service connection addresses
(e.g., house renters, apartment dwell-
ers, university students, nursing home
patients, prison inmates, etc.). Other
methods may include: Publication in a
local newspaper; delivery of multiple
copies for distribution by customers
that provide their drinking water to
others (e.g., apartment building owners
or large private employers); posting in
public places or on the Internet; or de-
livery to community organizations.
(2) Unless directed otherwise by the
primacy agency in writing, non-com-
munity water systems must provide
notice by:
(i) Posting the notice in conspicuous
locations throughout the distribution
system frequented by persons served by
the system, or by mail or direct deliv-
ery to each customer and service con-
nection (where known); and
(ii) Any other method reasonably cal-
culated to reach other persons served
by the system, if they would not nor-
mally be reached by the notice re-
quired in paragraph (c)(2)(l) of this sec-
tion. Such persons may include those
who may not see a posted notice be-
cause the notice is not in a location
they routinely pass by. Other methods
may include: Publication in a local
newspaper or newsletter distributed to
customers; use of E-mail to notify em-
ployees or students; or, delivery of
multiple copies in central locations
(e.g., community centers).
(d) In what situations may the Con-
sumer Confidence Report be used to meet
the Tier 3 public notice requirements? For
community water systems, the Con-
sumer Confidence Report (CCR) re-
quired under Subpart O of this part
may be used as a vehicle for the initial
Tier 3 public notice and all required re-
peat notices, as long as:
(1) The CCR is provided to persons
served no later than 12 months after
the system learns of the violation or
situation as required under ง141.204(b);
(2) The Tier 3 notice contained in the
CCR follows the content requirements
under ง141.205; and
(3) The CCR is distributed following
the delivery requirements under
ง141.204(c).
[65 FR 26035, May 4, 2000; 65 FR 38629, June 21,
2000]
ง 141.205 Content of the public notice.
(a) What elements must be included in
the public notice for violations of National
Primary Drinking Water Regulations
(NPDWR) or other situations requiring a
public notice? When a public water sys-
tem violates a NPDWR or has a situa-
tion requiring public notification, each
public notice must include the fol-
lowing elements:
(1) A description of the violation or
situation, including the contaminant(s)
of concern, and (as applicable) the con-
taminant level(s);
(2) When the violation or situation
occurred;
(3) Any potential adverse health ef-
fects from the violation or situation,
including the standard language under
paragraph (d)(l) or (d)(2) of this sec-
tion, whichever is applicable;
(4) The population at risk, including
subpopulations particularly vulnerable
if exposed to the contaminant in their
drinking water;
(5) Whether alternative water sup-
plies should be used;
(6) What actions consumers should
take, including when they should seek
medical help, if known;
(7) What the system is doing to cor-
rect the violation or situation;
(8) When the water system expects to
return to compliance or resolve the sit-
uation;
(9) The name, business address, and
phone number of the water system
555
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ง141.205
40 CFR Ch. I (7-1-08 Edition)
owner, operator, or designee of the pub-
lic water system as a source of addi-
tional information concerning the no-
tice; and
(10) A statement to encourage the no-
tice recipient to distribute the public
notice to other persons served, using
the standard language under paragraph
(d)(3) of this section, where applicable.
(b) What elements must be included in
the public notice for public water systems
operating under a variance or exemption?
(1) If a public water system has been
granted a variance or an exemption,
the public notice must contain:
(i) An explanation of the reasons for
the variance or exemption;
(ii) The date on which the variance or
exemption was issued;
(ill) A brief status report on the steps
the system is taking to install treat-
ment, find alternative sources of water,
or otherwise comply with the terms
and schedules of the variance or ex-
emption; and
(iv) A notice of any opportunity for
public input in the review of the vari-
ance or exemption.
(2) If a public water system violates
the conditions of a variance or exemp-
tion, the public notice must contain
the ten elements listed in paragraph (a)
of this section.
(c) How is the public notice to be pre-
sented?
(1) Each public notice required by
this section:
(i) Must be displayed in a con-
spicuous way when printed or posted;
(ii) Must not contain overly technical
language or very small print;
(ill) Must not be formatted in a way
that defeats the purpose of the notice;
(iv) Must not contain language which
nullifies the purpose of the notice.
(2) Each public notice required by
this section must comply with multi-
lingual requirements, as follows:
(i) For public water systems serving
a large proportion of non-English
speaking consumers, as determined by
the primacy agency, the public notice
must contain information in the appro-
priate language(s) regarding the impor-
tance of the notice or contain a tele-
phone number or address where persons
served may contact the water system
to obtain a translated copy of the no-
tice or to request assistance in the ap-
propriate language.
(ii) In cases where the primacy agen-
cy has not determined what con-
stitutes a large proportion of non-
English speaking consumers, the public
water system must include in the pub-
lic notice the same information as in
paragraph (c)(2)(i) of this section,
where appropriate to reach a large pro-
portion of non-English speaking per-
sons served by the water system.
(d) What standard language must pub-
lic water systems include in their public
notice? Public water systems are re-
quired to include the following stand-
ard language in their public notice:
(1) Standard health effects language
for MCL or MRDL violations, treat-
ment technique violations, and viola-
tions of the condition of a variance or
exemption. Public water systems must
include in each public notice the
health effects language specified in Ap-
pendix B to this subpart corresponding
to each MCL, MRDL, and treatment
technique violation listed in Appendix
A to this subpart, and for each viola-
tion of a condition of a variance or ex-
emption.
(2) Standard language for monitoring
and testing procedure violations. Pub-
lic water systems must include the fol-
lowing language in their notice, includ-
ing the language necessary to fill in
the blanks, for all monitoring and test-
ing procedure violations listed in Ap-
pendix A to this subpart:
We are required to monitor your drinking
water for specific contaminants on a regular
basis. Results of regular monitoring are an
indicator of whether or not your drinking
water meets health standards. During [com-
pliance period], we "did not monitor or test"
or "did not complete all monitoring or test-
ing" for [contaminant(s)], and therefore can-
not be sure of the quality of your drinking
water during that time.
(3) Standard language to encourage
the distribution of the public notice to
all persons served. Public water sys-
tems must include in their notice the
following language (where applicable):
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.
556
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Environmental Protection Agency
ง141.208
ง 141.206 Notice to new billing units or
new customers.
