?/EPA
United States
Environmental Protection
Agency
Revised State
Implementation
Guidance for the
Consumer Confidence
Report (CCR) Rule
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Office of Water (4606M)
EPA816-R-09-010
www.epa.gov/safewater
April 2010
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Disclaimer
This document provides guidance to states, Native American tribes, and U.S.
Environmental Protection Agency (EPA) exercising primary enforcement responsibility
under the Safe Drinking Water Act (SDWA) and contains EPA's current policy
recommendations for complying with the Consumer Confidence Report (CCR) Rule.
Throughout this document, the terms "state" and "states" are used to refer to all types of
primacy agencies including U.S. territories, Native American tribes, and EPA.
The statutory provisions and EPA regulations described in this document contain legally
binding requirements. This document is not a regulation itself, nor does it change or
substitute for those provisions and regulations. Thus, it does not impose legally binding
requirements on EPA, states, or public water systems. This guidance does not confer legal
rights or impose legal obligations upon any member of the public.
While EPA has made every effort to ensure the accuracy of the discussion in this
guidance, the obligations of the regulated community are determined by statutes,
regulations, or other legally binding requirements. In the event of a conflict between the
discussion in this document and any statute or regulation, this document would not be
controlling.
The general description provided here may not apply to a particular situation based upon
the circumstances. Interested parties are free to raise questions and objections about the
substance of this guidance and the appropriateness of the application of this guidance to a
particular situation. EPA and other decision makers retain the discretion to adopt
approaches on a case-by-case basis that differ from those described in this guidance,
where appropriate.
Mention of trade names or commercial products does not constitute endorsement or
recommendation for their use.
This is a living document and may be revised periodically without public notice. EPA
welcomes public input on this document at any time. Guidance provided in this document
reflects provisions published on August 19, 1998 at 63 FR 44526; and as amended at 63
FR 69475, December 16, 1998; 63 FR 69516, December 16, 1998; 64 FR 34733, June 29,
1999; 65 FR 26022, 26023, and 26024, May 4, 2000; 65 FR 76749, December 7, 2000;
66 FR 7064, January 22, 2001; 67 FR 1836, January 14, 2002; 67 FR 70855, November
27, 2002; 67 FR 73011, December 9, 2002; 68 FR 14506, March 25, 2003; 69; 71 FR
483, January 4, 2006; and 71 FR 65651 and 65652, November 8, 2006.
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Table of Contents
Rule Requirements 1
1.1 Introduction 3
1.1.1 Development of the Consumer Confidence Report Rule 3
1.2 Requirements of the Rule: Public Water Systems 3
1.2.1 Applicability and Compliance Dates 3
1.2.2 CCR Content and Report Delivery Requirements 4
1.3 Requirement of the Rule: States and Other Primacy Agencies 6
1.3.1 Recordkeeping Requirements for States 6
1.4 Key Dates of the Rule 6
Resources and Guidance 9
2.1 Technical Guidance Manuals 11
2.2 Rule Presentation 12
2.3 Factsheet and Quick Reference Guide 12
2.4 Questions & Answers 12
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 CCR Content Requirements 20
3.2.3 Report Delivery and Recordkeeping Requirements for CWSs 36
3.3 Communicate CCR Rule Requirements to Affected Systems 43
3.3.1 Requirements and Target Notification Time Frames 43
3.3.2 Methods of Communication 44
3.4 Data Management Systems 48
3.5 Recordkeeping Requirements for States 48
State Primacy Revision Application 49
4.1 State Primacy Program Revision 51
4.1.1 The Revision Process 52
4.1.2 The Final Review Process 52
4.2 State Primacy Program Revision Extensions 55
4.2.1 The Extension Process 55
4.2.2 Extension Request Criteria 55
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4.2.3 Conditions of the Extension 55
4.3 State Primacy Package 59
4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(l)] 59
4.3.2 Text of the State's Regulation 60
4.3.3 Primacy Revision Crosswalk 60
4.3.4 State Reporting and Recordkeeping Checklist [40 CFR 142.14 and 40 CFR 142.15] 60
4.3.5 Special Primacy Requirements [40 CFR 142.16] 60
4.3.6 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)] 61
4.4 Guidance for the Special Primacy Requirements of the CCR 63
4.4.1 Special Primacy Requirement for Adopting 40 CFR 141, Subpart O 63
4.4.2 Special Primacy Requirement for Providing Reports to the Public upon Request 63
4.4.3 Special Primacy Requirement for Recordkeeping 64
4.4.4 Special Primacy Requirement for Reporting CCR Violations 64
4.5 Guidance for State Flexibility 64
Violation Determination and Safe Drinking Water Information System (SDWIS) Reporting 67
5.1 Violation Determination 69
5.2 SDWIS Reporting Summary 70
5.3 Optional CCR Compliance Checklist 70
Consumer Confidence Report Examples 75
6.1 CCR Examples for the Ground Water Rule 77
6.2 CCR Examples for Stage 2 DBPR 86
6.3 CCR Examples for LT2ESWTR 96
Appendices
Appendix A - Primacy Revision Crosswalk.
Appendix B - Consumer Confidence Report Rule (January 2010 edition).
Appendix C - Rule Factsheets.
Appendix D - Example Forms, Letters and Checklists.
Appendix E - Example CCR and Reporting Monitoring Data.
Appendix F - Memorandum on Alternative MCL Reporting Format.
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List of Tables
Table 1-1. Required Information for the CCR 4
Table 1-2. Report Delivery and Recordkeeping Requirements for CWSs 5
Table 1-3. Summary of Action Dates for the Consumer Confidence Report Rule 7
Table 4-1. State Rule Implementation and Revision Timetable forthe CCR Rule 51
Table 4-2. State Primacy Revision Checklist 59
Table 4-3. Areas of State Flexibility for Content Requirements 65
Table 5-1. Optional CCR Compliance Checklist 70
Table 6- 1. System E 2014 TTHM Monitoring Results 87
Table 6-2. System F 2014 TTHM and HAA5 Monitoring Results (mg/L) 90
Table 6-3. System G Bromate and Bromide Monitoring Results (mg/L) 94
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List of Examples
Example 3 -1. CCR Certification - Example Format for Systems without Mailing Waivers 38
Example 3 -2. CCR Certification - Example Format for Systems with Mailing Waivers 39
Example 3-3. Governor's Mailing Waiver - State-Wide Example Format 41
Example 3-4. Governor's Mailing Waiver - System-Specific Example Format 42
Example 3-5. Sample CCR Notification Letter from the State to CWSs 45
Example 4-1. Example Extension Request Checklist 57
Example 4-2. Example of Attorney General's Statement 62
Example 6-1. Example of Detected Contaminant Table and Special Notice in the CCR for Source Water
Fecal Contamination 79
Example 6-2. Example of a Notice in the CCR for Failure to Take Corrective Action 81
Example 6-3. Example of a Notice in the CCR for Failure to Maintain at Least 4-Log Treatment of
Viruses 83
Example 6-4. Example of a Notice in the CCR for Failure to Collect Source Water Sample(s) Following a
Routine Total Coliform-Positive Distribution System Sample Result 85
Example 6-5. Example of a Notice in the CCR for TTHMMCL Violation 89
Example 6-6. Example of a Notice in the CCR for LRAA and Compliance Calculations for TTHM and
HAA5M&R Violations 92
Example 6-7. Example of a Notice in the CCR for Bromate M&R Violation 95
Example 6-8. Example of a Notice in the CCR for Failure to Take Action on Uncovered Finished Water
Reservoir 98
Example 6-9. Example of a Notice in the CCR for Failure to Notify the State before Making a Significant
Change in Disinfection Practice 100
Example 6-10. Example of a Notice in the CCR for Failure to Provide or Install an Additional Level of
Treatment 102
Example 6-11. Example of a Notice in the CCR for Failure to Monitor for Cryptosporidium for Any
Three Months 104
Example 6-12. Example of a Notice in the CCR for Failure to Submit a Source Water Monitoring
Schedule 3 Months Prior to Date System is Required to Begin Monitoring 106
Example 6-13. Example of a Notice in the CCR for Failure to Collect Samples in Accordance with
Sampling Schedule 108
Example 6-14. Example of a Notice in the CCR for Failure to Sample at an Appropriate Location 110
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List of Figures
Figure 4-1. Recommended Review Process for State Request for Approval of Program Revisions 54
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Acronyms
AL
CCR
CDC
CFR
CWS
DBPP
EPA
FBRR
FDA
GWR
GWUDI
HAAS
HQ
ICR
IDSE
LCR
LRAA
LT1ESWTR
LT2ESWTR
M&R
MCL
MCLG
MDL
mg/L
MRDL
MRDLG
mrem
N/A
NDWAC
NOVs
NPDWR
Action Level
Consumer Confidence Report
Centers for Disease Control and Prevention
Code of Federal Regulations
Community Water System
Disinfection Byproduct Precursor
Environmental Protection Agency
Filter Backwash Recycling Rule
Food and Drug Administration
Ground Water Rule
Ground Water Under Direct Influence of Surface Water
Five Haloacetic Acids
EPA Headquarters
Information Collection Rule
Initial Distribution System Evaluation
Lead and Copper Rule
Locational Running Annual Average
Long-Term 1 Enhanced Surface Water Treatment Rule
Long-Term 2 Enhanced Surface Water Treatment Rule
Monitoring and Reporting
Maximum Contaminant Level
Maximum Contaminant Level Goal
Method Detection Limit
Milligrams per Liter
Maximum Residual Disinfectant Level
Maximum Residual Disinfectant Level Goal
Millirem
Not Applicable
National Drinking Water Advisory Council
Notices of Violation
National Primary Drinking Water Regulation
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OECA
OGC
OGWDW
ORC
pCi/L
PN
ppb
PWSs
PWSS
Q&As
RAA
SDWA
SDWIS
Stage 1 DBPR
Stage 2 DBPR
SWAP
SWTR
TCR
TOC
TT
TTHM
Office of Enforcement and Compliance Assistance
Office of General Counsel
Office of Ground Water and Drinking Water
Office of Regional Counsel
Picocuries per Liter
Public Notification
Parts per Billion
Public Water Systems
Public Water System Supervision
Questions and Answers
Running Annual Average
Safe Drinking Water Act
Safe Drinking Water Information System
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
Total Organic Carbon
Treatment Technique
Total Trihalomethanes
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Introduction
The Consumer Confidence Report (CCR) Final Rule was published in the Federal Register on August 19,
1998, (63 FR44512). The CCR became effective September 18, 1998 - 30 days after publication [40 CFR
141.152(a)]. This Rule is updated as new rules are promulgated by U.S. Environmental Protection
Agency (EPA). An electronic copy of the CCR Final Rule is available at:
www.epa.gov/safewater/ccr/regulations.html.
This guidance document contains information that will aid states in implementing the CCR Rule. It also
provides examples of ways in which systems can prepare and present data in the CCR. Throughout this
document, the terms "state" and "states" are used to refer to all types of primacy agencies including states,
U.S. territories, Native American tribes, and EPA Regions 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 on the circumstances. EPA and state decision makers retain the
discretion to adopt approaches on a case-by-case basis that may 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 includes six sections:
Section 1 - Rule Requirements.
Section 2 - Resources and Guidance.
Section 3 - State Implementation.
Section 4 - State Primacy Revision Application.
Section 5 - Violation Determination and Safe Drinking Water Information System (SDWIS)
Reporting.
Section 6 - Consumer Confidence Report Examples
The Appendices of this guidance contain information and example formats that state and EPA may find
useful in the primacy revision process. The Appendices are:
Appendix A - Primacy Revision Crosswalk.
Appendix B - Consumer Confidence Report Rule (January 2010 edition).
Appendix C - Rule Factsheets.
Appendix D - Example Forms, Letters and Checklists.
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Appendix E - Example CCR and Reporting Monitoring Data.
Appendix F - Memorandum on Alternative MCL Reporting Format.
Please note that, in several sections, the guidance makes suggestions and offers alternatives that go
beyond the minimum requirements indicated. EPA does this to provide information and/or suggestions
that may be helpful to implementation efforts. Such suggestions are prefaced by "may" or "should" and
are to be considered advisory. They are not required elements of the CCR Rule.
Since this document was published in January 2001, EPA has promulgated the following rules:
Arsenic Rule - January 22, 2001.
Filter Backwash Recycling Rule - 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 (LCR
Revisions) - October 10, 2007.
These rules create new requirements that may be subject to inclusion in a CCR. (Note: If you have
questions regarding compliance dates for any of these rules, refer to EPA's Web site at
www.epa.gov/safewater or Web sites listed in Section 2.1 of this document to obtain each rule's guidance
manual.)
Arsenic Rule: A system with a detection of arsenic above 5 parts per billion (ppb) or 0.005
milligrams per liter (mg/L) and up to and including 10 ppb or 0.010 mg/L must include a short
informational statement in the report. Systems that exceed the revised arsenic MCL of 10 ppb or
0.010 mg/L on or after January 23, 2006, must report the violation and include the health effects
language.
Filter Backwash Recycle Rule: Systems must report in their CCR any treatment technique
violation of failure to return recycle flows through the processes of the existing filtration system
or to an alternate state-approved location (conventional and direct filtration systems only).
LT1ESWTR: A surface water system serving fewer than 10,000 people must report violations
related to this rule in their CCR. These include a single exceedance of the maximum turbidity
limit, beginning construction of an uncovered finished water reservoir, failure to conduct
disinfection profiling and benchmarking, failure to notify the state before making a change to a
disinfection practice, and failure to monitor for turbidity. In addition, positive results of any
Cryptosporidium monitoring must be reported in the CCR, whether taken for compliance with
LT1ESWTR or voluntarily.
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Stage 2 DBPR: Based on a system's schedule under the Stage 2 DBPR, systems will change
from reporting their system-wide average under Stage 1 Disinfectants and Disinfection
Byproducts Rule (Stage 1 DBPR) to their highest locational running annual average (LRAA) for
total trihalomethanes (TTHM) and five haloacetic acids (HAAS). Systems will also report the
range of individual sample results for all monitoring locations. If more than one location exceeds
the TTHM or HAAS maximum contaminant level (MCL), the system must include the locational
running annual average for all locations that exceed the MCL in its CCR.
During the calendar year that the water system collected samples for the Initial Distribution
System Evaluation (IDSE), systems must include IDSE sample results when reporting the range
of TTHM and HAAS, but not the average.
Systems must also report in their CCR if they failed to monitor for TTHMs and HAASs.
LT2ESWTR: Based on a system's schedule under the LT2ESWTR, a surface water system must
report violations related to this rule in their CCR which include:
- Treatment technique violations for: 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).
- Monitoring and reporting violations for failure to monitor for Cryptosporidium for any
three months, failure to monitor for E. coll and turbidity, and failure to notify the state
before making a change to a disinfection practice. In addition, positive results of any
Cryptosporidium monitoring must be reported in the CCR, whether taken for compliance
with LT2ESWTR or voluntarily.
Note: Surface water systems that collected E. coll samples at the source under LT2ESWTR are
not required to report these results in their CCR. However, they are required to discuss if they
failed to monitor for E. coll at the source.
GWR: Beginning with the report due July 1, 2010, a ground water system must report any
detection of a fecal indicator (E. coll, enterococci, coliphage) at the source and provide special
notice regarding the detection. A ground water system must also provide special notice for any
significant deficiency that is uncorrected by the end of the calendar year. In addition, a ground
water system must report violations of the GWR in its CCR which include: Treatment technique
violations for 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.
- Monitoring and reporting violations for failure to conduct source water monitoring for
fecal indicators or failure to conduct compliance monitoring.
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LCR Revisions: Beginning with the report due July 1, 2009, systems whose states adopted the
LCR Revisions before January 1, 2009, must include an educational statement about lead in every
report released to the public. For systems whose states have not adopted the revisions by January
1, 2009, the lead information statement must be included in reports due by July 1, 2010.
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Section 1
Rule Requirements
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1.1 Introduction
The CCR Final Rule, published in the Federal Register on August 19, 1998, (63 FR 44512). The CCR
became effective September 18, 1998 - 30 days after publication [40 CFR 141.152(a)]. The CCR Rule has
and will be updated as new rules are promulgated by EPA. An electronic copy of the CCR Final Rule is
available at: www.epa.gov/safewater/ccr/regulations.html.
The CCR Rule is an important part of the 1996 Amendments to the Safe Drinking Water Act (SDWA).
Reports issued under the CCR Rule will give consumers information regarding their drinking water and
opportunities to get involved in protecting their source(s) of drinking water. Under 40 CFR Part 141
Subpart O, all community water systems (CWSs) are required to provide their customers with an annual
water quality report or CCR. The purpose of this document is to provide states with guidance on
implementation of the CCR Rule.
The CCR Rule provides a framework that water suppliers will use to give consumers information about
their drinking water, including the water source, contaminants detected in finished water, health effects of
contaminants when violations occur, likely sources of detected contaminants, and availability of source
water assessments. By understanding their water supplies, customers, especially those with special health
needs, can make informed decisions regarding their use of drinking water. States and water suppliers
should view these reports as a public information tool to not only educate and involve the public but also
to promote a dialogue between customers and their drinking water utilities. It is an opportunity that water
systems can use to their advantage to explain how their community's drinking water supplies are
protected.
1.1.1 Development of the Consumer Confidence Report Rule
The CCR Proposed Rule was issued on February 13, 1998. In the development of the proposal of the
CCR Rule the EPA met extensively with a broad range of groups. In particular, EPA formed a working
group under the aegis of the National Drinking Water Advisory Council (NDWAC) to analyze and debate
issues related to the proposal. In addition, EPA convened a one-day meeting of a panel of experts in
public health and communication of risk-related information. These consultations helped EPA draft
proposed rule language, which was then reviewed by NDWAC. The provisions contained in the proposal
included all the provisions for which NDWAC reached consensus. After EPA proposed the Rule, the
Agency held a series of four focus groups. The purpose of the focus groups was to test various
alternatives for the definitions of MCL and MCLG and to gauge the public's reactions to health effects
statements. In addition, focus group participants were asked to give their reaction to two CCRs that had
actually been issued by community water systems. The availability of a report on the results of these
focus groups was announced in the Federal Register on May 15, 1998, with a request for comments to be
submitted to EPA no later than June 15, 1998.
1.2 Requirements of the Rule: Public Water Systems
1.2.1 Applicability and Compliance Dates
Every CWS, defined as a system that serves at least 25 residents year round or that has at least 15 service
connections used by year-round residents, must prepare and distribute a CCR annually [40 CFR
141.151 (b)]. CWSs must have delivered the first CCR to their customers by October 19, 1999. The
second CCR was due by July 1, 2000, and subsequent reports by July 1, annually thereafter. A new CWS
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must deliver its first report by July 1 of the year after its first full calendar year in operation and annually
thereafter.
A system may contract with a laboratory to provide monitoring data analysis or CCR development
assistance. If the system chooses to use a laboratory to assist with the development of the CCR, the
system must work with the laboratory to make sure that all of the required elements are included in the
CCR. Otherwise, a system may need to add the missing elements. Regardless of whether the laboratory or
system prepares the CCR, the system is ultimately responsible for the content and must always distribute
the CCR to its customers.
Drinking water wholesale systems are CWSs that sell water to other CWSs (the purchasing system is
often referred to as the "consecutive" system). Under the CCR Rule, a wholesale system must deliver
relevant monitoring and compliance data to the consecutive system before reports are due to customers so
that the consecutive system has lead-time to prepare a CCR. Wholesale systems must provide the
information to the consecutive system no later than April 1 unless the wholesale system and the
consecutive system mutually agree upon a different date and specify it in a contract between the two
parties [40 CFR 141.152(d)]. Wholesale systems are not responsible for creating the report for the
consecutive system, nor are they responsible for providing data on contaminants that the consecutive
system monitors (such as total coliforms, lead, or TTHMs). In some cases, however, a consecutive system
will contract with the wholesale system to produce the report. There are several options in this
relationship. If the consecutive system had no new data to add, it could simply send out the wholesale
system's CCR with a cover letter explaining their relationship. If the consecutive system did need to add
data, it might choose to reprint the wholesale system's CCR with a new title/letterhead and extra data.