(a) What is the requirement for commu-
nity water systems? Community water
systems must give a copy of the most
recent public notice for any continuing
violation, the existence of a variance
or exemption, or other ongoing situa-
tions requiring a public notice to all
new billing units or new customers
prior to or at the time service begins.
(b) What is the requirement for non-
community water systems? Non-commu-
nity water systems must continuously
post the public notice in conspicuous
locations in order to inform new con-
sumers of any continuing violation,
variance or exemption, or other situa-
tion requiring a public notice for as
long as the violation, variance, exemp-
tion, or other situation persists.
ง141.207 Special notice of the avail-
ability of unregulated contaminant
monitoring results.
(a) When is the special notice to be
given? The owner or operator of a com-
munity water system or non-transient,
non-community water system required
to monitor under ง141.40 must notify
persons served by the system of the
availability of the results of such sam-
pling no later than 12 months after the
monitoring results are known.
(b) What is the form and manner of the
special notice? The form and manner of
the public notice must follow the re-
quirements for a Tier 3 public notice
prescribed in งง141.204(c), (d)(l), and
(d)(3). The notice must also identify a
person and provide the telephone num-
ber to contact for information on the
monitoring results.
ง 141.208 Special notice for exceedance
of the SMCL for fluoride.
(a) When is the special notice to be
given? Community water systems that
exceed the fluoride secondary max-
imum contaminant level (SMCL) of 2
mg/1 as specified in ง143.3 (determined
by the last single sample taken in ac-
cordance with ง141.23), but do not ex-
ceed the maximum contaminant level
(MCL) of 4 mg/1 for fluoride (as speci-
fied in ง141.62), must provide the public
notice in paragraph (c) of this section
to persons served. Public notice must
be provided as soon as practical but no
later than 12 months from the day the
water system learns of the exceedance.
A copy of the notice must also be sent
to all new billing units and new cus-
tomers at the time service begins and
to the State public health officer. The
public water system must repeat the
notice at least annually for as long as
the SMCL is exceeded. If the public no-
tice is posted, the notice must remain
in place for as long as the SMCL is ex-
ceeded, but in no case less than seven
days (even if the exceedance is elimi-
nated). On a case-by-case basis, the pri-
macy agency may require an initial no-
tice sooner than 12 months and repeat
notices more frequently than annually.
(b) What is the form and manner of the
special notice? The form and manner of
the public notice (including repeat no-
tices) must follow the requirements for
a Tier 3 public notice in ง141.204(c) and
(d)(l) and (d)(3).
(c) What mandatory language must be
contained in the special notice? The no-
tice must contain the following lan-
guage, including the language nec-
essary to fill in the blanks:
This is an alert about your drinking water
and a cosmetic dental problem that might
affect children under nine years of age. At
low levels, fluoride can help prevent cavities,
but children drinking water containing more
than 2 milligrams per liter (mg/1) of fluoride
may develop cosmetic discoloration of their
permanent teeth (dental fluorosis). The
drinking water provided by your community
water system [name] has a fluoride con-
centration of [insert value] mg/1.
Dental fluorosis, in its moderate or severe
forms, may result in a brown staining and/or
pitting of the permanent teeth. This problem
occurs only in developing teeth, before they
erupt from the gums. Children under nine
should be provided with alternative sources
of drinking water or water that has been
treated to remove the fluoride to avoid the
possibility of staining and pitting of their
permanent teeth. You may also want to con-
tact your dentist about proper use by young
children of fluoride-containing products.
Older children and adults may safely drink
the water.
Drinking water containing more than 4
mg/L of fluoride (the U.S. Environmental
Protection Agency's drinking water stand-
ard) can increase your risk of developing
bone disease. Your drinking water does not
contain more than 4 mg/1 of fluoride, but
we're required to notify you when we dis-
cover that the fluoride levels in your drink-
ing water exceed 2 mg/1 because of this cos-
metic dental problem.
557
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ง141.209
40 CFR Ch. I (7-1-08 Edition)
For more information, please call [name of
water system contact] of [name of commu-
nity water system] at [phone number]. Some
home water treatment units are also avail-
able to remove fluoride from drinking water.
To learn more about available home water
treatment units, you may call NSF Inter-
national at 1-877-8-NSF-HELP."
ง141.209 Special notice for nitrate
exceedances above MCL by non-
community water systems (NCWS),
where granted permission by the
primacy agency under ง 141.11(d)
(a) When is the special notice to be
given? The owner or operator of a non-
community water system granted per-
mission by the primacy agency under
ง141.11(d) to exceed the nitrate MCL
must provide notice to persons served
according to the requirements for a
Tier 1 notice under ง141.202(a) and (b).
(b) What is the form and manner of the
special notice? Non-community water
systems granted permission by the pri-
macy agency to exceed the nitrate
MCL under ง141.11(d) must provide con-
tinuous posting of the fact that nitrate
levels exceed 10 mg/1 and the potential
health effects of exposure, according to
the requirements for Tier 1 notice de-
livery under ง141.202(c) and the content
requirements under ง141.205.
ง141.210 Notice by primacy agency on
behalf of the public water system.
(a) May the primacy agency give the
notice on behalf of the public water sys-
tem? The primacy agency may give the
notice required by this subpart on be-
half of the owner and operator of the
public water system if the primacy
agency complies with the requirements
of this subpart.
(b) What is the responsibility of the
public water system when notice is given
by the primacy agency? The owner or op-
erator of the public water system re-
mains responsible for ensuring that the
requirements of this subpart are met.
ง141.211 Special notice for repeated
failure to conduct monitoring of the
source water for Cryptosporidium
and for failure to determine bin
classification or mean
Cryptosporidium level.
(a) When is the special notice for re-
peated failure to monitor to be given? The
owner or operator of a community or
non-community water system that is
required to monitor source water under
ง141.701 must notify persons served by
the water system that monitoring has
not been completed as specified no
later than 30 days after the system has
failed to collect any 3 months of moni-
toring as specified in ง141.701(c). The
notice must be repeated as specified in
ง141.203(b).
(b) When is the special notice for failure
to determine bin classification or mean
Cryptosporidium level to be given? The
owner or operator of a community or
non-community water system that is
required to determine a bin classifica-
tion under ง141.710, or to determine
mean Cryptosporidium level under
ง141.712, must notify persons served by
the water system that the determina-
tion has not been made as required no
later than 30 days after the system has
failed report the determination as
specified in ง141.710(e) or ง141.712(a), re-
spectively. The notice must be re-
peated as specified in ง141.203(b). The
notice is not required if the system is
complying with a State-approved
schedule to address the violation.
(c) What is the form and manner of the
special notice? The form and manner of
the public notice must follow the re-
quirements for a Tier 2 public notice
prescribed in ง141.203(c). The public no-
tice must be presented as required in
ง141.205(c).
(d) What mandatory language must be
contained in the special notice? The no-
tice must contain the following lan-
guage, including the language nec-
essary to fill in the blanks.
(1) The special notice for repeated
failure to conduct monitoring must
contain the following language:
We are required to monitor the source of
your drinking water for Cryptosporidium. Re-
sults of the monitoring are to be used to de-
termine whether water treatment at the
(treatment plant name) is sufficient to ade-
quately remove Cryptosporidium from your
drinking water. We are required to complete
this monitoring and make this determina-
tion by (required bin determination date).
We "did not monitor or test" or "did not
complete all monitoring or testing" on
schedule and, therefore, we may not be able
to determine by the required date what
treatment modifications, if any, must be
made to ensure adequate Cryptosporidium re-
moval. Missing this deadline may, in turn,
jeopardize our ability to have the required
558
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Environmental Protection Agency
treatment modifications, if any, completed
by the deadline required, (date).
For more information, please call (name of
water system contact) of (name of water sys-
tem) at (phone number).
(2) The special notice for failure to
determine bin classification or mean
Cryptosporidium level must contain the
following language:
We are required to monitor the source of
your drinking water for Cryptosporidium in
order to determine by (date) whether water
treatment at the (treatment plant name) is
sufficient to adequately remove
Cryptosporidium from your drinking water.
ง141.211
We have not made this determination by the
required date. Our failure to do this may
jeopardize our ability to have the required
treatment modifications, if any, completed
by the required deadline of (date). For more
information, please call (name of water sys-
tem contact) of (name of water system) at
(phone number).
(3) Each special notice must also in-
clude a description of what the system
is doing to correct the violation and
when the system expects to return to
compliance or resolve the situation.
[71 FR 768, Jan. 5, 2006]
559
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Appendix C
Rule Factsheets and Quick
Reference Guide
-------
This Page Intentionally Left Blank
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United States
Environmental Protection
Agency
For additional information
on the PN Rule
Call the Safe Drinking
Water Hotline at 1-800-
426-4791; visit the EPA
Web site at www.epa.
gov/safewater/pn.html: or
contact your state or local
primacy agency's drinking
water representative. Log
onto the PNiWriter Web site
to use EPA's templates at
www. P N i Write r. co m.
The Public Notification Rule:
A Quick Reference Guide
Overview of the R
Title
Purpose
General
Description
Utilities
Covered
Timing and
Distribution
Public Notification (PN) Rule, 65 FR 25982, May 4, 2000.
To notify the public of drinking water violations or situations that may pose a risk to public
health.
The PN Rule requires all public water systems (PWSs) to notify their consumers any time a
PWS violates a national primary drinking water regulation or has a situation posing a risk to
public health. Notices must be provided to persons served (not just billing customers).
All PWSs.
Notices must be sent within 24 hours, 30 days, or one year depending on the tier to which the
violation is assigned. The clock for notification starts when the PWS learns of the violation.
Tier 1 (Immediate Notice, Within 24 Hours)
Tier 1 PN is required to be issued as soon as practical but no later than 24 hours after the PWS learns of the
violation or situation including:
> Distribution system sample violation when fecal coliform or E. coli are present; failure to test for fecal
coliform or E. coli after initial total coliform distribution system sample tests positive.
^ Nitrate, nitrite, or total nitrate and nitrite maximum contaminant level (MCL) violation; failure to take
confirmation sample.
> Special notice for noncommunity water systems (NCWSs) with nitrate exceedances between 10 mg/L and
20 mg/L, where system is allowed to exceed 10 mg/L by primacy agency.
^ Chlorine dioxide maximum residual disinfectant level (MRDL) violation when one or more of the samples
taken in the distribution system exceeds the MRDL on the day after a chlorine dioxide measurement taken
at the entrance to the distribution system exceeds the MRDL, or when required samples are not taken in the
distribution system.
> Exceedance of maximum allowable turbidity level, if elevated to a Tier 1 notice by primacy agency.
^ Waterborne disease outbreak or other waterborne emergency.
^ Detection of E. coli, enterococci, or coliphage in a ground water source sample.
> Other violations or situations determined by the primacy agency.
Tier 2 PN is required to be issued as soon as practical or within 30 days. Repeat notice every 3 months until
violation or situation is resolved.
^ All MCL, MRDL, and treatment technique violations, except where Tier 1 notice is required.
^ Monitoring violations, if elevated to Tier 2 notice by primacy agency.
> Failure to comply with variance and exemption conditions.
> For ground water systems providing 4-log treatment and conducting Ground Water Rule (GWR) compliance
monitoring, failure to maintain required treatment for more than 4 hours.
^ Failure to take any required corrective action or be in compliance with a corrective action plan for a fecal
indicator-positive ground water source sample.
> Failure to take any required corrective action or be in compliance with a corrective action plan for a
significant deficiency under the GWR.
^ Special public notice for repeated failure to conduct monitoring for Cryptosporidium.
Turbidity consultation is required when a PWS has a treatment technique violation resulting from a single
exceedance of the maximum allowable turbidity limit or an MCL violation resulting from an exceedance of the
2-day turbidity limit. The PWS must consult their primacy agency within 24 hours. Primacy agencies will then
determine whether a Tier 1 PN is necessary. If consultation does not occur within 24 hours, violations are
automatically elevated to require Tier 1 PN.
Tier 3 (Annual Notice)
Tier 3 PN is required to be issued within 12 months and repeated annually for unresolved violations.
> All monitoring or testing procedure violations, unless primacy agency elevates to Tier 2, including failure
to conduct benchmarking and profiling (surface water systems) and failure to develop a monitoring plan
(disinfecting systems).