Either of these options is acceptable. Regardless of who produces the report, the consecutive system is
still responsible for ensuring that its customers receive a report containing all required content.
1.2.2 CCR Content and Report Delivery Requirements
The requirements of the CCR Rule can be divided into two categories: (1) report content requirements
and (2) report delivery and recordkeeping requirements. The CCR Rule identifies eight required content
items. These eight items of information are displayed in Table 1-1. Each item is discussed in more detail
in Section 3.
Table 1-1. Required Information for the CCR
Items
Iteml
Item 2
ItemS
Item 4
ItemS
Item 6
Content Requirements
Required Information about the Water System
Source(s) of Water
Definitions
Reporting Levels of Detected Contaminants
Information on Monitoring for Cryptosporidium, Radon, and Other
Contaminants
Compliance with Other Drinking Water Regulations
Federal Citation
40CFR141.153(h)(2)
40CFR141.153(h)(3)
40CFR141.153(h)(4)
40CFR141.153(b)
40CFR141.153(c)
40CFR141.153(d)
40 CFR 141.153(e)
40CFR141.153(f)
40CFR141.153(h)(6)
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Items
Item?
ItemS
Content Requirements
Variances and Exemptions
Required Educational Information
Federal Citation
40 CFR 141.153(g)
40CFR141.153(h)(1)
40CFR141.154
The CCR Rule also establishes eight report delivery and recordkeeping requirements for CWSs. Each
requirement is shown in Table 1-2 and is discussed in more detail in Section 3.
Table 1-2. Report Delivery and Recordkeeping Requirements for CWSs
Items
Requirement
Federal Citation
Iteml
CCR Delivery to Customers
Each CWS must mail or otherwise directly deliver one copy of the
CCR to each customer, unless granted a mailing waiver. (Refer to
Item 7 for mailing waivers)
40 CFR 141.155(a)
Item 2
"Good Faith" Effort for Delivery to Non-Bill Paying Consumers
CWSs must make a "good faith" effort to reach those consumers
who they serve but who do not get water bills, such as renters.
"Good faith" efforts mean using a mix of several methods
recommended by the state.
40CFR141.155(b)
ItemS
Delivery of CCR and Certification to State
CWSs must mail to the state: (1) a copy of the CCR no later than
the date the system is required to deliver the report to customers;
and (2) within 3 months of the required CCR delivery date, a
certification that the CCR was distributed to customers with
information that is correct and consistent with compliance
monitoring data previously submitted to the state.
40 CFR 141.155(c)
Item 4
CCR Delivery to Other Agencies
CWSs must deliver the CCR to any other agency identified by the
state no later than the required date to send the CCR to its
customers.
40CFR141.155(d)
Item 5
CCR Availability to the Public
CWSs must make CCRs available to the public upon request.
40 CFR 141.155(e)
Item 6
CCR Availability on the Internet
CWSs serving 100,000 or more persons must post the CCR on a
publicly-accessible Internet site.
40 CFR 141.155(0
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Items
Item?
ItemS
Requirement
Mailing Waiver for CWSs Serving Fewer Than 10,000 Persons
The Governor of a state or his/her designee, or the Tribal leader (if
the Tribe has met 40 CFR 142.72 requirements) can waive the
mailing requirement of 40 CFR 141.155(a). The Regional
Administrator in consultation with the Tribal government can waive
the mailing requirement in Indian country when no Tribe is deemed
eligible.
CWS Keeping CCR Copies on File
CWSs must keep copies of their CCR on file for at least 3 years.
Federal Citation
40 CFR 141.155(g)
40CFR141.155(h)
1.3 Requirement of the Rule: States and Other Primacy Agencies
The following Rule requirements are from the CCR published in the Federal Register on August 19,
1998, (63 FR 44512) and all subsequent additions to the Rule through June 2009. The CCR Rule will
continue to be updated as new rules are promulgated by EPA. An electronic copy of the CCR Final Rule
is available at: www.epa.gov/safewater/ccr/regulations.html.
In order to receive primacy for the CCR, states must adopt regulations no less stringent than the CCR
requirements. States must have submitted revisions to their programs, regulations, or authorities no later
than August 21, 2000, although states could have requested an extension of up to 2 years (i.e., until
August 21, 2002). Guidance on primacy requirements is provided in Section 4.
The CCR is structured to give states flexibility to incorporate the Rule's requirements into existing state
programs that are diverse in scope. States are given flexibility in several areas of the CCR Rule, including
some mailing waivers, additional public notice, and alternate form and content. Section 4.5 provides
information to states on these flexibilities.
1.3.1 Recordkeeping Requirements for States
Under 40 CFR 142.16(f)(3), each state that has primary enforcement responsibility must maintain a copy
of the report for each water system in the state for a period of 1 year. The state must also keep the
corresponding certifications CWSs are required to send to the state under 40 CFR 141.155(c) for a period
of 5 years. The certifications indicate that a copy of the CCR was distributed or made available (as
appropriate) to customers by the due date; and that the report contained information correct and consistent
with compliance monitoring data previously submitted to the state. Where state rules allow, systems may
be asked to provide additional information on how the CCR was distributed.
1.4 Key Dates of the Rule
The CCR Final Rule, published in the Federal Register on August 19, 1998, became effective September
18, 1998 - 30 days after publication [40 CFR 141.152(a)]. CWSs were required to deliverthe first CCR to
their customers within 13 months of the regulation's effective date, or by October 19, 1999. Delivery of
the second report was due by July 1, 2000, and subsequent reports by July 1 each year thereafter [40 CFR
141.152(b)]. No later than the date the CCR is required to be delivered to customers, the CWS must also
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mail a copy of the CCRto the state, as well as any other agency or clearinghouse the state designates [40
CFR 141.155(c) and 40 CFR 141.155(d)]. Each report must contain data used to determine compliance
for the previous calendar year. For example, the CCR issued in 2011 must contain data from the 2010
calendar year.
Within 3 months from the date the system is required to deliver its CCR to customers, the CWS must send
a letter of certification to the state certifying that the system has:
Distributed the CCRto its customers; and
Used in the report information that is correct and consistent with compliance monitoring data
previously submitted to the state [40 CFR 141.155(c)].
Certifications must be sent for the reports annually by October 1. A CWS can deliver the certification to
the state at the same time it delivers the CCR to its customers.
New CWSs must prepare and deliver CCRs on the same schedule as existing systems and therefore have
until July 1 after their first full calendar year of operation to deliver the first CCR to their customers [40
CFR 141.152(c)]. The certification for the first report must be sent to the state by October 1 after the first
full calendar year of operation. For each year thereafter, reports must be delivered by July 1, and
certifications must be sent to the state by October 1.
Under the CCR Rule, drinking water wholesale systems must provide data to consecutive systems no later
than April 1 unless the wholesale system and consecutive system mutually agree upon a different date and
specify it in a contract between the two parties [40 CFR 141.152(d)].
The timetable for the CCR Rule is presented in Table 1-3 and summarizes key compliance dates required
(bold) by the CCR Rule as well as suggested action dates (shaded).
Table 1-3. Summary of Action Dates for the Consumer Confidence Report Rule
Key Date of Rule
August 19, 1998
September 18, 1998
By April 19, 1999
By October 19, 1999
By January 19, 2000
May 21, 2000
By April 1,2000
By July 1,2000
August 21, 2000
By October 1,2000
CCR Requirement
CCR Rule published in Federal Register (63 FR 44512)
CCR Rule effective
For CWSs That Sell Water To Another CWS - Delivery of
information for first CCR
For Existing CWSs - Delivery of first CCR
For Existing CWSs - Delivery of first certification
States are encouraged to submit final primacy applications or extension
requests to EPA.
For CWSs That Sell Water To Another CWS - Delivery of
information for second CCR
For Existing CWSs - Delivery of second CCR
Final primacy revision applications for CCR Rule must be
submitted to the EPA Regional Administrator, unless state is
granted an extension.
For Existing CWSs - Delivery of second certification
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Key Date of Rule
May 21 , 2002
August 21, 2002
By April 1, annually
By July 1 annually
By July 1 after first full
calendar operating year
By July 1 annually
By October 1 annually
By October 1 after first full
calendar operating year
By October 1 annually
CCR Requirement
States with approved extension agreements are encouraged to submit
final primacy applications to EPA.
Final primacy applications must be submitted to the EPA Regional
Administrator for systems with a full 2 year extension. [40 CFR
142.12(b)(1)]
For CWSs That Sell Water To Another CWS - Delivery of
information for subsequent CCRs - The seller must provide the
information to the buyer by this date, unless the buyer and seller
enter into a contractual agreement specifying another date.
For Existing CWSs - Delivery of subsequent CCRs
For New CWSs - Delivery of first CCR
For New CWSs - Delivery of subsequent CCRs
For Existing CWSs - Delivery of subsequent certifications
For New CWSs - Delivery of first certification
For New CWSs - Delivery of subsequent certifications
CCR Rule Implementation Guidance
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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 CCR
Rule. This section is an overview of each of these resources and includes instructions on how to obtain
the documents.
2.1 Technical Guidance Manuals
The following guidance manuals have been or are being developed to support the CCR Rule. These
manuals will aid EPA, state agencies, and affected public water systems (PWSs) in implementing this
Rule and will help ensure that the implementation among these groups is consistent. The following
documents can be found on EPA's Web site at: www.epa.gov/safewater/ccr/compliancehelp.html
Preparing Your Drinking Water Consumer Confidence Report (CCR) Guidance For Water
Suppliers. EPA 816-R-09-011, April 2010. This document provides information to assist drinking
water systems with preparing and distributing CCRs.
Link Your CCR to EPA's on-line CCR Catalog. A link provided on EPA Web site will guide
water system in linking their CCR to the EPA Web site.
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 their message out.
In addition to the guidance manuals developed to support the CCR Rule, EPA has developed other
guidance manuals that may help states and affected PWSs with implementing the CCR Rule.
Implementation Guidance for the Filter Backwash Recycling Rule. EPA 816-R-04-006, June
2004. www.epa.gov/safewater/filterbackwash.html.
Long Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) Implementation Guidance.
EPA 816-R-04-008, August, 2004. www.epa.gov/safewater/mdbp/ltleswtr.html.
The Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) Implementation
Guidance. EPA 816-R-07-007, August 2007.
www.epa.gov/safewater/disinfection/stage2/compliance.html.
The Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR) Implementation
Guidance. EPA 816-R-07-006, August 2007.
www.epa.gov/safewater/disinfection/lt2/compliance.html.
The Ground Water Rule (GWR) Implementation Guidance. EPA 816-R-09-004, January 2009.
www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
For more information, contact EPA's Safe Drinking Water Hotline at (800) 426-4791, or refer to the
Office of Ground Water and Drinking Water Web site. The CCR guidance documents are located at
www.epa.gov/safewater/ccr/compliancehelp.html. The additional guidance documents can be obtained
from www .epa. gov/safewater/regs .html.
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2.2 Rule Presentation
Presentations that can be used for workshops on the CCR Rule are available in PowerPoint format on
EPA's Web site: www.epa.gov/safewater/ccr/compliancehelp.html.
2.3 Factsheet and Quick Reference Guide
Factsheets and Quick Reference Guides for the CCR Rule may be useful for conveying basic information
about the Rule to water systems, new personnel, and stakeholders. These stand alone documents are
included in Appendix C of this guidance manual. They are:
Consumer Confidence Report Rule: A Quick Reference Guide. EPA 816-F-09-009, August 2009.
www.epa.gov/safewater/ccr/compliancehelp.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.
www.epa.gov/safewater/disinfection/gwr/compliancehelp.html.
2.4 Questions & Answers
Questions and Answers (Q&As) on the CCR Rule are provided in this section. These questions have been
asked of EPA through the Safe Drinking Water Hotline, implementation training, or other means.
Report Content
Wholesalers
Ql. If a system buys water from another system, can the buying system (consecutive system) send
out the selling system's (wholesale system's) report with the buying system's additional
information? Or does the buying system have to completely generate a whole new report?
Al. A buying system may redistribute its wholesale system's CCR if the data is appropriate,
and the consecutive system includes its own system-specific information. The consecutive
system can also contract with the wholesale system to produce their CCR. Regardless of
who prepares the report, the consecutive system is still responsible for ensuring that their
customers receive a CCR containing all of the required content.
Name and location of body (or bodies) or water [40 CFR 141.153(b)(l)(ii)]
Q2. Does body (or bodies) of water refer to ground water sources as well as surface water
sources? Also, what is required in identifying the location of the body of water?
A2. Yes, the body of water refers to both surface and ground water. The name of the aquifer(s)
should be included in the CCR, if it is commonly known. For location information, the
system may give a general description of the location of their wells. If many wells are
located over a large area, the locational information can be more general.
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Source water assessment [40 CFR 141.153(b)(2)]
Q3. Is there a requirement for including notification about the availability of source water
assessments on an annual basis?
A3. Yes, systems must include information about the availability of the most recent source
water assessment information in the CCR each year and a brief summary of the system's
susceptibility to potential sources of contamination. New information (as it becomes
available) should also be included in the CCR.
Definitions [40 CFR 141.153(c)]
Q4. If a system had no detections of any contaminant and thus did not make any reference to an
MCL or MCLG in its report, does it still have to include these definitions?
A4. Since the report is being used to educate customers, the definitions for MCL and MCLG
must be included even if the terms are not used elsewhere in the report. We believe that it
is unlikely for most systems to have no detections, especially for parameters such as
fluoride and nitrate. Please remember when evaluating data that if sampling was not
performed for a given parameter in the calendar year covered by the report, then data
going back a maximum of five years must be used. In addition, if a system does not
monitor as required, it must indicate that it is in violation of the monitoring requirements.
Detection of Contaminants [40 CFR 141.153(d)]
Regulated Contaminants/Table
Q5. If the system does not detect a contaminant, does it have to list that contaminant in the table?
A5. Only the results for detected contaminants may be included in the main water quality
table. Detected contaminants include: regulated contaminants subject to a maximum
contaminant level (MCL), maximum residual disinfectant level (MRDL), action level
(AL), or treatment technique (TT); and unregulated contaminants for which monitoring is
required under 40 CFR 141.40.
The intent of this provision is to avoid the situation where a system has a long table with
more non-detects than detects shown. A system can highlight the fact that it tests for, and
does not find, lots of contaminants, but it must do so outside of the main water quality
table, in another section of the report. For example, a system could place the following
explanation in the report: "In addition to the above constituents, we tested for 20
additional organic chemicals for which the state and EPA have set standards. We found no
detectable levels of those chemicals."
Q6. Under LT2SWTR and GWR, there are several treatment technique (TT) violations. If the
system has a TT violation, does it have to report it in the CCR?
A6. Yes, the CCR rule requires that all violations of TT be reported in the CCR reports. EPA
recommends that systems include all TT violations in a table adjacent to the detected
contaminant table as follows:
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TT
Violation
Explanation
Length
Steps Taken to
Correct the Violation
Health Effect
Language
Q7. You stated that the units must be changed to make the MCL number greater than 1.0. Would
this also apply to results such as turbidity, when a change of units does not make sense?
A7. You do not need to convert units for total coliform bacteria, fecal coliform, E. coll, total
organic carbon, turbidity, radionuclides measured in mrem/year or pCi/L and asbestos as
well as any other MCL currently reported as a whole number. All others require a
conversion of units. The conversion factors can be found in Appendix A to Subpart O of
the Rule.
Q8. How are Total Organic Carbon (TOC) requirements to be reported?
A8. Only TOC detects and treatment technique violations must be reported in the CCR.
However, for systems reporting TOC, EPA recommends they report it as a percent
removal.
Q9. What value should we use when averaging in results below minimum reporting limits?
A9. For purposes of averaging results, use the value reported by the laboratory even if this is
below the detection limit. If the laboratory reported the value as non-detect use zero.
Q10. For secondary chemicals, if there is a detection but no exceedance of the MCL, how should
they be reported if they are required to be reported?
A10. Under federal requirements contaminants subject to a secondary maximum contaminant
level, such as aluminum or color, are not required to be reported in the CCR. If a system
chooses to include results of monitoring for contaminants subject to a secondary MCL,
they must do so in a separate table.
Lead and Copper [40 CFR 141.153(d)(4)(vi)]
Qll. Do these requirements apply to all systems or just to those exceeding either or both of the
action levels for lead and copper? If it is the former (that it applies to all systems), if the 90th
percentile level for either lead or copper is below the detection limit, can any reference to the
contaminant be omitted or does it still have to be listed on the report with the notation that it
was not detected?
All. If lead/copper was detected, it must be included in the report. Even if the 90th percentile
lead or copper levels are below the detection limit, the system may have still detected lead
or copper.
Q12. It is not a violation if there is an AL exceedance. Do I need to include health effects language
if my system exceeded the action level for lead/copper but did not have a violation?
A12. 40 CFR 141.153(d)(6), which requires systems to include health effects language in their
water quality table(s) for data indicating violations of MCLs, MRDLs, or TT violations,
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does not specify inclusion of data that exceeds ALs. However, under the LCR Revisions,
beginning with the report due July 1, 2009, systems whose states adopted the LCR
Revisions before January 1, 2009, must include an educational statement about lead in
every report released to the public (see Section 3.2.2.8 for required language). For systems
whose states have not adopted the revisions by January 1, 2009, the lead information
statement must be included in reports due by July 1, 2010.
Total Coliform [40 CFR 141.153(d)(4)(vii)]
Q13. If a system has no positive samples for the entire year, can it omit any reference to total
coliform on the report or must it be listed with the notation that it was not detected?
A13. It can be omitted if it was not detected during the calendar year.
Fecal Coliform [40 CFR 141.153(d)(4)(viii)]
Q14. The Rule says the total number of positive samples must be reported. Is this the total for the
entire year? If not, what period is it referring to?
A14. The total number of positive samples for the calendar year.
Q15. Does special notice for fecal indicator-positive source samples under the GWR complete the
CCR requirement or must these also be reported in the detected contaminant list?
A15. If the fecal indicator detected has an MCL or TT, then it must be listed in the detected
contaminants table. The additional information required under 40 CFR 141.153(h)(6) can
be provided either in the table or elsewhere in the report.
Monitoring for Cryptosporidium, Radon, and other contaminants [40 CFR 141.153(e)(l)]
Q16. If a system performed monitoring but found nothing to indicate that Cryptosporidium was
present in the source water or finished water, does the system have to include this information
in the report?
A16. The system does not have to include that information. Only when monitoring results
indicate that Cryptosporidium, radon, and other unregulated contaminants are present,
does a system have to include that information. Systems may wish to include a statement
that they tested for these contaminants but did not detect them.
Bottled water explanation [40 CFR 141.153(h)(l)]
Q17. In order to comply with 40 CFR 141.153(h)(l) and provide a complete explanation for
contaminants found in bottled water, is language from both 40 CFR 141.153(h)(l)(iv) and 40
CFR 141.153(h)(l)(i) to (iii) required? Is the paragraph below enough?
All drinking water, including bottled water, may reasonably be expected to contain at least
small amounts of some contaminants. The presence of contaminants does not necessarily
indicate that the water poses a health risk. More information about contaminants and
potential health effects can be obtained by calling the Environmental Protection Agency's
Safe Drinking Water Hotline at 1-800-426-4791.
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A17. The above paragraph is not enough to satisfy the requirements of the regulation. Language
from 40 CFR 141.153(h)(l)(i) through (hi) or the equivalent must be included in the
explanation as well as the language from 40 CFR 141.153(h)(l)(iv). Information on the
sources of drinking water, contaminants that may be present in source water, and why
EPA and FDA establish regulations must also be included in the explanation.
Report Delivery and Recordkeeping
Deadline for report and certification form [40 CFR 141.155(c)]
Q18. The Rule states that the certification form is due three months after the report itself is due.
Can we require the certification form to be due at the same time as the report?
A18. Yes, states can require the CWS to submit the report and certification letter together, and
specify this in state rules.
Q19. Does a system need to list the "good-faith efforts" they made to reach non-bill-paying
customers?
A19. The state may ask the CWS to indicate what "good faith efforts" they took to ensure
delivery, but it is not required to do so. "Good Faith" efforts are in addition to the mailing.
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Section 3
State Implementation
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3.1 Overview of Implementation
The requirements of the CCR Rule can be divided into two categories: (1) report content requirements
and (2) report delivery and recordkeeping requirements. In this section of the guidance, detailed
information on each category is presented.
CCR Content Requirements
Item 1 Required Information about the Water System
Item 2 Source(s) of Water
Item 3 Definitions
Item 4 Reporting Levels of Detected Contaminants
Item 5 Information on Monitoring for Cryptosporidium, Radon, and Other Contaminants
Item 6 Compliance with Other Drinking Water Regulations
Item 7 Variances and Exemptions
Item 8 Required Educational Information
Report Delivery and Recordkeeping Requirements for CWSs
Item 1 CCR Delivery to Customers
Item 2 "Good Faith" Effort for Delivery to Non-Bill Paying Consumers
Item 3 Delivery of CCR and Certification to State
Item 4 CCR Delivery to Other Agencies
ItemS CCR Availability to the Public
Item 6 CCR Availability on the Internet
Item 7 Mailing Waiver for CWSs Serving Fewer Than 10,000 Persons
Item 8 CWS Keeping CCR Copies on File
3.2 Identify Affected Systems and Requirements
3.2.1 General Provisions
Every CWS, defined as a system that serves at least 25 residents year round or that has at least 15 service
connections used by year-round residents, must prepare and distribute a CCR [40 CFR 141.151 (b)]. A
CWS that sells water to another CWS must provide the buyer with information such as monitoring results
or other required water quality information that will enable the buyer to produce a CCR [40 CFR
141.152(d)]. The selling system and the buyer may also be referred to as the wholesale system and the
consecutive system, respectively.
Different provisions of the CCR Rule apply to different sizes of CWSs (e.g., mailing waivers).
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3.2.2 CCR Content Requirements
3.2.2.1 Item 1: Required Information about the Water System
[40 CFR 141.153(h)(2) to 40 CFR 141.153(h)(4)]
The system must identify itself, and include the following additional information:
The telephone number of a contact person at the water system who can provide additional
information and answer questions about the report [40 CFR 141.153(h)(2)].
For communities with a large proportion of non-English speaking residents, provide information
in the appropriate language(s) regarding the importance of the report or a telephone number or
address where such residents may contact the system to obtain a translated copy of the report or
assistance in the appropriate language [40 CFR 141.153(h)(3)]. The state will determine when a
population of non-English speaking residents is sufficiently large to require systems to take
special measures for these residents.
A listing of known opportunities for public participation in decision-making processes that may
affect drinking water quality (e.g., time and place of regularly-scheduled board meetings) [40
CFR 141.153(h)(4)]. If there are no regularly-scheduled meetings, the CWS must tell customers
how they can get information once meetings are scheduled. CWSs such as mobile home parks or
retirement/nursing homes, that do not have such meetings, must provide interested customers
with the telephone number of a contact person at the water system as discussed in the first bullet
under Item 1.
3.2.2.2 Item 2: Sources of Water
[40 CFR 141.153(b)]
A CWS must report the type of water (e.g., ground water, surface water, or a combination of the two) and
the commonly-used name(s) (if sources are named) and locations of water source(s) [40 CFR
141.153(b)(l)]. EPA encourages systems to provide simple maps to help customers understand the
source(s) of their water. For security reasons, systems are not required to list the exact location of the
water source(s).
Under Section 1453 of the 1996 SDWA Amendments, states were required to ensure that source water
assessments were completed for all public water systems by the year 2003. These assessments include
delineation, inventory, and susceptibility information. If a source water assessment has been completed,
the system must notify customers in the CCR that an assessment is available and tell them where to obtain
a copy [40 CFR 141.153(b)(2)]. If the CWS has an assessment that was provided or approved by the state,
the CCR must also include a brief summary of the system's susceptibility to potential sources of
contamination using language provided by the state or written by the operator. Susceptibility is a
combination of several factors and is intended as a preliminary tool to facilitate local source water
protection planning. More information about the Source Water Assessment Program (SWAP), including a
list of state source water contacts can be found at www.epa.gov/safewater.
In cases where a CWS has the available information, EPA encourages the system to highlight potential
significant sources of contamination in the source water area. Including this information in the CCR is an
opportunity for systems to provide customers with an explanation for why a contaminant is present in the
source water. This allows customers to take informed risk management steps, for example, through
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individual actions or political pressure (e.g., watershed protection, advocacy for Total Maximum Daily
Loads).
Systems could also use the reports to highlight additional local assessment and protection efforts which
are planned or in place including providing consumers with tips on ways they can protect the source water
(e.g., disposing of motor oil properly).
3.2.2.3 Item 3: Definitions
[40 CFR 141.153(c)]
The CCR must include definitions of key regulatory terms that customers will need to understand the
contaminant data. Each CCR must include the following definitions for Maximum Contaminant Level
(MCL) and Maximum Contaminant Level Goal (MCLG):
Maximum Contaminant Level (MCL): The highest level of a contaminant that is allowed in
drinking water. MCLs are set as close to the MCLGs as feasible using the best available treatment
technology.
Maximum Contaminant Level Goal (MCLG): The level of a contaminant in drinking water below
which there is no known or expected risk to health. MCLGs allow for a margin of safety.
If the CCR contains information on a contaminant that is regulated using any of the following terms, it
must include the applicable definitions:
Treatment Technique (TT): A required process intended to reduce the level of a contaminant in
drinking water.
Action Level (AL): The concentration of a contaminant which, if exceeded, triggers treatment or
other requirements which a water system must follow.
Maximum Residual Disinfectant Level (MRDL): 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.
Maximum Residual Disinfectant Level Goal (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.
If the CWS operates under a variance or exemption, the CCR must include the following definition for
variances and exemptions:
Variances and Exemptions: State or EPA permission not to meet an MCL or a treatment
technique under certain conditions.
3.2.2.4 Item 4: Reporting Levels of Detected Contaminants
[40 CFR 141.153(d)]
One key element of the CCR is the table (or series of adjacent tables) that reports the levels of detected
contaminants. The table(s) must contain specific data regarding any detected contaminants (with the
exception of Cryptosporidium) including both regulated contaminants (contaminants subject to an MCL,
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MRDL, AL, or TT) and unregulated contaminants (contaminants for which monitoring is required under
40 CFR 141.40). A detected contaminant is any "regulated" or "unregulated" contaminant detected at or
above its method detection limit (MDL).
Any additional monitoring results which a CWS chooses to include in the CCR must be displayed
separately. In other words, systems must not include any unregulated contaminants that are not listed in
40 CFR 141.40 or contaminants that are regulated but not detected or are detected below the MDL in the
detected contaminant table.
Systems must report data from monitoring completed during the previous calendar year unless the system
is on reduced monitoring or for another reason monitors less than once per year for regulated
contaminants. In that situation, the system must include in the table(s) the date and results of the most
recent sampling. For example, if a system monitors once every three years for a contaminant and detected
that contaminant in the last sample, it would need to report the year the contaminant was sampled and the
same detected level in each of the three years until it takes a new sample. The report must also contain a
brief statement explaining that the data presented is from the most recent testing done in accordance with
regulations. The statement may read as follows:
As authorized and approved by EPA, the state has reduced monitoring requirements for
certain contaminants to less often than once per year because the concentrations of these
contaminants are not expected to vary significantly from year to year. Some of our data
[e.g., for organic contaminants], though representative, is more than one year old.
No data older than 5 years need to be included in the CCR. This includes data collected under the
Information Collection Rule (ICR).
It should be noted that while the Court vacated the MCLG and MCL for nickel, systems are still required
to monitor for nickel (refer to 60 FR 339329, June 29, 1995). EPA emphasizes that monitoring and
analytical testing requirements for nickel remain in full force and effect. Therefore, nickel detections must
be reported in the detected contaminant table.
The table must contain the following:
A. If the contaminant is regulated by an MCL or MRDL:
The MCL or MRDL, expressed as a number equal to or greater than 1.0. For an
illustration of how to convert MCL compliance values for CCRs, refer to Appendix A to
Subpart O of the Rule which is available on the EPA Web site at
www.epa.gov/safewater/ccr/regulations.html.
Note: When rounding results to determine compliance with the MCL is allowed by the
regulations, rounding should be done prior to multiplying the results by the factor listed
in Appendix A to Subpart O of the Rule.
The MCLG or MRDLG, expressed in the same units as the MCL or MRDL. The MCLGs
and MRDLGs for applicable contaminants are listed in Appendix A to Subpart O of the
Rule which is available on the EPA Web site at
www.epa.gov/safewater/ccr/regulations.html.
The level of that contaminant expressed in the same units as the MCL and MCLG or
MRDL and MRDLG.
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B. If the contaminant is regulated by a treatment technique (TT):
The letters "TT" in place of the MCL.
The letters "N/A" (not applicable) in place of the MCLG when no MCLG is listed in
Appendix A to Subpart O of the Rule which is available on the EPA Web site at
www.epa.gov/safewater/ccr/regulations.html.
C. If the contaminant is regulated as an action level (AL):
The AL expressed as a number equal to or greater than 1.0.
The MCLG expressed in the same units as the AL for copper and zero for lead.
D. If the contaminant is unregulated:
The average level and range of results for that contaminant.
E. For regulated detected contaminants, the level of the contaminant must be reported, and for
ease of comparison, should be presented alongside the associated MCL and MCLG or MRDL
and MRDG. The data must be represented as follows (refer to Section 6 and Appendix E of
this guidance to see examples of how to present monitoring data discussed in this section):
1) If compliance is determined based on annual or less frequent sampling (for example,
many inorganic chemical contaminants), include the highest detected level at any
sampling point and the range of detected levels, if applicable.
2) If compliance is determined based on a running annual average of all the samples taken
from a sampling point (for example, inorganic contaminants specified in 40 CFR
141.23(a)(4)(i) which are monitored more frequently than annual), include the highest
average as reported to the state for compliance purposes and the range of detected levels.
3) For TTHM and HAAS samples:
- If compliance is determined based on a system-wide running annual average (RAA)
(under the Stage 1 DBPR), include the highest system-wide average and the detected
range for the system.
- If compliance is determined based on a locational running annual average (LRAA)
(under the Stage 2 DBPR), include the highest LRAA and the range of individual
samples results for all monitoring locations. If more than one location exceeds the
TTHM or HAAS MCL, include the LRAA for all locations that exceed the MCL.
- If sampling for the Initial Distribution System Evaluation (IDSE) was conducted
under the Stage 2 DBPR, systems must include IDSE sample results when reporting
the range of TTHM and HAAS, but not the average.
- Note: The provision described in 40 CFR 141.154(e), which requires the inclusion of
health effects language for TTHMs in CCRs when TTHM results are detected above
0.080 mg/L but below the MCL, is no longer applicable. It has been superseded by
Stage 1 DBPR and Stage 2 DBPR (TTHM MCL of 0.080 mg/L).
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4) For turbidity results, the table(s) must contain the following:
- For turbidity regulated as a MCL for systems that must install filtration but have not
[40 CFR 141.13], include the highest monthly average. Although an explanation for
why turbidity is measured is not required in this situation, a CWS may wish to
include such an explanation in the CCR.
- For turbidity regulated as a TT for systems that have met criteria for avoiding
filtration [40 CFR 141.71], include the highest single measurement found in any
month. An explanation for why turbidity is measured should be included and could
read as follows:
Turbidity is a measure of the cloudiness of the water. We monitor it because it is
a good indicator of the quality of water. High turbidity can hinder the
effectiveness of disinfectants.
- For turbidity regulated as a TT for systems that filter, include the highest single
measurement and the lowest monthly percentage of samples meeting the turbidity
limits specified in 40 CFR 141.73, §141.173 or §141.551 for the relevant filtration
technology. An explanation of the reasons for measuring turbidity should be included
and could read as follows:
Turbidity is a measure of the cloudiness of the water. We monitor it because it is
a good indicator of the effectiveness of our filtration system.
Note: The regulation does not specify where the turbidity explanations should be
placed in the report. However, due to space limitations within the table, a CWS may
choose to place this explanation outside of the table, elsewhere in the report.
5) For lead and/or copper:
- Include the 90th percentile value from the most recent sampling (if it is a number
greater than zero) and the number of sites that exceeded the action level (do not
report related water quality parameter data).
6) For total coliforms, fecal coliforms and E. coli under the Total Coliform Rule (TCR):
- For systems that collect fewer than 40 samples per month, include the highest number
of positive samples collected in any one month.
- For systems that collect 40 or more samples per month, include the highest
percentage of positive samples collected in any one month.
- For fecal coliforms and E. coli, include the number of positive samples collected that
year.
7) For fecal indicator-positive source samples under the GWR:
- For E. coli, list the MCL and MCLG as zero.
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- For enterococci or coliphage, list "TT" in the column for MCL and "N/A" in the
column for MCLG.
- For all fecal indicator-positive ground water source samples (E. coll, enterococci, or
coliphage), include the total number of positive samples for the year and special
notice language in the table or elsewhere in the CCR. Refer to Section 3.2.2.6 for
more information on special notice language requirements for fecal indicator-positive
ground water source samples.
Note: Prior to promulgation of the GWR, Appendix A to Subpart O of the Rule
provided information for reporting of fecal coliform and E. coll indicating an MCL of
zero and an MCLG of zero. This was based on compliance with the Total Coliform
Rule. Appendix A to Subpart O of the Rule also provided health effects language
specific to fecal coliforms and E. coll. With the promulgation of the GWR, Appendix
A to Subpart O required the addition of information for fecal indicators found at the
ground water source. Fecal indicators include E. coll, enterococci and coliphage.
EPA was concerned that including E. coll in this table twice, with differing entries
for MCL and differing health effects language, could potentially cause confusion to
the regulated community and be contrary to the overarching intent of the CCR Rule,
to provide the community with easily understood and straightforward information.
For this reason, the fecal indicators enterococci and coliphage were added to
Appendix A to Subpart O, with "TT" listed in the MCL column and with health
effects language specific to fecal indicators. The fecal coliform and E. coll entries
remain unchanged.
8) In addition to detected contaminants, the CCR Rule requires that all violations of
treatment techniques be reported in a detected contaminant table(s). TT violations are
listed below and are organized by rule (refer to Item 6 for specific information about
failure to install adequate filtration or disinfection equipment or processes or a failure of
those processes, violations associated with acrylamide and epichlorohydrin, and
violations associated with LCR).
- Surface Water Treatment Rule (SWTR)
Failure to install adequate filtration or disinfection equipment or processes.
Failure of the filtration or disinfection equipment or process.
TT violation associated with acrylamide and epichlorohydrin.
Failure to have redundant components for disinfection.
Failure to maintain a distribution system disinfectant residual.
Failure to maintain at least 0.2 ppm disinfectant residual at the entry point for
more than 4 hours.
Failure to meet inactivation requirements at the treatment plant (CT value).
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Failure to meet watershed control program requirements.
- Filter Backwash Recycling Rule (FBRR)
Failure to return recycle flows through the processes of the existing filtration
system or to an alternate state-approved location (conventional and direct
filtration systems only).
- LT2ESWTR
Failure to cover an uncovered finished water reservoir, provide treatment of the
reservoir's discharge, or be in compliance with a state-approved schedule to
cover the reservoir(s) or treat the reservoir(s) discharge by April 1, 2009.
Filtered systems
Failure to determine and report bin classification.
Failure to provide or install an additional level of treatment using a microbial
toolbox option by the required date.
Failure to achieve required treatment credit to meet the bin classification
requirements using a microbial toolbox option.
Unfiltered systems
Failure to calculate and report mean Cryptosporidium level.
Failure to install a second disinfectant to treat for Cryptosporidium by
required date.
Failure to achieve required inactivation level by required date.
Failure to maintain required inactivation level based on mean
Cryptosporidium results.
- LCR
Failure to meet corrosion control treatment, source water treatment, lead service
line replacement, or public education requirements.
- Stage 1 DBPR
Failure to remove required amount of total organic carbon (TOC) [disinfection
byproduct precursor (DBPP)] (conventional filtration systems only).
- GWR
Failure to maintain at least 4-log treatment of viruses for ground water systems
that are required to treat.
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Failure to take corrective action, if necessary based on a fecal indicator-positive
sample.
Failure to take corrective action, if necessary based on a significant deficiency.
EPA recommends that systems include TT violations listed in #8 above in a table
adjacent to the main detected contaminant table [including those identified in 40 CFR
141.153(f)(2) - 141.153(f)(4)]. The table must include an explanation of the violation,
the length of the violation, any potential adverse health effects, and steps taken to correct
the violation. The following is an example (see Section 6 and Appendix E for additional
examples):
TT Violation
Failure to
remove
required
amount of total
organic carbon
(TOC) (DBPP)
Explanation of
the TT Violation
System will need
to explain the
violation.
Length of the
Violation
System will
need to provide
the length of
the violation.
Steps Taken to
Correct the
Violation
System will need
to provide
information on
steps to correct the
violation.
Health Effect Language
Total organic carbon (TOC) has no health
effects. However, total organic carbon
provides a medium for the formation of
disinfection byproducts. These
byproducts include trihalomethanes
(THMs) and haloacetic acids (HAAs).
Drinking water containing these
byproducts in excess of the MCL may
lead to adverse health effects, liver, or
kidney problems, or nervous system
effects, and may lead to an increased risk
of getting cancer.
9) If beta particles were detected at or below 50 picocuries per liter (pCi/L), report the
detected level in pCi/L. So that consumers may have a standard against which to compare
that detected level, the CCR should include "50 pCi/L*" in the MCL column (rather than
the actual MCL of 4 mrem/year) and include a footnote to the table that says, "*EPA
considers 50 pCi/L to be the level of concern for beta particles." If beta particles are
detected above 50 pCi/L, the system must determine the actual radioactive constituents
present in the water to calculate the dose exposure level in mrem/year, and must report
both the detected level and MCL as mrem/year.
F. The likely source(s) of that contaminant, according to the best information known to the
water system. 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 Subpart O of the
Rule which are most applicable to the local situation.
As stated in the preamble to the final Rule (p. 44519), EPA's intent is for this information to
be as specific as possible. For example, the report should identify a specific point source,
such as "Al's Chicken Houses" or the "Super-Shiny Paper Mill" if possible but may use
generic terms from Appendix A to Subpart O such as "farms" or "paper mills" in the absence
of specific information from sanitary surveys, source water assessments, or other means. If
none of the generic sources from Appendix A to Subpart O of the Rule are applicable to the
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April 2010
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system, a footnote may be added to the report indicating that to the best of the system's
knowledge none of the typical sources of contamination listed in the table(s) for that
contaminant exist in the source water area(s).
G. For any contaminant that violates an MCL, MRDL, or a TT, include a clear indication in the
table(s) of the violation or exceedence. This indication could, for example, take the form of a
different color type, a larger or heavier font, or a large star. Nearby, but not in the table(s),
include a clear and easy to understand statement explaining not only the violation, but also
the length of the violation, potential health effects because of the violation, and the actions
that have been taken by the CWS to remedy the problem. The potential health effects
language must be from Appendix A to Subpart O of the Rule which is available on the EPA
Web site at www. epa. gov/safewater/ccr/re gulations .html.