> Operating under a variance and exemption.
> Special public notice for availability of unregulated contaminant monitoring results.
^ Special public notice for fluoride secondary maximum contaminant level (SMCL) exceedance.
-------
Ten Required Elements of a Public Notice
Unless otherwise specified in the regulations,* each notice must contain:
1. Description of the violation or situation, including the contaminant(s) of concern, and (as applicable) the contaminant level(s).
2. When the violation or situation occurred (i.e., date the sample was collected or was supposed to be collected).
3. Any potential adverse health effects from drinking the water and standard language regarding the violation or situation. (For MCL, MRDL,
treatment technique violations, or violations of the conditions of a variance or exemption, use health effects language from Appendix B of the
PN Rule. For monitoring and testing procedure violations, use the standard monitoring language below.)
4. The population at risk, including subpopulations that may be particularly vulnerable if exposed to the contaminant in their drinking water.
5. Whether alternate water supplies should be used.
6. Actions consumers should take, including when they should seek medical help, if known.
7. What the PWS is doing to correct the violation or situation.
8. When the PWS expects to return to compliance or resolve the situation.
9. The name, business address, and phone number or those of a designee of the PWS as a source of additional information concerning the
notice.
10. A statement (see standard distribution language below) encouraging notice recipients to distribute the notice to others, where applicable.
* These elements do not apply to notices for fluoride SMCL exceedances, availability of unregulated contaminant monitoring data, and operation under
a variance or exemption. Content requirements for these notices are specified in the PN Rule.
Standard Language:
Standard Monitoring Language: We are required to monitor your drinking water for specific contaminants on a regular basis. Results of regular
monitoring are an indicator of whether or not our drinking water meets health standards. During [period] we [did not monitor or test/did not complete all
monitoring or testing] for [contaminant(s)], and therefore cannot be sure of the quality of the drinking water during that time.
Standard Distribution Language: 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.
Multilingual Requirements
Where the PWS serves a large proportion of non-English speakers, the PWS must provide information in the appropriate language(s) on the
importance of the notice or on how to get assistance or a translated copy.
Presentation and Distribution
> The Tier 1 PN must be issued via radio, TV, hand delivery, posting, or other method specified by the primacy agency to reach all persons served.
PWSs must also initiate consultation with the primacy agency within 24 hours. Primacy agency may establish additional requirements during
consultation.
^ The Tier 2 and Tier 3 PNs must be issued by Community Water Systems (CWSs) via mail or direct delivery and by NCWSs via posting, direct
delivery, or mail. Primacy agencies may permit alternate methods. All PWSs must use additional delivery methods reasonably calculated to reach
other consumers not notified by the first method.*
> Notices for individual violations can be combined into an annual notice (including the Consumer Confidence Report [CCR], if PN requirements can
still be met).
* Each PN:
> Must be displayed in a conspicuous way.
^ Must not include overly technical language or very small print.
^ Must not be formatted in a way that defeats the purpose of the notice.
> Must not include language that nullifies the purpose of the notice.
^ If the notice is posted, it must remain in place for as long as the violation or situation persists, but in no case for less than seven days, even if the
violation or situation is resolved.
*PWSs should check with their primacy agency to determine the most appropriate delivery methods.
Notices to New Customers
All new billing units and customers must be notified of ongoing violations or situations requiring PN.
Reporting and Recordkeeping
PWSs have 10 days to send a certification of compliance and a copy of the completed notice to the primacy agency.
PWS and primacy agency must keep notices on file for 3 years.
-------
The Required Elements of a Public Notice
2. When the violation
occurred
6. Actions consumers
should take
3. Potential adverse
health effects
7. What is being
done to correct the
violation or situation
10. Required
distribution language
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Tests Showed Presence of Coliform Bacteria
The Jonesville Water System routinely monitors for coliform bacteria. During
the month of July, 7 percent of our samples tested positive. The standard is that
no more than 5 percent of samples may test positive.
What should I do?
You do not need to boil your water or take other corrective actions.
However, if you have specific health concerns, consult your doctor.
You do not need to use an alternate (e.g., bottled) water supply.
People with severely compromised immune systems, infants, pregnant
women, and some elderly may be at increased risk. These people 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 1-800-426-4791.
What does this mean?
This is not an emergency. If it had been, you would have been notified
immediately. Coliform bacteria are generally not harmful themselves. Conforms
are bacteria which are naturally present in the environment and are used as
an indicator that other, potentially-harmful, bacteria may be present. Conforms
were found in more samples than allowed and this was a warning of potential
problems.
Usually, coliforms are a sign that there could be a problem with the system's
treatment or distribution system (pipes). Whenever we detect coliform bacteria
in any sample, we do follow-up testing to see if other bacteria of greater
concern, such as fecal coliform or E. coli, are present. We did not find any of
these bacteria in our subsequent testing.
What was done?
We took additional samples for coliform bacteria which all came back negative.
As an added precaution, we chlorinated and flushed the pipes in the distribution
system to make sure bacteria were eliminated. This situation is now resolved.
For more information, or to learn more about protecting your drinking water
please contact John Jones at (502) 555-1212.
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 is being sent by the Jonesville Water System.
State Water System ID#1234567. Date Distributed: 8/8/09
1. Description of the
violation
5. Should alternate
water supplies be
used
4. The population at
risk
8. When the system
expects to return to
compliance
9. Phone number for
more information
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Drinking Water Public Notification
EPA published revised public notification regulations on May 4, 2000 (65 FR 25981), as required by the 1996 SOW A
Amendments. These changes make notification easier and more effective for:
Consumers - Faster notice in emergencies, fewer notices overall, notices that are easier to understand.
The new public notice requirements direct water suppliers to let people know within 24 hours of any situation that
may immediately pose a health risk. Formerly, water systems had up to 72 hours to provide this notice. This
change will make it easier for consumers to avoid drinking contaminated water. Water suppliers can now also
combine notices for less serious problems and make notices shorter and easier to understand.
States & water systems - concise standard language and notices.
The new public notification requirements make the standard health effects language more concise. The new rule
also gives water systems a standard set of procedures to follow, to make notices easier for water systems to issue,
while providing better information for consumers.