EPA recognizes that there may be cases where a state MCL may be more stringent than the
Federal standard and recommends that systems use the CCR to inform their customers of
such occurrences. This could be easily accomplished by highlighting the MCL through a
different font or asterisk and explaining in a footnote to the table that the state standard is
stricter. EPA also recommends that customers should be informed when there is no Federal
standard and the state has developed its own standard. For example, EPA recommends
secondary standards or non-enforceable guidelines regulating contaminants that may cause
cosmetic effects (such as skin or tooth discoloration) or aesthetic effects (such as taste, odor,
and color) in drinking water. However, states may choose to adopt the secondary standards as
enforceable standards.
H. If the system distributes water to its customers from multiple hydraulically independent
distribution systems fed from different raw water sources, include in the table(s) separate
columns for detection data for each service area. Also include a description of the area served
by each distribution system. Alternatively, systems could produce separate reports tailored to
include data for each service area.
I. If the system detects unregulated contaminants for which monitoring is required, the table(s)
must contain the average of any monitoring results from the year and the range of detections.
The CCR may also include a brief explanation for why a system monitors for unregulated
contaminants. The explanation may read as follows:
Unregulated contaminants are those for which EPA has not established drinking
water standards. The purpose of unregulated contaminant monitoring is to assist
EPA in determining the occurrence of unregulated contaminants in drinking water
and whether future regulation is warranted.
If a system was not required to monitor for unregulated contaminant under 40 CFR 141.40 in
the previous calendar year, it does not need to report unregulated contaminant monitoring
results in the CCR.
Note: The most recent list of unregulated contaminants can be obtained on the EPA Web site
atwww.epa.gov/safewater/ucmr/index.html.
J. If the system is required to provide Tier 3 public notice for a monitoring violation or other
type of violation or situation, they can include the notice in their CCR. However, the system
must meet the content requirements under the Public Notification Rule. In addition, they must
meet the timing and delivery requirements for public notification such that Tier 3 public
CCR Rule Implementation Guidance 28 April 2010
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notice must be completed no later than 12 months from the date the violation or situation
occurred. To minimize the timing conflict, systems can publish the CCR as soon after the end
of the calendar year as possible or mail a separate public notice for the violations occurring in
January through June of the current year in the same envelope as the CCR covering the
previous calendar year's violations.
3.2.2.5 Item 5: Information on Monitoring for Cryptosporidium, Radon, and Other Contaminants
[40 CFR 141.153(e)]
If a system monitored for Cryptosporidium and/or radon and did not detect either, the system is not
required to discuss the monitoring or the results of the monitoring in the report. However if monitoring
indicated the presence of either of these contaminants, information about the monitoring and results of the
monitoring must be included in the CCR and displayed outside of the table(s) reporting the levels of
detected contaminants.
Cryptosporidium
If the system has performed any monitoring for Cryptosporidium as required by LT2ESWTR or for other
reasons, which indicates that Cryptosporidium may be present either in its source water or finished water,
the CCR must contain:
A summary of the results of the monitoring.
An explanation of the significance of the results. CWSs should tell customers if they need to be
concerned by this information. A sample explanation is given below:
Cryptosporidium is a microbial parasite which is found in surface water throughout the U.S.
Although filtration removes Cryptosporidium, the most commonly-used filtration methods
cannot guarantee 100 percent removal. Our monitoring indicates the presence of these
organisms in our source water and/or finished water. Current test methods do not allow us
to determine if the organisms are dead or if they are capable of causing disease. Symptoms
of infection include nausea, diarrhea, and abdominal cramps. Most healthy individuals are
able to overcome the disease within a few weeks. However, immuno-compromised people
have more difficulty and are at greater risk of developing severe, life threatening illness.
Immuno-compromised individuals are encouraged to consult their doctor regarding
appropriate precautions to take to avoid infection. Cryptosporidium must be ingested for it
to cause disease, and may be passed through means other than drinking water.
Radon
If the system has performed any monitoring that indicates the presence of radon in its finished water, the
CCR must contain:
The results of the monitoring.
An explanation of the significance of the results. The following is a possible explanation:
Radon is a radioactive gas that you cannot see, taste, or smell. It is found throughout the
United States. Radon can move up through the ground and into a home through cracks and
holes in the foundation. Radon can build up to high levels in all types of homes. Radon can
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also get into indoor air when released from tap water from showering, washing dishes, and
other household activities. Compared to radon entering the home through soil, radon
entering the home through tap water will in most cases be a small source of radon in indoor
air. Radon is a known human carcinogen. Breathing air containing radon can lead to lung
cancer. Drinking water containing radon may also cause increased risk of stomach cancer.
If you are concerned about radon in your home, test the air in your home. Testing is
inexpensive and easy. Fix your home if the level of radon in your air is 4 picocuries per liter
of air (pd/l) or higher. There are simple ways to fix a radon problem that aren 't too costly.
For additional information, call your state radon program or call EPA 's Radon Hotline
(800-SOS-RADON).
Other Contaminants
If the system has voluntarily performed additional monitoring and this monitoring indicates the presence
of other non-regulated contaminants in the finished water, EPA strongly encourages CWSs to report any
results that may indicate a health concern. EPA considers detects above a proposed MCL or health
advisory level to indicate possible health concerns. The EPA Safe Drinking Water Hotline (800-426-
4791) and EPA Web site (www.epa.gov/safewater/hfacts.html) are resources for this information. For
such contaminants, EPA recommends that the report include:
The results of monitoring, and
An explanation of the significance of the results noting the existence of a health advisory or a
proposed regulation.
If provided, this information must be displayed outside of the detected contaminants table(s).
3.2.2.6 Item 6: Compliance with Other Drinking Water Regulations
[40 CFR 141.153(f)]
If during the reporting period, the CWS was in violation of any of the following National Primary
Drinking Water Regulation (NPDWR) requirements, its CCR must include a clear and readily
understandable explanation of the violation, any potential adverse health effects, and steps the CWS has
taken to correct the violation.
Monitoring and reporting of compliance data.
Recordkeeping of compliance data.
Filtration and disinfection prescribed by Subpart H 40 CFR 141.70 to 40 CFR 141.75.
For systems which have failed to install adequate filtration or disinfection equipment or
processes, or have had a failure of such equipment or processes which constitutes a violation, the
CCR must include the following language as part of the explanation of potential adverse health
effects:
Inadequately treated water may contain disease-causing organisms. These organisms
include bacteria, viruses, and parasites which can cause symptoms such as nausea, cramps,
diarrhea, and associated headaches.
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Lead and copper control requirements prescribed by Subpart I 40 CFR 141.80 to 40 CFR 141.85.
For systems that fail to meet the requirements listed below, the CCR must include applicable
language for lead, copper, or both, from Appendix A to Subpart O of the Rule which is available
on the EPA Web site at www. epa. gov/safewater/ccr/re gulations .html.
- 40 CFR 141.80(d); §141.81; and §141.82 - Corrosion control treatment requirements.
- 40 CFR 141.83 - Source water treatment requirements.
- 40 CFR 141.84 - Lead service line replacement requirements.
- 40 CFR 141.85 - Public education requirements.
Treatment techniques for Acrylamide and Epichlorohydrin prescribed by Subpart K 40 CFR
141.110to40CFR141.lll.
For systems that violate Subpart K requirements, the CCR must contain the relevant language
from Appendix A to Subpart O of the Rule which is available on the EPA Web site at
www.epa.gov/safewater/ccr/regulations.html.
Special monitoring requirements as prescribed by 40 CFR 141.40 for unregulated contaminants
and 40 CFR 141.41 for sodium.
Violation of the terms of a variance, an exemption, or a state or federal administrative or judicial
order.
The Agency is not prescribing mandatory language to describe the health significance of monitoring and
reporting violations; violations of recordkeeping or special monitoring requirements; or violations of a
variance, or an exemption of a state or federal administrative or judicial order; because the explanation
has to be tailored to the circumstances of the violation. In cases where there is a violation that presents a
significant health threat, the CWS may use relevant language from Appendix A to Subpart O of the Rule
which is available on the EPA Web site at www.epa.gov/safewater/ccr/regulations.html. Appendix E of
this guidance contains an example CCR and information on how to report.
Refer to Section 3.2.2.4 for suggestions on presenting the TT violations for filtration and disinfection,
lead and copper, and acrylamide and epichlorihydrin.
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Special Notice for a System Required to Comply with the GWR
[40 CFR 141.153(h)(6)]
The GWR requires that CWSs provide special notice in their CCRs for the following two situations:
Special Notice for Uncorrected Significant Deficiencies1
If a ground water system receives notice from the state of a significant deficiency, and that
deficiency is not corrected by December 31st of the year covered by the system's CCR, it must
inform their customers in the next CCR. The CCR must include the following information for
uncorrected significant deficiencies:
The nature of the significant deficiency and the date it was identified by the state.
The state-approved plan and schedule for correction, including interim measures,
progress to date, and any interim measures completed.
The system must continue to inform customers annually until the state determines the significant
deficiency is corrected.
In addition, the state may also require the system to include in the CCR significant deficiencies
that were corrected by the end of the calendar year. If the state directs the system to do this, the
system must inform the customers of the significant deficiency, how it was corrected, and the date
it was corrected in the next CCR issued.
Special Notice for a Fecal Indicator-Positive Ground Water Source Sample
If a ground water system receives notice from a laboratory of a fecal indicator-positive ground
water source sample and the sample is not invalidated by the state, it must inform its customers in
the next CCR. The CCR must include the following information for a fecal indicator-positive
ground water source sample:
The source of the fecal contamination (if it is known) and the date(s) of the fecal
indicator-positive source sample.
If the fecal contamination has been addressed as prescribed by the requirements of the
GWR and the date the contamination was addressed.
For fecal contamination that has not been addressed, the state-approved plan and
schedule for correction, including interim measures, progress to date, and any interim
measures completed.
1 Significant Deficiency: A deficiency that may cause, or have the potential to cause the introduction of
contamination into finished water. An example of a significant deficiency is an unscreened vent on a storage tank
which left uncorrected may allow water, dirt, waste or other contaminants to enter the tank.
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The health effects language for fecal indicators. Refer to Appendix A to Subpart O of the
Rule which is available on the EPA Web site at
www.epa.gov/safewater/ccr/regulations.html for health effects language.
Since fecal indicator-positive ground water source samples must be included in the detected
contaminant table, this special notice language can be included below the table or elsewhere in
the report. Section 6 and Appendix E of this guidance contains an example on how to present
fecal indicator- positive ground water source samples and the special notice text in a CCR.
The system must continue to inform customers annually until the fecal contamination in the
ground water source is addressed as prescribed by the requirements of the GWR.
3.2.2.7 Item 7: Variances and Exemptions
[40 CFR 141.153(g)]
If the CWS is operating under a variance or exemption, the CCR must include:
A section that explains that the system is operating under a variance or exemption, and the
reasons it was issued.
The date that it was issued and when it is up for renewal.
A status report on what the system is doing to remedy the problem.
A notice of any opportunity for public input in the review or renewal of the variance or
exemption.
3.2.2.8 Item 8: Required Educational Information
[40 CFR 141.153(h)(l); 40 CFR 141.154]
The CCR Rule provides additional health information that must be displayed prominently somewhere in
the CCR. The first three are required for every CCR. They are: a brief explanation regarding contaminants
which may reasonably be expected to be found in drinking water, a discussion of vulnerability of some
persons to contaminants, and information about lead in drinking water and its effects on children. The last
two, information on arsenic and nitrate, are only required if those contaminants are found at the specified
levels.
Explanation of Contaminants in Drinking Water and Bottled Water
This statement is an explanation that must contain the language of paragraph 40 CFR
141.153(h)(l)(iv) shown below:
Drinking water, including bottled water, may reasonably be expected to contain at
least small amounts of some contaminants. The presence of contaminants does not
necessarily indicate that water poses a health risk. More information about
contaminants and potential health effects can be obtained by calling the
Environmental Protection Agency's Safe Drinking Water Hotline (800-426-4791).
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CWSs must also include information contained in 40 CFR 141.153(h)(l)(i) through 40 CFR
141.153(h)(l)(iii) on sources of drinking water, contaminants that may be present in source
water, and why EPA and the Food and Drug Administration (FDA) establish regulations for
contaminants respectively. CWSs have the choice of using the EPA language provided in 40 CFR
141.153(h)(l)(i) through (iii) or developing their own comparable language.
40 CFR 141.153(h)(l)(i) - Sources of Drinking Water:
The sources of drinking water (both tap water and bottled water) include rivers,
lakes, streams, ponds, reservoirs, springs, and wells. As water travels over the
surface of the land or through the ground, it dissolves naturally-occurring minerals
and, in some cases, radioactive material, and can pick up substances resulting from
the presence of animals or from human activity.
40 CFR 141.153(h)(l)(ii) - Contaminants That May Be Present in Source Water:
Microbial Contaminants, such as viruses and bacteria, which may come from
sewage treatment plants, septic systems, agricultural livestock operations, and
wildlife.
Inorganic Contaminants, such as salts and metals, which can be naturally-
occurring or result from urban stormwater runoff, industrial, or domestic
wastewater discharges, oil and gas production, mining, or farming.
Pesticides and Herbicides, which may come from a variety of sources such as
agriculture, urban stormwater runoff, and residential uses.
Organic Chemical Contaminants, including synthetic and volatile organic
chemicals, which are by-products of industrial processes and petroleum production,
andean also come from gas stations, urban stormwater runoff, and septic systems.
Radioactive Contaminants, which can be naturally-occurring or be the result of oil
and gas production and mining activities.
40 CFR 141.153(h)(l)(iii) - EPA and FDA Regulations:
In order to ensure that tap water is safe to drink, EPA prescribes regulations which
limit the amount of certain contaminants in water provided by public water systems.
Food and Drug Administration (FDA) regulations establish limits for contaminants
in bottled water which must provide the same protection for public health.
Explanation of the Vulnerability of Some Populations to Contaminants in Drinking Water
This statement is an explanation that must contain the language of paragraph 40 CFR 141.154(a)
shown below:
Some people may be more vulnerable to contaminants in drinking water than the
general population. Immuno-compromised persons such as persons with cancer
undergoing chemotherapy, persons who have undergone organ transplants, people
with HIV/AIDS or other immune system disorders, some elderly, and infants can be
particularly at risk from infections. These people should seek advice about drinking
CCR Rule Implementation Guidance 34 April 2010
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water from their health care providers. EPA/Centers for Disease Control and
Prevention (CDC) guidelines on appropriate means to lessen the risk of infection by
Cryptosporidium and other microbial contaminants are available from the Safe
Drinking Water Hotline (800-426-4791).
Information Statement about Lead in Drinking Water
This statement must contain the language of paragraph 40 CFR 141.154(d)(l) shown below or a
system may write its own educational statement but only in consultation with the state:
If present, elevated levels of lead can cause serious health problems, especially for
pregnant women and young children. Lead in drinking water is primarily from materials
and components associated with service lines and home plumbing. [NAME OF UTILITY]
is responsible for providing high quality drinking water, but cannot control the variety of
materials used in plumbing components. When your water has been sitting for several
hours, you can minimize the potential for lead exposure by flushing your tap for 30
seconds to 2 minutes before using water for drinking or cooking. If you are concerned
about lead in your water, you may wish to have your water tested. Information on lead in
drinking water, testing methods, and steps you can take to minimize exposure is available
from the Safe Drinking Water Hotline or at www. epa.gov/safewater/lead.
Educational Information about Arsenic [40 CFR 141.154(b)]
A CCR must also contain additional educational information about arsenic if detected at levels
above 5 (ig/1 (50% of the MCL), but at or below the MCL. EPA requires that the appropriate
educational statement be included in the report.
While your drinking water meets EPA 's standard for arsenic, it does contain low
levels of arsenic. EPA 's standard balances the current understanding of arsenic's
possible health effects against the costs of removing arsenic from drinking water.
EPA continues to research the health effects of low levels of arsenic, which is a
mineral known to cause cancer in humans at high concentrations and is linked to
other health effects such as skin damage and circulatory problems.
EPA believes that water systems should have the flexibility to tailor their information to specific
local situations. Systems that want to use language significantly different than that provided by
EPA must develop comparable language in consultation with the state.
Note: Systems can add information on arsenic in conjunction with this educational statement, as
long it does not detract from the educational nature of the report as specified in 40 CFR
141.153(h)(5). For example, a system can explain that there could be other sources of arsenic
from mining operations or pesticides that were used in the past. Additional information on health
effects should be consistent with information provided in Appendix A to Subpart O of the Rule
which is available on the EPA Web site at www.epa.gov/safewater/ccr/regulations.html.
Educational Information about Nitrate [40 CFR 141.154(c)]
A CCR must also contain additional educational information about nitrate if detected at levels
above 5 mg/1 (50% of the MCL), but below the MCL. EPA requires that the appropriate
educational statement be included in the report.
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Nitrate in drinking water at levels above 10 ppm is a health risk for infants of less
than 6 months of age. High nitrate levels in drinking water can cause "blue baby
syndrome. " Nitrate levels may rise quickly for short periods of time because of
rainfall or agricultural activity. If you are caring for an infant you should ask advice
from your health care provider.
EPA believes that water systems should have the flexibility to tailor their information to specific
local situations. Systems that want to use language significantly different than that provided by
EPA must develop comparable language in consultation with the state.
Note: Systems can add information on nitrate in conjunction with this educational statement, as
long it does not detract from the educational nature of the report as specified in 40 CFR
141.153(h)(5). Additional information on health effects should be consistent with information
provided in Appendix A to Subpart O of the Rule which is available on the EPA Web site at
www.epa.gov/safewater/ccr/regulations.html.
3.2.3 Report Delivery and Recordkeeping Requirements for CWSs
3.2.3.1 Items 1-2: CCR Delivery to Customers "Good Faith" Effort for Delivery to Non-Bill Paying
Consumers
[40 CFR 141.155(a); 40 CFR 141.155(b)]
CWSs are required to mail or otherwise directly deliver a copy of the CCR to each customer. EPA
mandates direct delivery of CCRs to bill addressees, but EPA also expects CWSs to make serious and
"good faith" efforts to reach non-bill paying consumers. A "good faith" effort means selecting the most
appropriate methods to reach those consumers from a menu of options recommended by the state. These
options include but are not limited to:
Posting the CCR on the Internet using Web sites, email notifications, Podcasts, blogs, or Tweets.
Mailing the CCR to postal patrons in metropolitan and rural areas.
Advertising the availability of the CCR in news media.
Publishing the CCR in a local newspaper.
Posting the CCR in public places such as cafeterias or lunch rooms of public buildings.
Delivering multiple copies of the CCR for distribution by single-biller customers such as
apartment buildings or large private employers.
Delivering the CCR to community organizations.
Posting the CCR in libraries, schools, or post offices.
EPA does not intend to place an undue burden on the systems, but believes that it is in the systems'
interest to spread the word about the quality of its water as widely as possible. CWSs should know that
there are a variety of options that can be tailored to each specific local situation to reach non-bill paying
consumers. EPA would interpret the inclusion of a note in the CCR, asking recipients to share the
CCR Rule Implementation Guidance 36 April 2010
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information with non-bill paying consumers, as part of a "good faith" effort. A sample note may read as
follows:
Town Water System has included additional copies of our Consumer Confidence Report in
this mailing. Town Water System would appreciate it if large volume water customers such
as yourself post extra copies of these reports in conspicuous locations or distribute them to
your tenants, residents, patients, students and/or employees. This action will allow
individuals who consume the water Town Water System delivers, but are not billed
customers, to learn about our water system.
3.2.3.2 Items 3-4: Delivery of CCR and Certification to State and CCR Delivery to Other Agencies
[40 CFR 141.155(c); 40 CFR 141.155(d)]
The CWS must mail a copy of the CCR to the state, as well as any other agency or clearinghouse the state
designates, no later than the date the system is required to deliver the report to its customers. The mailing
may be in an electronic or hard copy format. Examples of other agencies may include state and local
public health or environment departments, public utility commissions, and consumer advocates' offices.
Within 3 months from the date the system is required to deliver the CCR to customers, the CWS must
send a letter of certification to the state certifying that the system has:
Distributed the CCR to its customers, and
Used in the report information that is correct and consistent with compliance monitoring data
previously submitted to the state.
EPA recommends that states and CWSs view the certification letter as another opportunity to explain how
the system is telling customers about the quality of the drinking water and the steps taken to protect
sources of their water. Therefore, states are encouraged to have CWSs certify that they comply with all
the regulatory requirements of Subpart O; include information on how they made a "good faith" effort to
reach consumers that do not get water bills; include date(s) and method(s) of distribution, including
names of newspapers, if applicable; list other means of making the report available to the public; and list
the other agencies the CCR was sent to as directed by the state.
For systems with mailing waivers, information on the newspaper and dates where the CCR was published
for systems serving fewer than 10,000 persons may be included. For systems serving 500 persons or
fewer, information on how customers were notified about the availability of the CCR, including posting
locations may be included. The following are examples of certification forms (also provided in Appendix
D of this guidance). Example 3-1 is a certification form for systems without a mailing waiver. Example 3-
2 is a certification form systems can use if they have a mailing waiver. Refer to Section 3.2.3.4 for more
discussion on mailing waivers.
CCR Rule Implementation Guidance 37 April 2010
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Example 3-1. CCR Certification - Example Format for Systems without Mailing Waivers
CWS name:
PWS I.D. no:
The community water system named above hereby confirms that its consumer confidence report has been
distributed to customers (and appropriate notices of availability have been given). Further, the system
certifies that the information contained in the report is correct and consistent with the compliance
monitoring data previously submitted to the state.
Certified by:
Name
Title
Phone # Date
* * * You are not required by EPA rules to report the following information, but you may want to provide it
to your state. Check all items that apply. ***
CCR was distributed by mail or other direct delivery. Specify other direct delivery methods:
_"Good faith" efforts were used to reach non-bill paying consumers. Those efforts included the
following methods as recommended by the state:
posting the CCR on the Internet at www.
jnailing the CCR to postal patrons within the service area, (attach zip codes used)
_advertising availability of the CCR in news media (attach copy of announcement)
jmblication of CCR in local newspaper (attach copy)
_posting the CCR in public places (attach a list of locations)
_delivery of multiple copies to single bill addresses serving several persons such as:
apartments, businesses, and large private employers
_delivery to community organizations (attach a list)
(for systems serving at least 100,000 persons) Posted CCR on a publicly-accessible Internet
site at the address: www.
_Delivered CCR to other agencies as required by the state (attach a list)
CCR Rule Implementation Guidance 38 April 2010
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Example 3-2. CCR Certification - Example Format for Systems with Mailing Waivers
CWS Name:
PWS I.D. #:
I confirm that the Consumer Confidence Report has been distributed to customers (or appropriate notices
of availability have been given) and that the information is correct and consistent with the compliance
monitoring data previously submitted to the state.
System-specific details on distribution of the CCR to customers are outlined below. CCR or notice of
availability was provided as specified for:
Systems Serving Fewer than 10,000 Persons
Published the CCR in the local newspaper(s). Attach a copy of the notice. List newspaper and
dates below:
Informed customers the CCR will not be mailed. List methods of notification below:
Developed procedures to make reports available upon request. Specify below:
Systems Serving 500 Persons or Fewer
List methods used to inform customers the CCR will not be mailed:
Developed procedures to make reports available upon request. Specify below:
Certified by: Name
Title
Phone # Date
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3.2.3.3 Items 5-6: CCR Availability to the Public and CCR Availability on the Internet
[40 CFR 141.155(e); 40 CFR 141.155(f)]
CWSs must make their CCRs available to members of the public who request the report. This means that
a system must send, fax, or otherwise deliver a copy of the report to any member of the public who
requests it. Systems may choose to make their reports available in the newspaper, on a Web site, or in
public places such as libraries, but this does not relieve them of the responsibility to send the reports to
interested customers or other members of the public who may not have access to these other resources.
Each CWS serving 100,000 or more persons must post its current year's CCR on a publicly-accessible
site on the Internet.
3.2.3.4 Item 7: Mailing Waiver for CWSs Serving Fewer than 10,000 Persons
[40 CFR 141.155(g)]
For systems serving fewer than 10,000 persons, the requirement that CWSs mail the CCR to their
customers can be waived. The following authorities can waive the mailing requirements:
The Governor of a state or his/her designee (e.g., state drinking water administrator if allowed by
state law).
A Tribal leader if the Tribe has met the requirements under 40 CFR 142.72 for Tribal eligibility.
The EPA Regional Administrator on some Indian lands where no Tribe has been deemed eligible.
States, in accordance with their laws, can establish specific criteria for obtaining and renewing the
waivers. For example, a state can choose whether the waiver should be system-specific or apply to all
systems in a given category. The following are examples of Governor's mailing waivers (also provided in
Appendix D of this guidance). Example 3-3 illustrates a state-wide Governor's mailing waiver. Example
3-4 illustrates a system-specific Governor's mailing waiver.
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Example 3-3. Governor's Mailing Waiver - State-Wide Example Format
Authority provided in Section 1414(c)(4)(C) of the Safe Drinking Water Act allows the Governor of the
State of (insert Tribal agency if applicable) to allow community water systems
serving fewer than 10,000 persons not to mail or otherwise provide direct delivery of the Consumer
Confidence Reports (CCRs) to each customer.
The community water systems listed in Attachment A serve fewer than 10,000 persons [and otherwise
meet all direct delivery waiver requirements - optional], a waiver is hereby granted [for the period
beginning January 1 of the calendar year , and ending - optional]. Each water system
must:
1) Inform customers it will not be providing copies of the CCR by mail or other direct delivery method.
2) Publish the report annually in one or more local newspapers serving areas in which the system's
customers are located.
3) Make copies of the CCR available to the public upon request.
Authority provided in Section 1414(c)(4)(D) of the Safe Drinking Water Act allows the Governor of the
State of (insert Tribal agency if applicable) to determine not to apply
requirements 1 and 2 (listed above) to community water systems which serve 500 persons or fewer, if the
system provides notice to its customers once a year that the CCR is available upon request.
The community water systems listed in Attachment B serve 500 persons or fewer [and otherwise meet all
direct delivery waiver requirements - optional], a waiver is hereby granted [for the period beginning
January 1 of the calendar year , and ending - optional]. Each water system must
provide notice to customers of the availability of the report, at least once per year, by mail, door-to-door
delivery, or posting. Any other methods authorized by the state should be listed.
All systems with mailing waivers are still required to:
Complete a CCR in accordance with all content requirements.
Provide a copy of the CCR to the state and any other agency specified by the state.
Make copies of the CCR available to the public upon request.
Governor's or His/Her Designee's Signature Date
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Example 3-4. Governor's Mailing Waiver - System-Specific Example Format
Authority provided in Section 1414(c)(4)(C) of the Safe Drinking Water Act allows the Governor of the
State of (insert Tribal agency if applicable) to allow community water systems
serving fewer than 10,000 persons not to mail or otherwise provide direct delivery of the CCRs to each
customer.
The community water system, , serves fewer than 10,000 persons [and otherwise
meets all direct delivery waiver requirements - optional], a waiver is hereby granted [for the period
commencing January 1 of the calendar year , and ending - optional]. The water system
must:
1) Inform customers it will not be providing copies of the CCR by mail or other direct delivery method.
2) Publish the report annually in one or more local newspapers serving areas in which the system's
customers are located.
3) Make copies of the CCR available to the public upon request.
Authority provided in Section 1414(c)(4)(D) of the Safe Drinking Water Act allows the Governor of the
State of (insert Tribal agency if applicable) to determine not to apply
requirements 1 and 2 (listed above) to community water systems which serve 500 persons or fewer, if the
system provides notice to its customers once a year that the CCR is available upon request.
The community water system, , serves 500 persons or fewer [and otherwise meets all
direct delivery waiver requirements established by the state - optional], a waiver is hereby granted [for the
period commencing January 1 of the calendar year , and ending - optional]. The water
system must provide notice to customers of the availability of the report, at least once per year, by mail,
door-to-door delivery, posting or any other means authorized by the state.
All systems with mailing waivers are still required to:
Complete a CCR in accordance with all content requirements.
Provide a copy of the CCR to the state and any other agency specified by the state.
Make copies of the CCR available to the public upon request
Governor's or His/Her Designee's Signature Date
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A system that has been granted a mailing waiver and serves fewer than 10,000 but more than 500 persons
must publish the report in at least one local newspaper. The system must also notify its customers that the
reports will not be mailed and provide information on the availability of the report. This notice could take
the form of a note in the water bill, an ad in the newspaper, or any other means approved by the state. The
system must also make the report available to the public upon request. This means that a system must
send, fax, or otherwise deliver a copy of the report to a member of the public who requests it.
A system that has been granted a mailing waiver and serves 500 or fewer persons does not have to publish
the report in a newspaper, nor inform customers the CCR will not be mailed, if they provide notice at
least once per year that the report is available upon request. This means that if a member of the public
requests it, the CWS must send or otherwise deliver a copy of the CCR. Methods of notification include
but are not limited to: mail, door to door delivery, or posting the CCR in an appropriate public location
such as city hall, libraries, or grocery store bulletin boards.
Systems that have been granted mailing waivers are still required to follow other CCR Rule requirements
such as delivery of the report to the state and any other agency the state designates and using "good faith"
efforts to reach non-bill paying consumers. In addition, a system which has been granted a mailing waiver
may choose at any time to mail its report to customers.
3.2.3.5 Item 8: CWS Keeping CCR Copies on File
[40 CFR 141.155(h)]
CWSs must keep copies of past reports on file for a minimum of 3 years.
3.3 Communicate CCR Rule Requirements to Affected Systems
States should identify what actions they plan on taking and develop a schedule for carrying out those
actions in order to implement the CCR Rule in a timely and effective manner. One key step for states
implementing the CCR Rule should be communicating with those CWSs affected by the Rule and
preparing them to comply with the relevant provisions. Systems should be notified of new requirements
early enough to ensure their ability to budget for and schedule their compliance actions. The more this is
done, the more prepared states and systems will be as compliance dates approach.
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 CCR Rule's provisions, states may find it useful to draft and send out
different form letters to different categories of systems. States should consider categorizing systems early
on in their CCR Rule communication efforts so that each system is provided only with the provisions and
deadlines that apply to them.
Some system categories that may be effective for drafting form letters regarding the CCR Rule are:
CWSs.
Wholesale CWSs.
Consecutive CWSs.
CWSs serving fewer than 10,000 persons.
CWSs serving 100,000 or more persons.
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3.3.2 Methods of Communication
Written Notice
Providing written notice of Rule requirements to CWSs 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 factsheets or other summary materials with the letter.
Example 3-5 includes a written notice states could provide to systems (also in Appendix D of this
guidance).
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Example 3-5. Sample CCR Notification Letter from the State to CWSs
Dear Community Water System (CWS) Owner/Operator,
I am writing to ask you to prepare a Consumer Confidence Report (CCR) and deliver it to
your customers. Consumer awareness/right-to-know was a theme of the 1996 Safe Drinking Water
Act (SDWA) Amendments. These amendments confirmed the importance of educating the consumer
and added new responsibilities for water systems in this area. The CCR rule is the first new regulation
from EPA in several years and the first to address the public right-to-know provisions of the 1996
SDWA Amendments.
The CCR rule requires all CWSs to provide drinking water quality reports to their customers
annually by July 1. The information included in the report must be from the previous calendar year.
These reports or CCRs are intended to be short documents written for a non-technical audience and
must contain information on:
Source(s) of local water, and availability of source water assessment data.
Levels of detected contaminants, corresponding Maximum Contaminant Levels (MCLs),
Maximum Contaminant Level Goals (MCLGs), Maximum Residual Disinfectant Levels
(MRDLs), Maximum Residual Disinfectant Level Goals (MRDLGs), Treatment Techniques
(TTs), Action Levels (ALs), and typical sources.
Potential health effects of contaminants detected in violation of an MCL/MRDL/TT, or
exceeding an Action Level (AL).
Opportunities for public participation in drinking water related decisions.
Water systems are free to enhance the reports in any useful way, but must follow the required
minimum content and format criteria. Attachment 1 provides an overview of the CCR requirements
and a list of resources to assist you in preparing CCRs.
The CCR provides an excellent opportunity to showcase the good work your system does to
provide customers with the highest quality drinking water. We recommend that CWSs begin preparing
their first CCR well before the July deadline. In order to help systems meet the regulatory deadlines,
EPA has developed a CCR implementation guidance document, a "how to" manual for CWSs on
preparing CCRs, and a program called CCRiWriter to assist systems in creating their CCR. These
materials can be found on EPA's Web site at www.epa.gov/safewater/ccr/compliancehelp.html.
In the interim, the Name of state's Drinking Water Program will be conducting CCR training
workshops and preparing educational/outreach materials for systems. We encourage you to take full
advantage of the opportunity the CCR provides to tell the public about the quality of their drinking
water because informed and involved consumers can be strong allies of water systems, large and
small.
Sincerely,
State Drinking Water Program
Attachment
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Attachment 1 of Sample CCR Notification Letter from the State to CWSs
CCR Minimum Report Content Requirements
1. Required Information about the Water System
D System contact number for additional information.
D For communities with a large proportion of non-English speaking residents (as determined by
State) information in appropriate language about importance of CCR.
D Dates and times of public meetings.
2. Source(s) of Water
D Type of water; commonly-used names; and location of water source(s).
D Information on source water assessments, if available: notice of availability, obtaining a copy of
the assessment, and susceptibility information.
3. Definitions for MCL, MCLG, and If Applicable MRDL, MRDLG, TT, AL, Variances and
Exemptions
4. Reported Levels of Detected Contaminants
D For comparison must include the corresponding MCL, MCLG, MRDL, MRDLG, TT, or AL.
D Likely source(s) of detected contaminants.
D Clear indication of any contaminant detected in violation of EPA standard as well as an
explanation of the violation including the length, potential health effects, and actions take to
remedy violation.
5. Information on Monitoring for Cryptosporidium, Radon, and Other Contaminants Which May
Indicate a Health Concern
6. Compliance with Other Drinking Water Regulations
D Explanation of violation, any potential health effects, and steps the system has taken to correct
the violation.
D Special notices for Ground Water Rule
8. Variances and Exemptions
D Explanation of variance or exemption; reasons for and dates of issue; and notice of public
opportunity for public input in the review.
6. Required Educational Information
D Explanation of contaminants in drinking water, including bottled water.
D Explanation of the vulnerability of immuno-compromised populations (i.e., cancer patients,
people with HIV/AIDs or other immune system disorders) to drinking water contaminants.
D Explanation of contaminants and their presence in drinking water, if detected.
D Educational statement for lead.
D Educational statements for arsenic and nitrate when these contaminants are detected under
conditions specified in the rule.
CCR Rule Implementation Guidance 46 April 2010
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Report Delivery and Recordkeeping Requirements for CWSs
1. CCR Delivery to Customers
D Each CWS must mail or otherwise directly deliver one copy of the CCR to each customer, unless
granted a mailing waiver. (Referto number? below)
2. "Good Faith" Effort for Delivery to Non-Bill Paying Consumers
D CWS must make a "good faith" effort to reach those consumers who they serve but who do not
get water bills, such as renters. "Good faith" efforts mean using a mix of several methods
recommended by the state.
3. Delivery of CCR and Certification to State
D CWS must mail to the state: (1) a copy of the CCR no later than the date the CWS is required to
deliver the report to its customers; and (2) within 3 months of the required delivery date, mail
certification to the state indicating that the CCR was distributed to customers with information
that is correct and consistent with compliance monitoring data previously submitted.
4. CCR Delivery to Other Agencies
D CWS must deliver the CCR to any other agency identified by the state no later than the required
date to send the CCR to its customers.
5. CCR Availability to the Public
D CWS must make CCRs available to the public upon request.
6. CCR Availability on the Internet
D CWS serving 100,000 or more persons must post CCR on a publicly accessible Internet site.
7. Mailing Waiver for CWSs Serving Fewer than 10,000 Persons
D The Governor of a state may waive the mailing requirement for CWSs serving fewer than 10,000
persons.
8. CWS Keeping CCR Copies on File
D CWS must keep copies of their CCR on file for at least 3 years.
Additional Resources/Contact Information:
State Drinking Water Program
EPA Safe Drinking Water Hotline
EPA Web site
American Water Works Association/local affiliate
phone number/email address
(800-426-4791)
www.epa.gov/safewater
phone number/Web site/email address
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Section 2 of this guidance includes additional publications that are intended to be distributed to water
systems through mailings, training sessions, and other educational forums. These publications (also
available at www.epa.gov/safewater/ccr/compliancehelp.html) provide overviews of the CCR Rule to
help systems understand the provisions of the Rule and determine which provisions apply. They also
describe the benefits of the Rule. Although valuable, these resources do not substitute for official Rule
language. States should consider including in the letter the Web site address where their regulatory
language can be accessed.
Slide Presentation
For some CWSs, written communication alone will not result in full comprehension of the CCR 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 CCR 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
www.epa.gov/safewater/dwa/electronic/ccrmodule.html.
Guidance Documents
Guidance documents developed for the CCR Rule are useful for explaining Rule requirements and
specific aspects of Rule implementation to system operators, including monitoring and compliance
determination. The guidance documents can be used as stand-alone references or as supporting materials
in CCR Rule training events. Refer to 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 CWSs, compliance status, and other information needed to implement the CCR Rule. States
using SDWIS/State should see the module incorporated in version 2.2.
3.5 Recordkeeping Requirements for States
Under 40 CFR 142.16(f)(3), each state that has primary enforcement responsibility must maintain a copy
of the report for each water system in the state for a period of 1 year. The state must also keep the
corresponding certifications CWSs are required to send to the state under 40 CFR 141.155(c) for a period
of 5 years. The certifications indicate that a copy of the CCR was distributed or made available (as
appropriate) to customers by the due date; and that the report contained information correct and consistent
with compliance monitoring data previously submitted to the state. Where state rules allow, systems may
be asked to provide additional information on how the CCR was distributed.
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Section 4
State Primacy Revision
Application
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This Page Intentionally Left Blank
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40 CFR Part 142 sets out requirements for states to obtain and/or retain primary enforcement
responsibility (primacy) for the Public Water System Supervision (PWSS) program as authorized by
Section 1413 of the Safe Drinking Water Act (SDWA). The 1996 SDWA Amendments updated the
process for states to obtain and/or retain primacy. On April 28, 1998, EPA promulgated the Primacy Rule
to reflect these statutory changes (63 FR 23361).
4.1 State Primacy Program Revision
Pursuant to 40 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 CCR 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 (refer to 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 CCR Rule
EPA/State Action
CCR promulgated
Rule compliance date
State and Region establish a process and agree upon a schedule for
application review and approval (optional)
State, at its option, submits draft program revision package to Region
including: Preliminary Approval Request, Draft State Regulations
and/or Statutes, Regulation Crosswalk
Regional (and Headquarters if necessary) review of draft
State submits final program revision package to Region including:
Adopted State Regulations
Regulation Crosswalk
40 CFR 142.10 Primacy Update Checklist
40 CFR 142.14 and 40 CFR 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
Time Frame
August 19, 1998
September 18, 1998
October 19, 1998
February 19, 1999
Completed within 90 days of
state submittal of draft
(suggested)
August 21, 20001
August 21 , 20022
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EPA/State Action
Time Frame
EPA final review and determination:
Regional review [program and Office of Regional Counsel
(ORC)]
Headquarters concurrence and waivers [Office of Ground
Water and Drinking Water (OGWDW) and Office of
Enforcement and Compliance Assistance (OECA)]
Public notice
Opportunity for hearing
EPA's determination
Completed within 90 days of
state submittal of final program
revision package
45 days Region
45 days Headquarters(HQ)3
1. EPA suggests submitting an application by May 21, 2000, to ensure timely approval. EPA regulations allow states until
August 21, 2000, for this submittal. An extension of up to 2 years may be requested by the state.