Public notification helps to ensure that consumers will always know if there is a problem with their
drinking water. These notices immediately alert consumers if there is a serious problem with their
drinking water (e.g., a boil water emergency). For less serious problems (e.g., a missed water test),
water suppliers must notify consumers in a timely manner. Public notice requirements have always
been a part of the Safe Drinking Water Act; EPA recently changed these requirements to make them
even more effective.
Water suppliers across the United States consistently deliver drinking water that meets EPA and state
standards. Systems also test regularly for approximately 90 contaminants to make sure that no
contaminant is present at levels which may pose a risk to human health. Water suppliers serving the
same customers year-round summarize this information in an annual report which provides consumers
with a snapshot of their everyday water quality.
Unfortunately, water quality can sometimes change. Despite the efforts of water suppliers, problems
with drinking water can and do occur. When a problem with drinking water happens, the people who
drink the water have a right to know what happened and what they need to do. The public notice
requirements of the Safe Drinking Water Act require water suppliers to provide this notice.
As water suppliers test their water, they may discover that levels of certain contaminants are higher
than the standards set by EPA or states. This might happen due to a change in local water conditions,
heavy rainstorms, or an accidental spill of a hazardous substance. Water suppliers may also fail to
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take one or a series of their required samples. Any time a water supplier fails to meet all EPA and
state standards for drinking water (including missing required samples or taking them late), the water
supplier must inform the people who drink the water.
How quickly do water systems have to send notices?
Depending on the severity of the situation, water suppliers have from 24 hours to one year to notify
their customers after a violation occurs. EPA specifies three categories, or tiers, of public notification.
Depending on what tier a violation situation falls into, water systems have different amounts of time
to distribute the notice and different ways to deliver the notice:
Immediate Notice (Tier 1): Any time a situation occurs where there is the potential for
human health to be immediately impacted, water suppliers have 24 hours to notify people
who may drink the water of the situation. Water suppliers must use media outlets such as
television, radio, and newspapers, post their notice in public places, or personally deliver a
notice to their customers in these situations.
Notice as soon as possible (Tier 2): Any time a water system provides water with levels of
a contaminant that exceed EPA or state standards or that hasn't been treated properly, but
that doesn't pose an immediate risk to human health, the water system must notify its
customers as soon as possible, but within 30 days of the violation. Notice may be provided
via the media, posting, or through the mail.
Annual Notice (Tier 3): When water systems violate a drinking water standard that does not
have a direct impact on human health (for example, failing to take a required sample on
time) the water supplier has up to a year to provide a notice of this situation to its
customers. The extra time gives water suppliers the opportunity to consolidate these notices
and send them with annual water quality reports (consumer confidence reports).
What information must be included in a notice?
All notices must include:
A description of the violation that occurred, including the potential health effects
The population at risk and if alternate water supplies need to be used
What the water system is doing to correct the problem
Actions consumers can take
When the violation occurred and when the system expects it to be resolved
How to contact the water system for more information
Language encouraging broader distribution of the notice
How often do violations occur that require a public notice?
Serious water quality problems are rare. Approximately 25 percent of the nation's 170,000 public
water suppliers violate at least one drinking water standard every year and are required to provide
public notice. In fiscal year 1998, there were more than 124,000 of these violations. Ninety percent of
these violations are due to the failure of water systems to complete all sampling in a timely manner.
About one percent of the time, water systems incur a violation for a serious situation where
notification must be provided immediately (Tier 1).
EPA816-F-00-021
May 2000
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Final Drinking Water Public
Notification Regulations
What is public notification?
Public notification is intended to ensure that consumers will always know if there is a problem with
their drinking water. Public water systems must notify the people who drink their water if the level of
a contaminant in the water exceeds Environmental Protection Agency (EPA) and State drinking water
regulations, if there is a waterborne disease outbreak or any other situation that may pose a risk to
public health, if the water system fails to test its water as required, or if the system has a variance or
exemption from the regulations. Depending on the severity of the situation, water suppliers have from
24 hours to one year to notify their customers. EPA sets strict requirements on the form, manner,
content, and frequency of public notices. Public notification is provided in addition to the annual water
quality report (consumer confidence report, or CCR), which provides customers with a more complete
picture of drinking water quality and system operations. The annual CCR tells consumers what's in
their water, where it comes from, and where they can obtain additional information.
In fiscal year 1998, there were more than 124,000 violations of drinking water regulations requiring a
public notice, involving over 25 percent of the 170,000 public water systems. Over 90 percent of the
violations were for failure to fully meet the monitoring or testing procedure requirements. Fewer than
1.5 percent of the violations posed an immediate risk of adverse health effects from short-term
exposure.
What action is EPA taking?
EPA published final regulations in the Federal Register on May 4, 2000 (65 FR 25981) to revise the
general public notification regulations. The revised regulations require faster notice in emergencies
and fewer notices overall, and will result in notices that better communicate the potential health risks
from drinking water violations and how to avoid such risks. The new rule will enable water systems to
better target notices to the seriousness of the risk and make the existing notification process less
burdensome for water suppliers and make notices easier to read for consumers.
The revised regulations (under 40 CFR Part 141, subpart Q) are effective on June 5, 2000. However,
they do not apply to public water systems in States with approved primacy programs until May 6,
2002, unless a primacy State chooses to adopt the new requirements earlier. Public water systems
where EPA directly implements the drinking water program (i.e., Wyoming, Washington, D.C., and
Tribal lands) must start complying with the new regulations on October 31, 2000. EPA proposed the
public notification rule revisions on May 13, 1999 (64 FR 25963).
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What changes were made to the public notification requirements?
24-hour notice. Water systems are required to distribute Tier 1 notices in 24 hours (instead
of 72) for violations posing acute health risks due to short-term exposure. The number of
violations and situations requiring a Tier 1 notice were significantly expanded from the
previous rule.
Consultation requirement. Water systems must consult with the State or EPA within 24
hours of a Tier 1 violation to receive direction on subsequent requirements.
30-day notice for other serious violations. The notice deadline for violations of maximum
contaminant levels or treatment techniques which do not pose an immediate threat to
human health is extended from 14 days to 30 days, with possible extension to 3 months
(Tier 2).
12-month notice for non-serious violations. The notice deadline for all other violations is
extended from 3 months to 12 months, allowing a single annual report where applicable
(Tier 3). Systems may choose to include this notice in their annual consumer confidence
report.