2. EPA suggests submitting an application by May 21, 2002, 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 RequestThe state may submit a draft request for EPA review and tentative determination. The
request should contain drafts of all required primacy application materials (with the exception of a draft
Attorney General's Statement). A draft request should be submitted as soon as practicable; EPA
recommends submitting it within 6 months of Rule promulgation. EPA will make a tentative
determination as to whether the state program meets the applicable requirements. EPA intends to make a
tentative determination within 90 days.
Complete and Final RequestThis submission must be in accordance with 40 CFR 142.12(c)(l) and 40
CFR 142.12(c)(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 May 21, 2000, for the CCR 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.
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. Office of Ground Water and Drinking Water
(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
CCR Rule Implementation Guidance
52
April 2010
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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 Office of Regional Counsel (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.
CCR Rule Implementation Guidance 53 April 2010
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Figure 4-1. Recommended Review Process for State Request for Approval of Program Revisions
State Requestf orExtenaon
40CFR142,12(b)
EPA Promulgates New or
Revise dNPDWR or Regulation
CCR Regulation Pfomiolgsted
StateSubmitsDraftFrim acy
Revision Application to EPA
(optional)
40CFR142.12(ct)(l)(i)
E-PA Review and
Tentative D eterm inaiion
(sug^sted within 90 dajs)
40CFR142,12(d)(l)(ii)
State Subm its C omplete and
Final Primacy Revision
Application to EPA
40CFR142.U(rf)0
EPA Review and Determination
(Within 90 days)
40CPR142.12(cfl(3)
Start
August 1998
May 1999 «m SMonthsLater
-
May 2000 -^1 21 MorithsLater-
August 2000 ^24MonthsLa.tef
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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 CCR Rule and submit a complete and
final primacy revision application by August 21, 2000, 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 CCR 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 they approve the state program
revisions or until the state submits a complete and final revision package if the state qualifies for
interim primacy.
Collecting, storing, and managing laboratory results, public notices, and other compliance and
operation data required by the EPA regulations.
Assisting the Region in the development of the technical aspects of enforcement actions and
conducting informal follow-up on violations (e.g., telephone calls, letters).
Providing technical assistance to PWSs.
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 CCR Rule. Water suppliers are also
encouraged to refer to the CCR Rule guidance materials, reference guide, and factsheets listed in Section
2.
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Example 4-1. Example Extension Request Checklist
(Date?
{Regional Administrator}
Regional Administrator
U.S. EPA Region {Rejnnn}
{Street Address}
{City, State, Zip}
RE: Request/approval for an Extension Agreement
al Administrator}.:
The state of jslatel is requesting an extension to the date that final primacy revisions are due to EPA for the
Consumer Confidence Report (CCR) 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 CCR 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 CCR 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 CCR Rule.
Keep PWSs informed of reporting requirements during development and implementation.
Report CCR 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 (NOVs) for treatment technique and monitoring/ reporting violations of
the CCR 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 CCR 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 CCR 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 CCR 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 Text of the state's Regulations
D Primacy Revision Crosswalk
D State Reporting and Recordkeeping Checklist
D Special Primacy Requirements
D Attorney General's Statement of Enforceability
4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(l)]
This section is a checklist of general primacy requirements, as shown in Table 4-2. In completing this
checklist, the state must identify the program elements that it has revised in response to new federal
requirements. If an element has been revised, the state should indicate a "Yes" answer in the
"Revision to State Program" column and should submit appropriate documentation. For elements
that did not require revision, the state need only list the citation and date of state adoption in the
"Revision to State Program" column. During the application review process, EPA will insert findings and
comments in the final column.
The 1996 SDWA Amendments include new provisions for PWS definition and administrative penalty
authority. States must adopt provisions at least as stringent as these new provisions, now codified at 40
CFR 142.2 and 40 CFR 142.10. Failure to revise these elements can affect primacy for the CCR Rule.
States must have primacy or interim primacy for all existing regulations before they can receive primacy
for this regulation. States may bundle the primacy revision packages for multiple rules. If states choose to
bundle requirements, the Attorney General's Statement should reference all of the rules included.
Table 4-2. State Primacy Revision Checklist
Required Program Elements
40 CFR 142. 10
40 CFR 1 42.10(a)
40CFR142.10(b)(1)
40CFR142.10(b)(2)
40CFR142.10(b)(3)
40CFR142.10(b)(4)
40CFR142.10(b)(5)
40CFR142.10(b)(6)(i)
40CFR142.10(b)(6)(ii)
40CFR142.10(b)(6)(iii)
Primary Enforcement
- Definition of Public Water System*
Regulations No Less Stringent
Maintain Inventory
Sanitary Survey Program
Laboratory Certification Program
Laboratory Capability
Plan Review Program
Authority to apply regulations
Authority to sue in courts of competent
jurisdiction
Right of Entry
Revision to
State Program
EPA
Findings/Comments
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Required Program Elements
40CFR142.10(b)(6)(iv)
40CFR142.10(b)(6)(v)
40CFR142.10(b)(6)(vi)
40CFR
142.10(b)(6)(vii)
40CFR142.10(c)
40CFR142.10(d)
40 CFR 142.10(e)
40CFR142.10(f)
40CFR142.10(g)
Authority to require records
Authority to require public notification
Authority to assess civil and criminal
penalties
Authority to require CWSs to provide
OCRs
Maintenance of Records
Variance/Exemption Conditions (if
applicable)**
Emergency Plans
Administrative Penalty Authority*
Electronic Reporting Regulations***
Revision to
State Program
EPA
Findings/Comments
* New requirement from the 1996 Amendments. Regulations published in the April 28, 1998 Federal Register.
** New regulations published in the August 14, 1998 Federal Register.
* * * New regulations published in the October 13, 2005 Federal Register.
4.3.2 Text of the State's Regulation
Each primacy application package should include the appropriate text of the state's regulations.
4.3.3 Primacy Revision Crosswalk
The Primacy Revision Crosswalk, in Appendix A 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 Reporting and Recordkeeping Checklist [40 CFR 142.14 and 40 CFR
142.15]
The CCR makes no changes to the state recordkeeping requirements and state reporting requirements in
40 CFR 142.14 or 40 CFR 142.15. The CCR did add reporting and recordkeeping requires to 40 CFR
142.16(f). These requirements are discussed in Section 4.4.
4.3.5 Special Primacy Requirements [40 CFR 142.16]
Special primacy conditions pertain to specific regulations where implementation of the Rule involves
activities beyond general primacy provisions. States must include these Rule-distinct provisions in an
application for approval or revision of their program. The Special Primacy Requirements section of the
crosswalk is where the state has the opportunity to describe how it will satisfy these provisions. Section
4.4 provides guidance on how states may choose to meet the Special Primacy Requirements of the CCR
Rule.
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4.3.6 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)]
The complete and final primacy revision application must include an Attorney General's Statement
certifying that the state regulations were duly adopted and are enforceable (unless EPA has waived this
requirement by letter to the state). The Attorney General's Statement should also certify that the state
does not have any audit privilege or immunity laws or, if it has such laws, that these laws do not prevent
the state from meeting the requirements of the SDWA. If a state has submitted this certification with a
previous revision package, then the state should indicate the date of submittal and the Attorney General
need only certify that the status of the audit laws has not changed since the prior submittal. An example of
an Attorney General's Statement is presented in Example 4-2.
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Example 4-2. Example of Attorney General's Statement
Model Language
I hereby certify, pursuant to my authority as (1) and in accordance with the Safe Drinking Water Act as
amended, and (2), that in my opinion the laws of the [State/Commonwealth of (3)1 [or tribal ordinances of
(4)1 to carry out the program set forth in the "Program Description" submitted by the (5) have been duly
adopted and are enforceable. The specific authorities provided are contained in statutes or regulations
that are lawfully adopted at the time this Statement is approved and signed and will be fully effective by
the time the program is approved.
I. For States with No Audit Privilege and/or Immunity Laws
Furthermore, I certify that [State/Commonwealth of (3)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 (3)1 has
enacted statutory revisions and/or issued a clarifying Attorney General's Statement to satisfy
requirements for federally authorized, delegated, or approved environmental programs.
Seal of Office
Signature
Name and Title
Date
(1) State Attorney General or attorney for the 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.
4.3.6.1 Guidance for States on Audit Privilege and/or Immunity Laws
In order for EPA to properly evaluate the state's request for approval, the State Attorney General or
independent legal counsel should certify that the state's environmental audit immunity and/or privilege
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and immunity law does not affect its ability to meet enforcement and information gathering requirements
under SDWA. This certification should be reasonably consistent with the wording of the state audit laws
and should demonstrate how state program approval criteria are satisfied.
EPA will apply the criteria outlined in its "Statement of Principles" memo issued on February 14, 1997,
(www.epa.gov/epaoswer/hazwaste/state/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.
4.4 Guidance for the Special Primacy Requirements of the CCR
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.
4.4.1 Special Primacy Requirement for Adopting 40 CFR 141, Subpart O
40 CFR 142.16(f)(l): Eachstate that has primary enforcement responsibility must adopt the
requirements of 40 CFR part 141, subpart O no later than August 21, 2000. States must
submit revised programs to EPA for approval using the procedures in 40 CFR 142.12(b)
through (d).
This Special Primacy Requirement addresses that when submitting a revised primacy program application
the state's must follow the revised primacy application procedures outline in 40 CFR 142.12(b) through
40 CFR 142.12(d). These procedures address the timeframe in which packages must be submitted, the
content of the application, and EPA's review and approval procedures. This process is described in
Section 4.1 through 4.3 of this guidance.
4.4.2 Special Primacy Requirement for Providing Reports to the Public upon
Request
40 CFR 142.16(f)(2): Each state that has primary enforcement responsibility must make
reports submitted to the states in compliance with 40 CFR 141.155(b) available to the public
upon request.
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This Special Primacy Requirement addresses that all states that receive primacy authority for the CCR
must make copies of the CCRs submitted to the state by the systems available to the public upon request.
4.4.3 Special Primacy Requirement for Recordkeeping
40 CFR 142.16(f)(3): Eachstate that has primary enforcement responsibility must maintain
a copy of the reports for a period of one year and the certifications obtained pursuant to 40
CFR 141.155(b) for a period of 5 years.
This Special Primacy Requirement addresses the recordkeeping requirements for states. States are
required to keep a copy of the CCR submit by the systems for one year and a copy of the certification
submitted for 5 years.
4.4.4 Special Primacy Requirement for Reporting CCR Violations
40 CFR 142.16(f)(4): Each state that has primary enforcement responsibility must report
violations of this subpart in accordance with the requirements of 40 CFR 142.15(a)(l).
This Special Primacy Requirement addresses the reporting requirement for states. States are required to
submit to EPA information on any new CCR violations by systems. Information on system violations can
be found in Section 5 of this guidance.
4.5 Guidance for State Flexibility
The CCR Rule sets baseline standards to ensure that all consumers receive reports that are nationally
consistent and which include the same type and amount of basic information. Where the CCR Rule does
not specify mandatory language or exact provisions, primacy states have discretion. Changes from the
federal requirements in the following areas are allowed but must be spelled out in a state's primacy
revision application.
Governor's Mailing Waiver:
Under 40 CFR 141.155(g), the Governor of a state or their designee can waive the mailing requirement
for CWSs serving fewer than 10,000 persons. The Rule states that a mailing waiver can be granted but
states, in accordance with their laws, have the flexibility to establish criteria for obtaining and renewing a
mailing waiver. For example, a state can choose whether the waiver should be system-specific or apply to
all systems in a given category.
Additional Public Notice:
Under 40 CFR 141.155(d), systems must deliver the report to any other agency or clearinghouse
identified by the state. Examples of other agencies a state may identify include state and local public
health or environment departments, public utility commissions, and consumer advocates.
Alternative Form and Content:
Under 40 CFR 141.151 (e), primacy states may adopt by Rule, after notice and opportunity for public
comment, alternative requirements for the form and content of reports. Only states that have submitted a
complete and final primacy revision application can change form and content. Alternative requirements
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must provide for the same type and amount of information as specified in the federal Rule as well as
provide an equivalent level of public information and education.
MCL Reporting Format
EPA requires that MCLs be reported as a number greater than or equal to one because it believes that the
use of whole numbers makes it easier for consumers to compare the level of a contaminant in the system's
water with the MCL. Focus group research conducted by EPA and the American Water Works
Association (AWWA) has shown that consumers understand whole numbers much more easily than
decimals. Based on the focus group research, EPA does not believe that reporting the MCL in another
format, such as compliance values, provides an equivalent level of public information and education as
specified under 40 CFR 141.151(e) of the Rule.
Although EPA strongly believes the required MCL reporting format presents the information most clearly
and understandably, EPA believes there may be limited conditions under which states can adopt
alternative format requirements for the MCL. Cynthia Dougherty, Director of the Office of Ground Water
and Drinking Water, clarified in a memorandum dated June 29, 1999, what those limited conditions are.
Appendix F of this guidance contains a copy of the June 29, 1999, memorandum.
The memorandum indicates EPA would consider approval of a primacy revision application that allowed
MCL reporting in a format other than numbers greater than or equal to one upon a good faith state effort
showing the state's public favors the proposed reporting format. EPA believes there should be a high bar
for public involvement that should include documented focus group research targeting members of
communities served. Representatives from water systems and other drinking water professionals can be
involved in the research, but they should not be considered the target audience. If the process shows that
consumers find an alternative MCL format easier to understand, EPA would consider approving a state
primacy revision application including that format. States should include their EPA Region and a wide
range of stakeholders in developing any focus group methodology. If a state intends to change the MCL
presentation format, EPA recommends that the state submit a draft primacy revision application
documenting the methodology and the focus group research and explaining the proposed changes.
Report Content
A summary of areas where report content may be changed is given below in Table 4-3.
Table 4-3. Areas of State Flexibility for Content Requirements
Citation
Content Requirements
Primacy States Have the Flexibility to...
40CFR141.153(b)
Source Water
Assessment Information
Determine the level of detail required in the CCR to
summarize the results of a completed source water
assessment, in accordance with state priorities and
protection goals.
40CFR141.153(c)
Definitions: MCL,
MCLG, TT, AL, and
Variances and
Exemptions
Alter the wording of the definitions.
Note: States must provide standard language that
meets the statutory intent of being "brief and plainly
worded."
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Citation
Content Requirements
Primacy States Have the Flexibility to...
40CFR141.153(d)(4)(ix)
Likely Source(s) of
Detected Contaminants
(Appendix A to Subpart
O)
Alter the wording of the language provided for
typical sources in Appendix A to Subpart O of the
Rule.
Note: States must require systems to include
generic information on specific sources where it is
available.
40CFR141.153(d)(6)
40 CFR141.153(f)(3)-
Potential Adverse
Health Effects for
Regulated
Contaminants
(Appendix A to Subpart
O)
Incorporate additional language before or after the
health effects language in Appendix A to Subpart O
of the Rule. The health effects language itself
cannot be altered.
Note: State regulations must require the use of a
standard set of health effects language when a
contaminant exceeds its MCL, TT, or AL. The
language must, at a minimum, list the same health
effects as in Appendix A to Subpart O of the Rule.
40CFR141.153(h)(1)
Explanation of
Contaminants
Reasonably Expected
to be Found in Drinking
Water, including Bottled
Water
Alter the wording of the explanation.
Note: States must require the inclusion of an
explanation of contaminants that may be in drinking
water, including bottled water, and provide
reference to EPA's Safe Drinking Water Hotline
(800-426-4791).
40CFR141.154
40 CFR 141.154(a)
40CFR141.154(b)to(d)
Required Additional
Health Information
Vulnerable Populations
Warning
Educational Statements
for Arsenic, Nitrate, and
Lead
Alter the wording for the educational statements for
arsenic, nitrate, and lead. CWSs may further modify
the educational statements after consultation with
the state. Incorporate additional language before or
after the vulnerable populations warning. The
warning itself cannot be altered.
Note: States must require the inclusion of a warning
to vulnerable populations about the effects of
Cryptosporidium and other microbial contaminants
and information on how populations can protect
themselves by referring to EPA/CDC guidelines.
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Section 5
Violation Determination and
Safe Drinking Water
Information System (SDWIS)
Reporting
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5.1 Violation Determination
This section of the implementation guidance summarizes violations that can be incurred by water systems
under the CCR Rule. There are two types of violations that states must report to the federal data system.
One violation is categorized as major and the other as minor.
Major Violation
CCR Report Violation (failure to produce and/or deliver report).
Minor Violation
CCR Adequacy/Availability/Content Violation.
We do not expect significant numbers of the minor Adequacy/Availability/Content Violation to be
reported to SDWIS for the first CCRs. However, after the first 2 reports, EPA expects states to track and
report on all violations.
A brief summary of the definitions for each violation type and return to compliance under the CCR Rule
are given below. More detailed information on violation and compliance achieved definitions, and
reporting requirements for each violation type can be found on the EPA Web site.
CCR Report Violation: (Major)
A CCR Report Violation occurs when the CWS fails to produce and deliver a copy of the CCR to
the public and to the state by the due date specified in the Rule. The CWS must send a copy of
the first report to the state by October 19, 1999. The state must receive subsequent reports by July
1, each year thereafter.
In circumstances where states find that a system issued a report that is significantly deficient in
content, contains falsified information, or that a system fails to adequately deliver the report,
states should view these inadequacies as significant and report a major CCR Report Violation.
Return to Compliance: Based on direction from the state, the CWS must produce a CCR or revise
the CCR that addresses all deficiencies identified by the state, delivered it and the certification to the
state, and distributed the report in accordance with the regulation.
CCR Adequacy/Availability/Content Violation: (Minor)
A CCR Adequacy/Availability/Content Violation occurs when the CWS fails to include the
required language, content, and/or meet the requirements to make reports available to the public
as specified in the Rule.
Failure to provide certification to the state within 3 months of the CCR due date that the report
contained correct information and was distributed in accordance with the Rule is a minor
Adequacy/Availability/Content Violation.
This type of violation means that the CCR has met some but not all of the requirements for either
report content or distribution.
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Return to Compliance: Based on direction from the state, the system may be required to revise or
redeliver its report.
5.2 SDWIS Reporting Summary
There are two violation names and codes associated with the CCR Rules:
CCR Violation
CCR Report Violation: (Major)
CCR Adequacy/Availability/Content
Violation: (Minor)
SDWIS Code
71
72
Detailed information on SDWIS reporting requirements for each violation type can be found on the EPA
Web site.
5.3 Optional CCR Compliance Checklist
Table 5-1, "CCR Compliance Checklist," is an optional tool that may help CWSs and regulators
determine whether they have satisfied the content and delivery requirements of the Rule. If a CWS can
answer "Yes" to each of these items, then it is most likely that the system's CCR meets content
requirements and the requirements for CCR distribution.
Table 5-1. Optional CCR Compliance Checklist
Task
Completed
Yes
No
Report Delivery and Recordkeeping
Did State Receive:
A copy of the CCR by the delivery date of October 19,1999 for the first CCR
and subsequent reports by July 1 annually thereafter?
Certification by January 19, 2000 for the first CCR and subsequent
certifications by October 1 annually thereafter?