Simplified standard language. The existing standard health effects language is simplified,
consistent with the consumer confidence report (CCR) requirements. New standard language
is now required for monitoring violations. Recipients of public notices are also encouraged,
through standard distribution language in notices, to further distribute the notices to people
who may not receive a notice (such as tenants or hospital patients).
Streamlined distribution of notices. Under the previous rule, water systems were required
to use specific multiple delivery methods when distributing notices. The revised rule requires
water systems to select a single minimum method for each tier from a regulatory list and to
take additional steps of their own choosing that are reasonably calculated to reach all the
other persons served. The minimum required methods of delivery listed in the revised
regulation include the media, hand delivery, or posting for tier 1 notices, and direct mail,
hand delivery, or posting for Tier 2 and Tier 3 notices.
Certification of Compliance. The revised rule requires a water system to certify to the State
or primacy agency within 10 days that it has met all public notice requirements. The
previous rule required only that a copy of the notices be sent to the State.
How does the final regulation work?
The final regulation divides public notice into three tiers:
Tier 1, for violations and situations with significant potential to have serious adverse effects
on human health as a result of short-term exposure. Notice is required within 24 hours of
the violation.
Tier 2, for other violations and situations with potential to have serious, but not immediate,
adverse effects on human health. Notice is required within 30 days, or as soon as possible,
with extension of up to three months for resolved violations at the discretion of the State or
primacy agency.
Tier 3, for all other violations and situations not included in Tier 1 and Tier 2. Notice is
required within 12 months of the violation, and may be part of a single annual report,
including in some cases the annual CCR already required by EPA.
What types of violations and situations are covered under each tier?
The final regulation contains an Appendix listing out every violation and situation requiring a public
notice and its tier. The requirements for the timing of the public notice and the form and manner of its
delivery are determined by the tier to which the violation or situation is assigned. For example, a total
coliform violation where fecal coliform is present falls under Tier 1, which requires notification delivery
within 24 hours by (at a minimum) appropriate broadcast media, posting, or hand delivery.
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See Table 1 for the list of violation types and situations identified under each tier.
What are EPA requirements for the form, manner, and content of the public notices?
The final rule sets minimum methods of delivery under each tier, but also requires that water systems
take steps reasonably calculated to reach others not reached by the minimum method. Each notice
must contain information addressing ten elements, including use of standard health effects language
for maximum contaminant level (MCL) and treatment technique violations and standard language for
monitoring violations. Public water systems serving a large proportion of non-English speaking
consumers are also required to include information in the notice in languages other than English.
See Figure 1 for an example of a completed notice, including the required ten elements.
PDF File (1 pp, 7 K) (About PDF)
New Implementation Requirements
Which public water systems are affected by the regulation?
Once the rule goes into effect in each State, it will require all the public water systems to make
changes to their current public notification programs to incorporate the revised regulations. The final
rule will requir States with primary enforcement authority to revise their approved primacy programs
to adopt regulations no less stringent than the revised EPA regulations. The final regulation gives
States considerable discretion, at their option, to work with EPA to tailor public notification programs
to fit unique needs, policies, and programs.
How is EPA helping public water systems with new requirements?
EPA and the Association of State Drinking Water Administrators (ASDWA) are issuing a Public
Notification Handbook to assist water systems in implementing the revised regulation. This Handbook
provide templates for notices and other aids to help water systems develop notices for violation
situations.
Figure 1: The Required Elements of a Public Notice PDF (i pp, 7 K) (About PDF)
Tier 1 Public Notice - Required Within 24 Hours
Fecal coliform maximum contaminant level (MCL) violation or failure to test for fecal
contamination after total coliform test is positive
Nitrate/nitrite/combined nitrate and nitrite MCL violation or failure to take confirmation
sample
Chlorine dioxide maximum residual distribution level (MRDL) violation in distribution
system or failure to take repeat samples in distribution system
Exceedance of maximum allowable turbidity level resulting in an MCL or treatment
technique (TT) violation, when the State or EPA determines a Tier 1 notice is warranted
Special public notice for non-community water systems with nitrate exceedances
between 10 mg/l and 20 mg/l, when allowed to exceed MCL (10 mg/l) by the State
Waterborne disease outbreak or other waterborne emergency
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Other situations as determined by the primacy agency
Tier 2 Public Notice - Required Within 30 Days (unless extended to 90 days by State)
All other MCL, MRDL, and TT violations not identified as a Tier 1 notice
Monitoring and testing procedure violations, when the primacy agency requires a Tier 2
(rather than Tier 3) notice
Failure to comply with variance and exemption (V&E) conditions
Tier 3 Public Notice - Required Within 1 Year
All other monitoring or testing procedure violations not already requiring a Tier 1 or Tier
2 notice
Operation under a V & E
Special public notices (i.e., exceedance of the fluoride secondary maximum contaminant
level (SMCL); announcing the availability of unregulated contaminant monitoring results)
Figure 1: The Required Elements of a Public Notice PDF (i pp, 7 K) (About PDF)
EPA816-F-00-020
May 2000
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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."
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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.
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# 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.
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What special elements must be included in a
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 ง 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.
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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.
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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
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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.
-------
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 ง 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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Appendix D
Flowcharts
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Flowchart 1: Tier 1 Public Notices -Timeline for PWS Actions
PWS Learns of Tier 1 Violation or
Situation
Tier 1 Violations Include:
Violations of MCI for loial coliform where fecal
Golifofm or E. Coll ate present, o? for failure to test
for fecal coliform or E. Coli when any repeat
samples test passive.
ซ Violations of the MCL for nitrate, nitrite, or
combined nitrate*nitrite, or failure to take a
confirmation sample within 24 hours aft* learning
that an Initial sample exceeded MCL.
Violations of Ihe MRDL foe chlorine dioxide where
required repeat samples in the distribution system
exceeded trie MRDL or are not taken.
ซ Violation of the turbidity MCL under 40 CFR
141.13(b) where the state determines Tier 1
required, or where consultation did not take place
within 24 hours after the system learned of we
violation.