Did the Certification Indicate and the CWS Ensure That:
The CCR was distributed to customers (i.e., CWS mailed or otherwise
directly delivered reports)?
The CCR contained information correct and consistent with compliance
monitoring data previously submitted to state?
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Task
Did the CWS Make the CCR Available by:
Using a "good faith" efforts to reach non-bill paying consumers?
Delivering the CCR to other agencies as prescribed by the state?
Making the CCR available to the public upon request?
Post the CCR on the Internet if serving 1 00,000 or more persons?
For CWSs with Mailing Waivers That Serve 500 or Fewer Persons, Did They:
Publish CCR in at least one local newspaper?
Notify customers that CCR will not be mailed?
Make CCR available to the public upon request?
For CWSs with Mailing Waivers That Serve Fewer than 500 Persons, Did They:
Provide notice to customers at least once during the year that the CCR is
available to the public upon request?
Completed
Yes
No
Note: Systems with mailing waivers must complete the tasks identified within this block in addition to the
other Rule requirements for report delivery, recordkeeping and content.
Content of CCR
Did the CCR Contain:
(1) Required Water System Information?
Telephone number of a contact person.
Information for non-English speaking populations, if appropriate.
Information on public participation opportunities.
(2) Information on Source(s) of Water?
Type, common name, and location of water source(s).
Source water assessment information, if available.
- Notice of availability of completed assessment.
- Information on how customers can obtain assessment.
- A brief summary of the system's susceptibility to potential sources of
contamination.
(3) Definitions For:
MCL and MCLG? (required)
TT, AL, MRDL, MRDLG, Variances and Exemptions? (only if applicable)
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Task
Completed
Yes
No
(4) Reported Levels of Detected Contaminants?
Highest contaminant level used to determine compliance
MCL and MCLG or equivalent
Range of levels found
Description of likely source(s)
Clear indication of any contaminant detected in violation of EPA standard as
well as an explanation of the violation including the length, potential health
effects, and actions take to remedy violation.
(5) Information on Monitoring for Cryptosporidium, Radon, and Other
Contaminants?
(6) Compliance with Other Drinking Water Regulations?
Monitoring and reporting of compliance data.
Recordkeeping of compliance data.
Filtration and disinfection prescribed by Subpart H.
Lead and copper control requirements.
Treatment techniques for acrylamide and epichlorohydrin prescribed by
Subpart K.
Special monitoring requirements for inorganic and organic contaminants and
sodium.
Violation of the terms of a variance, an exemption, or a state or Federal
administrative or judicial order.
For these violations, the report must:
- Contain an explanation of violations, potential health effects, and steps
the CWS has taken to correct the violations.
- Include language from Appendix A to Subpart O of the Rule for violations
of the filtration and disinfection requirements, the lead and copper control
requirements and violations of the acrylamide and epichlorohydrin
requirements.
(7)
Required Information If CWS Is Operating under a Variance or Exemption?
(8) Required Educational Information?
Explanation of the vulnerability of some populations to contaminants in
drinking water:
Some people may be more vulnerable to contaminants in drinking
water than the general population. Immuno-compromised persons
such as persons with cancer undergoing chemotherapy, persons
who have undergone organ transplants, people with HIV/AIDS or
other immune system disorders, some elderly, and infants can be
particularly at risk from infections. These people should seek advice
about drinking water from their health care providers. EPA/Centers
for Disease Control and Prevention (CDC) guidelines on appropriate
means to lessen the risk of infection by Cryptosporidium and other
microbial contaminants are available from the Safe Drinking Water
Hotline (800-426-4791).
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Task
Explanation of contaminants which may be reasonably expected to be found
in drinking water, including bottled water:
Drinking water, including bottled water, may reasonably be expected
to contain at least small amounts of some contaminants. The
presence of contaminants does not necessarily indicate that water
poses a health risk. More information about contaminants and
potential health effects can be obtained by calling the EPA's Safe
Drinking Water Hotline (800-426-4791).
Information on: sources of drinking water, contaminants that may be present
in source water, and EPA/FDA regulations.
40 CFR 141.153(hM1Mi) - Sources of Drinkina Water:
The sources of drinking water (both tap water and bottled water)
include rivers, lakes, streams, ponds, reservoirs, springs, and wells.
As water travels over the surface of the land or through the ground, it
dissolves naturally-occurring minerals and, in some cases,
radioactive material, and can pick up substances resulting from the
presence of animals or from human activity.
40 CFR 141.153(h)(1Xii) - Contaminants That May Be Present in
Source Water:
Microbial Contaminants, such as viruses and bacteria, which may
come from sewage treatment plants, septic systems, agricultural
livestock operations, and wildlife.
Pesticides and Herbicides, which may come from a variety of
sources such as agriculture, urban stormwater runoff, and residential
uses.
Inorganic Contaminants, such as salts and metals, which can be
naturally-occurring or result from urban stormwater runoff, industrial,
or domestic wastewater discharges, oil and gas production, mining,
or farming.
Organic Chemical Contaminants, including synthetic and volatile
organic chemicals, which are by-products of industrial processes and
petroleum production, and can also come from gas stations, urban
stormwater runoff, and septic systems.
Radioactive Contaminants, which can be naturally-occurring or be
the result of oil and gas production and mining activities.
40 CFR 141 .153(hM1Miii) - EPA and FDA Regulations:
In order to ensure that tap water is safe to drink, EPA prescribes
regulations which limit the amount of certain contaminants in water
provided by public water systems. Food and Drug Administration
(FDA) regulations establish limits for contaminants in bottled water
which must provide the same protection for public health.
Completed
Yes
No
CCR Rule Implementation Guidance
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Task
Informational statements on arsenic and nitrate if those contaminants are
detected under conditions prescribed in the Rule and lead:
- Arsenic at levels above 5 ug/l (50% of the MCL), but below the MCL.
- Nitrate at levels above 5 mg/l (50% of the MCL), but below the MCL.
- Lead (always required)
If present, elevated levels of lead can cause serious health problems,
especially for pregnant women and young children. Lead in drinking
water is primarily from materials and components associated with
service lines and home plumbing. [NAME OF UTILITY] is
responsible for providing high quality drinking water, but cannot
control the variety of materials used in plumbing components. When
your water has been sitting for several hours, you can minimize the
potential for lead exposure by flushing your tap for 30 seconds to 2
minutes before using water for drinking or cooking. If you are
concerned about lead in your water, you may wish to have your
water tested. Information on lead in drinking water, testing methods,
and steps you can take to minimize exposure is available from the
Safe Drinkins Water Hotline or at www.epa.sov/safewater/lead.
Completed
Yes
No
CCR Rule Implementation Guidance
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Section 6
Consumer Confidence Report
Examples
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This Page Intentionally Left Blank
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The following section provides examples of CCRs for three rules:
GWR
Stage 2 DBPR
LT2ESWTR
These examples address the CCR requirements for systems that are required to report information in their
CCR pertaining to these rules including detected contaminant data and/or violations. Some of the
examples have been updated from the examples provided in the each rule implementation guidance to
incorporate EPA's current thinking on an effective way to present this information. In the examples
provided, language in italics is required by 40 CFR Appendix A to Subpart O of the Rule.
EPA has developed CCRiWriter to help CWSs quickly create their CCRs. The CCRiWriter is a web-
based program and requires internet access to use. The Web site address for the CCRiWriter is
www.ccriwriter.com. A direct link can also be accessed from EPA's Web site at
www.epa.gov/safewater/ccr/tools.html.
6.1 CCR Examples for the Ground Water Rule
This section provides CCR excerpts that satisfy notification requirements of the GWR. The following
scenarios are addressed:
Scenario 1: A Source Water Sample is Positive for a Fecal Indicator.
Scenario 2: A System Fails to Take Corrective Action Following a Significant Deficiency.
Scenario 3: A System Fails to Maintain at Least 4-log Treatment of Viruses.
Scenario 4: A System Fails to Collect a Source Water Sample.
CCR Rule Implementation Guidance 77 April 2010
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Scenario 1: A Source Water Sample is Positive for a Fecal Indicator
System Description - System A
System A is a community GWS serving 1,500 people. The system has two wells in use year-round and
does not provide 4-log treatment of viruses before or at the first customer.
Situation
On April 2, 2010, the system collects its two routine monthly TCR samples for April. The system is
notified by the laboratory on the afternoon of April 4 that one of its routine samples is total coliform-
positive. On the morning of April 5, the system collects samples from both wells and delivers the samples
to the laboratory for analysis. The analysis shows that one of the two source water samples is positive for
E. coli.
CCR Requirements
A CWS must include the fecal indicator-positive result in the detected contaminant table in the CCR due
by July 1, 2011. Special notice is also required and the system must include: the source of the fecal
contamination, if known; the date of the positive sample; if the fecal contamination has been addressed, or
if it has not been addressed, the state-approved plan and schedule for correction including interim
measures, progress to date, and any interim measures completed; and the potential health effects. Example
6-1 fulfills the CCR requirements for this scenario.
Note: In the example below, the system would have also been required to report their total coliform-
positive sample in their report. That result is not shown in this example.
CCR Rule Implementation Guidance 78 April 2010
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Example 6-1. Example of Detected Contaminant Table and Special Notice in the CCR for Source
Water Fecal Contamination
Water Quality Data
Contaminant
E. coli (at the
ground water
source)*
MCL
0
MCLG
0
Your
Water
1 Positive
Sample
Range
ND-1
Sample
Year
2010
Violation
No
Typical
Sources
Human or
animal
fecal
waste
*System A detected E. coli in their source water sample; the sample was collected in response to a total coliform-positive
routine sample collected on April 2, 2010. More information about this situation is provided in the Situation section.
Situation
On April 4, 2010, we were informed that one of our routine total coliform samples collected on April
2, 2010, was total coliform-positive. As required by the Ground Water Rule, we collected samples
from both of our sources, Wells 1 and 2 on April 5, 2010, and had them analyzed for fecal
contamination. The sample for Well 1 tested positive for E. coli.
Health Effects: Fecal coliforms andE. coli are bacteria whose presence indicates that the water
may be contaminated with human or animal wastes. Microbes in these wastes can cause short-term
effects, such as diarrhea, cramps, nausea, headaches, or other symptoms. They may pose a special
health risk for infants, young children, some of the elderly, and people with severely compromised
immune systems.
In response, we immediately discontinued use of Well 1 and sent notices to all of our customers
within 24 hours. We carefully considered our options and developed a plan with the State
Department of Public Health to extend the well's casing higher above the ground, replace the well
cap, and install treatment (chlorination). As we stated in the most recent update on this issue,
treatment was installed on June 1, 2010. Well 1 was placed back in service at that time.
Note: If the system had sampled for (and found) enterococci or coliphage as their fecal indicator, the table
would read as shown in the example below.
Contaminant
Enterococci (at the
ground water
source)*
Coliphage (at the
ground water
source)*
MCL
TT
TT
MCLG
NA
NA
Your
Water
1 positive
sample
1 positive
sample
Range
ND-1
ND-1
Sample
Year
2010
2010
Violation
No
No
Source
Human or
animal fecal
waste
Human or
animal fecal
waste
* Special notice required text and health effects language would be provided in the CCR - possibly in a
footnote to the table as shown in the example above.
CCR Rule Implementation Guidance
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Scenario 2: A System Fails to Take Corrective Action Following a Significant Deficiency
System Description - System B
System B is a community GWS serving 1,500 people. The system has one well in use year-round and
does not provide 4-log treatment of viruses before or at the first customer.
Situation
During a sanitary survey on June 1, 2013, the state identifies a significant deficiencythe system
operator's certification has lapsed. The system is notified of the deficiency in a letter from the state on
June 10, 2013. The state directs System B to take immediate corrective action by bringing on a new,
certified operator or having the current operator take all necessary steps to renew certification as soon as
possible. The system is told it must complete corrective action within 120 days of receiving written
notification from the state of the significant deficiency, or by October 8, 2013. By October 8th, the
system's operator has still not been recertified and the system has not hired a new certified operator. The
system is notified of its violation on November 15, 2013, for failure to take corrective action within 120
days of receiving written notice. System B finally hires a certified operator on December 20, 2013.
CCR Requirements
Treatment technique violations must be included in a system's CCR with an explanation of the violation,
the length of the violation, the potential adverse health effects, and the steps taken to correct the violation.
In this scenario, since the system corrected the significant deficiency before the end of the calendar year,
the system is not required to provide special notice regarding this deficiency in the CCR. However, the
state can still require special notice even if the significant deficiency is corrected. In this scenario the state
does not require special notice.
EPA recommends that systems include this type of violation in a table following the main detected
contaminant table. This format is shown in Example 6-2.
CCR Rule Implementation Guidance 80 April 2010
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Example 6-2. Example of a Notice in the CCR for Failure to Take Corrective Action
TT Violation
Corrective
action for a
significant
deficiency
Explanation
During a Sanitary Survey on
June 1, 2013, we were
notified by the State
Department of Health that
our system required a
properly certified operator.
We were required to
recertify our operator or hire
a new, properly certified
operator within 120 days.
We did not do this within the
required timeframe.
Length
2 months
Steps Taken
to Correct
the Violation
We hired a
properly
certified
operator in
December
2013.
Health Effects
Language
Inadequately treated
or inadequately
protected water may
contain disease-
causing organisms.
These organisms can
cause symptoms
such as diarrhea
nausea, cramps, and
associated
headaches
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Scenario 3: A System Fails to Maintain at Least 4-log Treatment of Viruses
System Description - System C
System C is a community GWS serving 8,500 people. The system has two wells in use year-round. In
2010, System C installed chlorine treatment at both wells as a corrective action to address a significant
deficiency identified by the state. System C also began compliance monitoring at that time.
Situation
During a sanitary survey on January 10, 2011, the state determines that due to a malfunctioning chlorine
pump, the system has not been providing 4-log treatment of viruses at one of its wells for at least 2 weeks.
The problem is identified during the sanitary survey and the system is officially notified of its failure to
consistently provide 4-log treatment in a letter from the state on February 1, 2011. The state also directs
System C to take corrective action to restore 4-log treatment as soon as possible.
CCR Requirements
Treatment technique violations must be included in a system's CCR with an explanation of the violation,
the length of the violation, the potential adverse health effects, and the steps taken to correct the violation.
EPA recommends that systems include this type of treatment technique violation in a table following the
main detected contaminant table. This format is shown in Example 6-3.
CCR Rule Implementation Guidance 82 April 2010
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Example 6-3. Example of a Notice in the CCR for Failure to Maintain at Least 4-Log Treatment of
Viruses
TT Violation
Failed to
maintain 4-log
treatment of
viruses
Explanation
On January 10,
201 1 state
inspection of our
water system
identified a
malfunctioning
chlorine pump. As a
result, the water
from one of our
wells (Well 1) was
not adequately
disinfected for 2
weeks
Length
2 Weeks
Steps Taken to Correct
the Violation
As directed by the
Department of Public
Health, we took immediate
action to resolve this
problem by repairing the
malfunctioning chlorine
pump. Regular testing
since the pump was
repaired has demonstrated
that we are once again
providing water that meets
the State's standards for
disinfection to our
customers.
Health Effects
Language
Inadequately
treated or
inadequately
protected water
may contain
disease-causing
organisms. These
organisms can
cause symptoms
such as diarrhea,
nausea, cramps,
and associated
headaches.
CCR Rule Implementation Guidance
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Scenario 4: A System Fails to Collect a Source Water Sample
System Description - System D
System D is a community GWS serving 10,000 people. The system has four wells in use year-round and
does not provide 4-log treatment of viruses before or at the first customer.
Situation
On December 15, 2011, the system is notified by the laboratory that one of its routine monthly total
coliform samples is total coliform-positive. The system collects three repeat samples as required under the
TCR, but does not collect any source water samples. On January 2, 2012, the state notifies the system that
it is in violation of the GWR requirements. On January 4, 2012, System D collects samples from all four
wells to have them tested for fecal indicators. None of the samples tested positive for fecal indicators.
CCR Requirements
Since System D is a CWS, it could use the CCR to meet the Tier 3 public notification requirements for
this violation if the CCR is released within 1 year of the system's learning of the violations. For this
particular example, the system became aware of the monitoring and reporting (M&R) violation on
January 2, 2012, but the violation occurred in December 2011. Therefore public notification requirements
can also be met since the public will be informed of the violation in the CCR produced for calendar year
2011.
Example 6-4 illustrates how this M&R violation can be reported in the CCR to meet both the CCR and
PN Rule requirements.
CCR Rule Implementation Guidance 84 April 2010
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Example 6-4. Example of a Notice in the CCR for Failure to Collect Source Water Sample(s)
Following a Routine Total Coliform-Positive Distribution System Sample Result
Violation
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 December 2011, we did not complete all required monitoring or did not test
according to required methods for fecal indicators and, therefore, cannot be sure of the quality
of our drinking water during that time.
On December 15, 2011, we were informed by our laboratory that one of our routine
bacteriological samples for December tested positive for total coliform. We were required to
collect follow-up samples within 24 hours of learning of the total coliform-positive sample.
Follow-up samples needed to be tested for fecal indicators from all sources that were active at
the time the total coliform-positive sample was collected. We failed to collect the follow-up
sample within 24 hours.
On January 4, 2012, source water samples were collected for fecal indicators. All samples were
negative for fecal indicators.
CCR Rule Implementation Guidance 85 April 2010
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6.2 CCR Examples for Stage 2 DBPR
This section provides CCR excerpts that satisfy notification requirements of the Stage 2 DBPR. The
following scenarios are addressed:
Scenario 5: TTHM MCL Violation.
Scenario 6: LRAA and Compliance Calculations for TTHM and HAAS M&R Violations.
Scenario 7: Bromate M&R Violation.
CCR Rule Implementation Guidance 86 April 2010
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Scenario 5: TTHMMCL Violation
System Description - System E
System E is a small Subpart H system that uses two large ground water wells determined to be under the
direct influence of surface water. The system treats the water from each well with bag and cartridge
filtration and by disinfection with chlorine on a full-time basis. The system utilizes two
filtration/disinfection treatment plants known as WTP 1 and WTP 2.
Population Served:
Source #1:
Treatment:
Source #2:
Treatment:
8,200
Well 1
Filtration, chlorine
Well 2
Filtration, chlorine
This system was required to comply with the TTHM and F£AA5 RAA requirement under the Stage 1
DBPR but is now required to comply with the LRAA requirement on Schedule 4 under Stage 2 DBPR.
System E conducted E. coli monitoring under the LT2ESWTR and was able to avoid Cryptosporidium
monitoring, so it must begin complying with Stage 2 DBPR by October 1, 2013. Note that for compliance
with Stage 2 DBPR, System E is required to collect two dual sample sets per quarter at representative
high TTHM and HAAS sites.
The operator takes the dual samples during times when the disinfection systems are operating under
normal conditions and collects the samples at the locations and according to the schedule specified in the
provisions of the system's Compliance Monitoring Plan.
Situation
Table 6- 1 summarizes the Stage 2 DBPR TTHM monitoring results for four quarters at two sites
beginning January 1, 2014. System E's operator collects their scheduled set of two TTHM samples (at
locations defined in the Compliance Monitoring Plan) each quarter. The operator enters the values on the
TTHM monitoring forms and calculates a quarterly arithmetic average concentration for each sampling
location.
Table 6- 1. System E 2014 TTHM Monitoring Results
Total Trihalomethane
Monitoring Results (in ppb)
Site 1 Quarterly Results
Site 1-LRAA*
Site 2 Quarterly Results
Site 2- LRAA*
January 2014
50
59
40
42
April 2014
67
62
55
49
July 2014
149
82
113
71
October 201 4
46
78
60
67
*Reported LRAA for quarters 1-3 are based on results from previous quarters not reported on this table.