. Violation of the S WTR, IESWTR, or LT1ESWTR
treatment technique resulting from a angle
exceedance of the max. allowable turbidity limit
where Ihe state required Tier 1 notice after
consultation of where consultation did not take
place within 24 hours after the system learned of
the violation
Tier 1 Situations Include:
ซ Occurrence of fecal indicator-positive ground water
souroB sample.
* Exceedance of the nitrale MCL by NCWS systems,
where permitted to exceed the MCL by the state
under 40 CFR 141.11(d).
An occurrence of a waterbome disease outbreak
or other waterborne emergency.
* Other violations and situations elevated to Tier 1
by the state.
Clock Starts
todays after
completing
subsequent
PN
requirements
Within 24 hours after
PWS learns of the
violation or situation
the PWS must provide
notice to customers.
PWS must use at minimum
one or more of the following
methods; broadcast media.
posting, hand delivery, or
another state approved
method.
Within 24 hours after
a PWS learns of a
violation or situation
the PWS must initiate
consultation with the
state.
Purpose' To determine if
ihwe are any additional PN
requirements to meet.
Within 10 days
after
completing
initial PN
requirements
PWS must
send to the
state:
- A copy of ihe
notice.
- Certification.
State decides
If PWS should
moct
additional PN
requirements.
Such as: repeat
notices, direction
on duration of
posted notices, or
other actions
required to reach
all persons
served.
PWS must
comply with
additional PN
requirements.
Within 10 days
after
completing
subsequent PN
requirements,
the PWS must
send to the
state
- A copy of the
notice.
- Certification.
-------
Flowchart 2; Tier 2 Public Notices -Timeline for PWS Actions
PWS Learns of Tier 2 Violation or
Situation
Tier 2 Violations Include:
* All violations of tie MCL, MRDL and treatment
technique requirements not listed in the Tier 1
catenary.
Violations of monitoring and testing procedure
requirements, where the state determines that a
Tier 2 rasher than Tier 3 public notice is required
ซ Failure to comply with the terms and conditions of
any variance or exemption in place.
* For ground water systems providing 4-tog
treatment, failure to maintain required treatment for
mof e than 4 hours.
ซ Failure to take any required corrective action or be
in compliance with a corrective action plan for fecal
indicator-positive source water sample
ซ Failure to take any required corrective action or be
in compliance with a corrective action plan for a
significant deficiency under the Ground Water
Rule.
Special public notice for repealed failure to
conduct monitoring lot Cfyptospofidium.
Note: In appropriate circumstances the state may
allow additional time for distribution of the initial Tier 2
notice of up to 3 months from the date She system
learns of the violation
The state also has discretion to allow a different Tier 2
repeat notice frequency. However, in no
circumstances is the repeat notice to be given less
frequently Shan once per year
As soon as practical but
no later than 30 days after
the PWS learns of the
vtotalion the PWS must
provide public notice to
consumers,
CWS must use:
- Mail or other direct
dellvwy to each customer
receiving a bill and to other
service connections.
AND
-Any other method
reasonably calculated to
reach other persons
regularly servad by tie
system if they would not
nocmally be reached by (he
first method.
NCWS must use:
-Posting, oc mail of direct
delivery to each customer
and service connection
{whare known).
AND
Any other method
reasonably calculated to
reach other persons servad
by the system if they would
not normally be reached by
the first method.
Within 10 days
after
completing
initial PN
requirements
PWS must
send to the
state:
- A copy of the
notice.
- Certification.
As long as
violation
exists, the
PWS must
sand a repeat
notice to
consumers
every 3
months.
Within 10 days
after
completing
subsequent
PN
requirements,
PWS must
send to the
state:
- A copy of (he
notice.
- Certification.
-------
Flowchart 3; Tier 3 Public Notices -Timeline for PWS Actions
Clock
PWS Learns of Tier 3 Violation or
Situation
Tier 3 Violaions Include;
Monitoring violations under 40 CFR pan 141,
except where a Tier 1 or Tier 2 notice is
required under 40 CFR 141,202(a} or where
the slate determines thai a Tier 2 notice is
required.
Failure to comply with a tasting procedure
established in 40 CFR pan 141. except
where a Tier 1 notice is required under 40
CFR 141,202(a) of where the state
determines that a Tier 2 notice is required.
Tier 3 Situations Include:
ป Operation under a variance granted under
Seciion 1415 or exemption granted under
Section1416ofSDWA,
Availability of unregulated contaminants
monitoring results as required under 40 CFR
141.207.
Exceedance of the fluoride SMCL as
required under 40 CFR 141.208,
Note: Instead of individual Tier 3 public notices a
PWS may use an annual report to detail all violations
and situations that occurred during the previous 12
months, as long as the timing requirements of 40
CFR 141.204(b)(1)aremet.
1 2 months
after PWS
learns of
Drafts violation or
situation
Within 12 months after
the PWS learns of the
violation or situation the
PWS must provide public
notice to consumers,
CWS must use:
- Mail or other direct
delivery to each customer
receiving a bill and to other
service connections
AND
-Any other method
reasonably calcuiat&d to
reach other persons
regularly served by the
system If they would not
lojmally be reached by the
f.rst method.
-Posting, or mail or direct
delivery to each customer
and service connection
! where known).
AND
-Any other method
reasonably calculated to
reach other persons served
by the system if they would
no! normally be reached by
vie Ural method.
u *,. . 10 days after
10 days after 12 months completing
completing after PWS Sequen"
initial PN sends initial p^
requirements notice requirements
Within 10 days
after
completing
initial PN
requirements
PWS must
send to the
state:
- A copy of the
notice.
As long as
violation or
situation
exists, the
PWS must
send a repeat
notice to
consumers
every 12
months.
Within 10 days
after
completing
subsequent
PN
requirements,
PWS must
^ send to the
state:
- A copy of tiie
notice.
- Certification.
-------
Flowchart 4: Tier 1 Public Notices - Timeline for State Actions
Clock Starts
j Within 24 hours
I of learning of
| the violation or
(situation the
I PWS must :
' - Provide public
notice to
consumers,
j - Initiate
I consultation with
j the slate.
I
State determines if
PWS must moot
additional PN
requirements
during the
consultation.
State records
a violation of
the PN Ryle if
the state:
- Did no! receive
a copy of the
initial public
notice and/or
certification.
- Received either
document late.
- Review finds the
public notice to
be Inadequate.
PN return to
compliance
for PWS
- Send state
copy of notice
and/or
certification.
-Redo notice and
sand stale copy
o* notice and
certification
State records
violation of
the PN Rule if
the state:
-Did not receive
a copy of the
subsequent
notices and/or
certification, the
state takes either
informal ot
formal
enforcement
action 10 get the
PWS to return to
compliance.
PN return to
compliance
for PWS
- Send state
copy of notice
andtor
certification.
-Redo notice and
sand slate copy
of notice and
cartification.
-------
Flowchart 5: Tier 2 Public Notices -Timeline for State Actions
Clock Starts
As soon as
practical but no
later than 30 days
after learning of
the violation or
situation, the PWS
must provide
public notice to
consumers.
Note: in appropriate circumstances
the state may allow addiliocial time (of
distribution oC the initial Tier 2 notice
of up to three months from the date
the system learns of the violation.
The state also has discretion to allow
a different Tier 2 repeat notice
frequency. However in no
circumstance is the repeat notice to
be given less frequently than once per
year.
State records a
violation of the
PN Rule if the
state:
- Did not receive
a copy of the
initial public
notice and/or
certification
- Received either
document iatฎ.
- Review finds the
public notice to
be inadequate.
State takes
either
informal or
formal
enforcement
action to get
PWS to
return to
compliance.
PN return to
compliance
for PWS
- Send state
copy of
notice andtor
certification,
-Redo notice
and send
state copy of
notice and
certification.
As long as
violation or
situation
exists, the
PWS must
sand a
repeat
notice to
consumers
every 3
months.
State records a
violation of the
PN Rule if the
state:
- Did np! receive
A copy of the
repeat public
notice and'or
certification
- Received either
document tale.
- Review finds the
public notice to
be inadequate
State takes
cither
informal or
formal
enforcement
action to get
PWS to
return to
compliance.
PN return to
compliance
for PWS
Send state
copy of
notice andi'or
certification.
-Redo notice
and send
state copy of
notice and
certification.
State
reports
violation of
thePM
Rule to
SDWIS.
State
reports
violation of
thePN
Rule to
SDWIS.
-------
Flowchart 6: Tier 3 Public Notices - Timeline for State Actions
Clock Starts
No later than 12
months after
learning of the
violation or
situation, the PWS
must provide
public notice to
consumers.
PWS can group
multiple violations
or situations Into
an annual report
State records a
violation of the
PH Rule if the
state:
- Did not receive
a copy of fie
initial public
notice and/or
certification
- Received either
document late.
- Review finds the
public notice to
be inadequate
State takes
either
informal or
formal
enforcement
action to get
PWS to
return to
compliance.
PN return to
compliance
for PWS
- Sand state
ropy of
notice andmr
certification.
Redo notice
and send
state C0|}y of
notice and
certification.
State records a
violation of the
PN Rule if the
state:
- Did not receive
a copy of tfw
repeat public
notice and/or
certification
- Received either
- Review finds the
public notice to
be inadequate.
State takes
either
informal or
formal
enforcement
action to get
PWS to
return to
compliance.
PN return to
compliance
for PWS
Send state
copy of
notice andi'or
certification.
-Redo notice
art! send
state copy of
notice and
certification.
-------
Appendix E
Example Forms, Letters and
Checklists
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-------
State Primacy Revision Checklist
PNRule Implementation Guidance E-3 November 2009
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PNRule Implementation Guidance E-4 November 2009
-------
Required Program Elements
ง142.10
ง142.10(a)
ง142.10(b)(1)
ง142.10(b)(6)(i)
ง142.10(b)(6)(ii)
ง142.10(b)(6)(iii)
ง142.10(b)(6)(iv)
ง142.10(b)(6)(v)
ง142.10(b)(6)(vi)
ง142.10(c)
ง142.10(f)
ง142.10(g)
Primary Enforcement
Definition of Public Water System*
Regulations No Less Stringent
Maintain Inventory
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
Maintenance of Records
Administrative Penalty Authority*
Electronic Reporting Regulations**
Revision to
State Program
EPA
Findings/Comments
* Requirement from the 1996 Amendments. Regulations published in the April 28, 1998 Federal Register.
** Regulations published in the October 13,2005 Federal Register.
PN Rule Implementation Guidance
E-5
November 2009
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PNRule Implementation Guidance E-6 November 2009
-------
Example Extension Request Checklist
PNRule Implementation Guidance E-7 November 2009
-------
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PNRule Implementation Guidance E-8 November 2009
-------
(Date}
{Regional Administrator}
Regional Administrator
U.S. EPA Region
{Street Address}
fCitv. State. Zint
RE: Request/approval for an Extension Agreement
Dear {Regional Administrator}:
The State of IStatel is requesting an extension to the date that final primacy revisions are due to EPA for
the Public Notification (PN) Rule until (insert date - no later than August 21. 2002}. 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 j
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 PN Rule 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 PN Rule.
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 PN Rule.
Keep PWSs informed of reporting requirements during development and implementation.
Report PN Rule 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 (NO Vs) for treatment technique and monitoring/ reporting violations of
the PN Rule.
Provide immediate technical assistance to PWSs with treatment technique, MCL and/or
monitoring/reporting violations to try to bring them into compliance.
PN Rule Implementation Guidance E-9 November 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 PN Rule 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 PN Rule 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 PN Rule as outlined above.
Regional Administrator Date
EPA Region {Region}
This Extension Agreement will take effect upon the date of the last signature.
PN Rule Implementation Guidance E-10 November 2009
-------
Example of Attorney General's Statement
PNRule Implementation Guidance E-ll November 2009
-------
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PNRule Implementation Guidance E-12 November 2009
-------
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}] 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)1 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)1 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 (5), 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)1 does not affect the ability of {3} to meet enforcement and information
gathering requirements under the Safe Drinking Water Act because [State/Commonwealth of ฃ3}] 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 state if it has independent legal counsel.
(2) 40 CFR 142.11 (a)(6)(i) for initial primacy applications or 40 CFR 142.12(c)(1)(iii) for primacy
program revision applications.
(3) Name of state or commonwealth.
(4) Name of tribe.
(5) Name of state.
PNRule Implementation Guidance E-13 November 2009
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