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CCR Requirements
System E has completed a full year of monitoring under Stage 2 DBPR and must use this data to compute
LRAAs at each location. (After this time, the system will compute LRAAs each quarter.) The operator
sums quarterly TTHM results and divides by 4 to determine LRAA compliance with the Stage 2 DBPR
MCL of 0.08 mg/L (MCL in CCR units: 80 ppb). The TTHM result for location 1 is 149 ppb which
causes the LRAA to be above the MCL at 82 ppb; therefore, the operator must report an MCL violation in
the CCR.
MCL violations must be listed in the main detected contaminant table and include an explanation of the
violation, the length of the violation, the potential adverse health effects, and actions taken by the system
to address the violation (see Example 6-5).
CCR Rule Implementation Guidance 88 April 2010
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Example 6-5. Example of a Notice in the CCR for TTHM MCL Violation
Water Quality Data
Contaminant
TTHMs [Total
trihalomethanes]
(ppb) (LRAA)
Site 1
TTHMs [Total
trihalomethanes]
(ppb) (LRAA)
Site 2
MCL
80
80
MCLG
NA
NA
Your
Water
82
(highest
LRAA)
71
Range
46-149
40-113
Sample
Year
2014
2014
Violation
Yes*
No
Source
By-product
of drinking
water
disinfection
By-product
of drinking
water
disinfection
*System E exceeded the MCL for TTHMs in October. The system's locational running annual average
(LRAA) for Site 1 was 82 ppb. More information about this violation is provided in the violation section.
Violation
Testing results from 3rd quarter sampling (October 2014) shows that our system exceeds
the standard, or maximum contaminant level (MCL), for total trihalomethanes (TTHMs).
The standard for TTHMs is 80 ppb averaged at an individual monitoring location over the
year. In October 2014, our TTHM level at Site 1 was 82 ppb. TTHMs, which are four
volatile organic chemicals, form when disinfectants react with natural organic matter in
the water. We are working to minimize the formation of TTHMs while ensuring an
adequate level of disinfection to protect customers from exposure to bacteria.
We have since taken samples at this location and throughout the system and had them
tested. They show that we meet the standards.
Some people who drink water containing trihalomethanes in excess of the MCL over
many years may experience problems with their liver, kidneys, or central nervous systems,
and may have an increased risk of getting cancer.
CCR Rule Implementation Guidance
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April 2010
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Scenario 6: LRAA and Compliance Calculations for TTHM and HAAS M&R Violations
System Description - System F
System F is a small Subpart H system serving 8,900 people. They are on Schedule 4 and the requirements
of Stage 2 DBPR are applicable on or before October 1, 2014, because System F is required to monitor
for Cryptosporidium under the LT2ESWTR.
The system uses surface water treated at a conventional filtration plant. The system uses chlorine as a
chemical disinfectant applied at one location and must monitor TTHM and FIAA5 according to the
requirements of 40 CFR 141.621(a). Under the Stage 2 DBPR, samples must be taken in the distribution
system at a frequency of two dual sample sets every 90 days. One quarterly set must be taken during the
peak historical month for DBF concentrations. All monitoring must take place at the locations
recommended to the primacy agency in the IDSE Report submitted under 40 CFR 141.600 through 40
CFR 141.605.
Population Served: 8,900
Source: Surface water
Treatment: Conventional filtration, chlorine
Situation
Table 6-2 presents a summary of System F's TTHM and HAAS monitoring results.
Table 6-2. System F 2014 TTHM and HAAS Monitoring Results (mg/L)
Parameter
TTHM
MCL =
0.080 mg/L
HAAS
MCL =
0.060 mg/L
Sitel
Site 2
Site 1
Site 2
Parameter
TTHM
MCL =
0.080 mg/L
HAAS
MCL =
0.060 mg/L
Site 1
Site 2
Sitel
Site 2
2014
JUL
AUG
SEPT
OCT
0.068
0.072
0.042
0.040
NOV
DEC
2015
JUL
NS
NS
NS
NS
AUG
SEPT
OCT
NOV
DEC
2015
JAN
0.070
0.070
0.055
0.060
FEB
MAR
APR
0.070
0.068
0.038
0.046
MAY
JUN
2016
JAN
FEB
MAR
APR
MAY
JUN
LRAA
0.069
0.070
0.045
0.049
NS=No sample taken
LRAA=Locational running annual average
CCR Rule Implementation Guidance
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In August 2015, System F reviews the data for the first year of compliance monitoring for the Stage 2
DBPR. However, System F did not complete the necessary monitoring of TTHM and F£AA5 in the fourth
quarter, July 2015. The system did resume monitoring in the next quarter.
System F's sampling record shows a major M&R violation in 2015 resulting from a failure to take the
required samples. In this case, when only two samples per quarter are required, the failure to sample for
one quarter is a major M&R violation and must be reported to SDWIS for both TTHM and HAA5.
CCR Requirements
Since System F is a CWS, it could use the CCR to meet the Tier 3 public notice requirements for this
violation if the CCR is released within 1 year of the system's learning of the violation. For this particular
example, the system became aware of the monitoring violation on August 15, 2015. Therefore, public
notification requirements can be met if the CCR produced for calendar year 2015 is released prior to July
1, 2016 (the CCR for calendar year 2015 is required to be released by July 1, 2016, for compliance with
the CCR Rule). In this situation, additional public notification would not be required. However, whether
public notification is provided by the CCR for calendar year 2015 or by other means, this violation would
still have to be reported by the system in the CCR produced for calendar year 2015, since all violations of
National Primary Drinking Water Rules must be reported in the CCR for the calendar year in which the
violation occurred.
Example 6-6 illustrates how this M&R violation can be reported in the CCR to meet both CCR and PN
Rule requirements.
CCR Rule Implementation Guidance 91 April 2010
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Example 6-6. Example of a Notice in the CCR for LRAA and Compliance Calculations for TTHM
and HAAS M&R Violations
Violation
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 July 2015, we did not complete all required monitoring or did not
test according to required methods for total trihalomethanes (TTHMs) and haloacetic acids
(HAAS) and, therefore, cannot be sure of the quality of our drinking water during that time.
Our system is required to take samples for TTHMs and HAASs every quarter. TTHMs and
HAASs are a group of chemicals that are formed when chlorine or other disinfectants used to
control microbial contaminants in drinking water react with naturally occurring organic and
inorganic matter in water. As stated above, we did not collect our quarterly samples in July
2015. However, using the data we did collect over the past year, we are not in violation of the
standard for either TTHMs (80 ppb) or HAASs (60 ppb).
To resolve this issue, we have set-up new procedures at the system to ensure all samples are
collected and analyzed according to our monitoring plan. We resumed collecting samples in
October 2015.
CCR Rule Implementation Guidance 92 April 2010
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Scenario 7: Brornate M&R Violation
System Description - System G
System G is a small Subpart H CWS that serves 4,700 people. They have one surface water source, and
treat with a direct filtration plant that uses both ozone and chlorine as disinfectants. Because they use
ozone, under the Stage 1 DBPR, System G was required to monitor for bromate at the entrance to the
distribution system from their plant. The routine monitoring frequency was monthly, but the system was
able to qualify for reduced monitoring of quarterly sampling because their monthly source water bromide
RAA levels were less than 0.05 mg/1.
Population Served: 4,700
Source: Surface water
Treatment: Softening plant, ozone, chlorine
After March 31, 2009, if System G wants to continue reduced monitoring for bromate, they must qualify
using the new criteria under the Stage 2 DBPR. To meet the new criteria for reduced monitoring, System
G needs to conduct monthly monitor for bromate for 1 year using Method 317.0 Revision 2.0, 326.0, or
321.8. Note that systems cannot use Method 300.1 to qualify for reduced monitoring.
Situation
In April 2009, System G discontinues its bromide sampling and begins sampling monthly for bromate
using one of the new sampling methods. By March 2010, System G has a full year of monthly samples,
and their RAA is 0.0015. This is below 0.0025 mg/L so the system now qualifies for reduced bromate
sampling. In the second quarter of 2010, the system begins quarterly monitoring. However, in December
2010, their Bromate RAA is 0.0060 mg/L which exceeds 0.0025 mg/1. The system should have resumed
monthly monitoring at that point.
On April 12, 2011, the state sent System G a letter indicating that their records showed that the system
had failed to resume routine monitoring. System G began routine monitoring that month.
Table 6-3 summarizes System G's bromate monitoring results.
CCR Rule Implementation Guidance 93 April 2010
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Table 6-3. System G Bromate and Bromide Monitoring Results (mg/L)
2008
2009
2010
2011
2012
Bromide
Bromate
Bromide
Bromate
Bromide
Bromate
Bromate
Bromate
JAN
0.0020
NS
0.0010
FEB
0.0020
NS
0.0010
MAR
0.004
0.01
0.0010
0.0010
0.0010
0.0020
APR
0.0020
0.0020
0.0022
MAY
0.0015
0.0025
JUN
0.003
0.0016
0.0020
0.0018
JUL
0.0010
0.0010
0.0010
AUG
0.0020
0.0023
SEPT
0.002
0.0010
0.0025
0.0026
OCT
0.0005
0.0024
0.0020
NOV
0.0010
0.0020
DEC
0.002
0.0025
0.0060
Note: RAAs are calculated on a quarterly basis for Bromide and Monthly for Bromate. RAA = Running Annual
Arithmetic Average
NS = No samples taken
System G is not eligible for a reduction in monitoring frequency after the month of December 2010
because the bromate RAA (0.0030 mg/L) is greater than 0.0025 mg/L for the four most recent quarters.
Beginning in January 2011, System G is required to begin monitoring monthly for bromate. Since System
G did not collect another bromate sample until March 2011, System G is in violation of the M&R
requirement.
CCR Requirements
All violations of National Primary Drinking Water Rules must be reported in the CCR for the calendar
year in which the system incurred the violation.
Example 6-7 illustrates how this M&R violation can be reported in the CCR.
CCR Rule Implementation Guidance
94
April 2010
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Example 6-7. Example of a Notice in the CCR for Bromate M&R Violation
Violation
Since we use ozone as a disinfectant, our system monitors for bromate. Bromate is a chemical
that is formed when a system uses ozone to disinfect drinking water and it reacts with
naturally occurring bromide in source water.
Our system qualified to reduce the number of samples required to monitor for bromate in
March 2010. We were allowed to take 1 sample per quarter rather than 1 sample per month. In
December 2010, the running annual average exceeded 0.0025 mg/L and we no longer
qualified for reduced quarterly bromate monitoring. Beginning in January 2011, we failed to
begin monitoring monthly for bromate. Therefore, we cannot be sure of the quality of the
water during that time.
We began monitoring monthly for bromate in April 2011 and will continue to monitor on this
schedule until reduced monitoring is again appropriate.
CCR Rule Implementation Guidance 95 April 2010
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6.3 CCR Examples for LT2ESWTR
This section provides CCR excerpts that satisfy notification requirements of the LT2ESWTR. The
following scenarios are addressed:
Scenario 8: Failure to Take Action on Uncovered Finished Water Reservoir.
Scenario 9: Failure to Notify the State before Making a Significant Change in Disinfection
Practice.
Scenario 10: Failure to Provide or Install an Additional Level of Treatment.
Scenario 11: Failure to Monitor for Cryptosporidium for Any Three Months.
Scenario 12: Failure to Submit a Source Water Monitoring Schedule 3 Months Prior to Date
System is Required to Begin Monitoring.
Scenario 13: Failure to Collect Samples in Accordance with Sampling Schedule.
Scenario 14: Failure to Sample at an Appropriate Location.
CCR Rule Implementation Guidance 96 April 2010
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Scenario 8: Failure to Take Action on Uncovered Finished Water Reservoir
System Description - System I
System I is a Subpart H system serving 12,000 people. The system has five finished water reservoirs, two
of which are uncovered.
Situation
On April 1, 2008, System I submits plans to the state detailing how and when it plans to cover its two
uncovered finished water reservoirs. Systems are required to have a cover or treatment in place for all
uncovered finished water reservoirs by April 1, 2009, or on a schedule approved by the state. However,
System I does not cover its finished water reservoirs until January 27, 2010, returning to compliance with
the LT2ESWTR one year after the schedule submitted to the state.
System I incurred a treatment technique violation as a result of the system's failure to have both of its
uncovered finished water reservoirs covered by April 1, 2009. The system could have chosen to either
cover the reservoir or treat the discharge from its uncovered finished water reservoirs to achieve
inactivation and/or removal of 4.0-log virus, 3.0-log Giardia lamblia, and 2.0-log Cryptosporidium by the
April 1, 2009, compliance date. System I also could have asked the state to approve an alternative
schedule. However, since System I failed to implement any of the above options with regard to its
finished water reservoirs before the April 1, 2009, deadline, the system is in violation of the LT2ESWTR.
CCR Requirements
Treatment technique violations must be included in a system's CCR with an explanation of the violation,
the length of the violation, the potential adverse health effects, and steps taken to correct the violation.
EPA recommends that systems include this type of treatment technique violation in a table following the
main detected contaminant table. This format is shown in Example 6-8.
CCR Rule Implementation Guidance 97 April 2010
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Example 6-8. Example of a Notice in the CCR for Failure to Take Action on Uncovered Finished
Water Reservoir
TT Violation
Uncovered and
untreated
finished water
reservoirs
Explanation
Two of our finished
water reservoirs were
not covered and the
discharge was not
treated. We were
required to address
this situation by April
1,2009.
Length
9 months
Steps Taken to
Correct the
Violation
The system began
a project to install
covers on the
reservoirs in May
2009. The project
was completed on
January 27, 2010.
Health Effects
Inadequately protected
or inadequately treated
water may contain
disease causing
organisms. These
organisms can cause
symptoms such as
diarrhea.
Note: Because there is no standard health effects language
system could write language specific to the violation. The
of what might be included.
provided for this treatment technique, the
health effects language provided is an example
CCR Rule Implementation Guidance
98
April 2010
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Scenario 9: Failure to Notify the State before Making a Significant Change in Disinfection Practice
System Description - System J
System J is a large Subpart H system serving 109,000 people. It currently uses a conventional filtration
treatment plant as defined in 40 CFR 141.2 and chlorinates its water at the entry to the presedimentation
basin and after the filtration process. System J created a disinfection profile under 40 CFR 141.708.
Situation
On January 1, 2010, System J modifies its disinfection process by eliminating the presedimentation basin
chlorine application point and increasing the post-filtration chlorine dose. The PWS developed a
disinfection profile that contains all the elements described in 40 CFR 141.708(a)(l) through 40 CFR
141.708(a)(3), however, the system did not submit the plan to the state before making the change. System
J submitted the plan to the state on March 1, 2010.
Although System J appropriately prepared the necessary significant disinfection practice modification
plan, it did not notify the state prior to changing disinfection practices. System J has incurred an M&R
violation as a result of the system's failure to notify the state prior to making a significant change to its
treatment process.
CCR Requirements
All violations of National Primary Drinking Water Rules must be reported in the CCR for the calendar
year in which the system incurred the violation.
Example 6-9 illustrates how this M&R violation can be reported in the CCR.
CCR Rule Implementation Guidance 99 April 2010
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Example 6-9. Example of a Notice in the CCR for Failure to Notify the State before Making a
Significant Change in Disinfection Practice
Violation
On January 1, 2010, we stopped adding chlorine to the early stages of our treatment process
and increased the amount of chlorine we add before the water is distributed to consumers. We
prepared a plan with specific information on the proposed changes, including a description of
the proposed changes, specific disinfection records, and an analysis of how the proposed
change would affect the levels of disinfection in our system. However we did not submit a
copy of the plan to the state before making the changes.
A change to our disinfection practices without state approval did not adversely impact our
water quality and we continue to meet all treatment requirements.
We submitted our plan to the state on March 1, 2010. The state approved the changes to the
disinfection process on April 1, 2010, at which time the violation was resolved.
CCR Rule Implementation Guidance 100 April 2010
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Scenario 10: Failure to Provide or Install an Additional Level of Treatment
System Description - System K
System K is a small Subpart H system using surface water and serving 7,500 people. It currently uses a
conventional filtration treatment plant as defined in 40 CFR 141.2 and uses chlorine as its primary
disinfectant.
Situation
System K, which monitors for Cryptosporidium under LT2ESWTR, meets its source water monitoring
requirements since it begins 24 months of monthly source water monitoring by April 1, 2010. System K
finishes this monthly monitoring for its initial round of source water monitoring by April 1, 2012. The
system determines that its Cryptosporidium bin concentration is 0.9 oocysts/L, which results in a bin
classification of 2. System K therefore needs to provide an additional 1.0-log of Cryptosporidium
treatment by October 1, 2014, or be in compliance with a state-approved alternative schedule. System K
chooses to install UV disinfection to achieve the necessary treatment credits. Since UV will meet Giardia
and Cryptosporidium requirements, System K may be able to decrease the amount of chlorine currently
used. The system is required to submit its plans to the state for approval. After receiving approval of its
plan from the state, System K proceeds with the installation. However, the installation is not completed
until April 1, 2015, and the system did not obtain an extension.
System K has incurred a treatment technique violation. The system was required to provide an additional
level of treatment to address Cryptosporidium by October 1, 2014. This system did not meet this deadline
and did not obtain an extension.
CCR Requirements
Treatment technique violations must be included in a system's annual CCR with an explanation of the
violation, the length of the violation, the potential adverse health effects, and steps taken to correct the
violation.
EPA recommends that systems include this type of treatment technique violation in a table following the
main detected contaminant table. This format is shown in Example 6-10.
CCR Rule Implementation Guidance 101 April 2010
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Example 6-10. Example of a Notice in the CCR for Failure to Provide or Install an Additional Level
of Treatment
TT Violation
Treatment not
installed by
required date
Explanation
We were required to
install and have
treatment operating
to provide additional
Cryptosporidium
removal by October
1,2014. We did not
meet this deadline.
Length
6 months
Steps Taken to
Correct the
Violation
Installation of the
U.V. disinfection
system was
completed on April
1,2015.
Health Effects
Inadequately protected
or inadequately treated
water may contain
disease causing
organisms. These
organisms can cause
symptoms such as
diarrhea.
Note: Because there is no standard health effects language provided for this treatment technique, the
system could write language specific to the violation. The health effects language provided is an example
of what might be included.
CCR Rule Implementation Guidance
102
April 2010
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Scenario 11: Failure to Monitor for Cryptosporidium for Any Three Months
System Description - System L
System L is a small Subpart H system serving 3,000 people that uses a small lake as a source. Small
systems that provide filtration or are required to provide filtration must initially conduct 1 year of
bi-weekly sampling (one sample every 2 weeks) for E. coll, beginning October 1, 2008. These systems
are triggered into Cryptosporidium monitoring only if the initial E. coli monitoring indicates a mean
concentration greater than 10 E. coli/'100 mL for systems using a reservoir or lake as their primary source.
The small systems that exceed these E. coli trigger values must either monitor for Cryptosporidium
twice-per-month for 1 year, or at least monthly for 2 years beginning April 1, 2010.
Situation
System L begins conducting E. coli monitoring on October 1, 2008. After 1 year of monitoring, System L
determines that its annual mean E. coli concentration is 31 E. coli/lQQ mL. Based on the annual mean
concentration of E. coli determined by the initial source water monitoring (31 E. coli/100 mL is greater
than 10 E. coli/lQQ mL), System L is required to begin source water monitoring for Cryptosporidium at
least monthly for 2 years no later than April 1, 2010.
Three months laps and System L does not conduct any further source water monitoring and does not
intend to install additional treatment or implement another toolbox option to achieve 5.5-log of treatment
for Cryptosporidium. Therefore, System L has incurred a M&R violation for failure to conduct
Cryptosporidium monitoring for any three months.
CCR Requirements
All violations of National Primary Drinking Water Rules must be reported in the CCR for the calendar
year in which the system incurred the violation.
Example 6-11 illustrates how this M&R violation can be reported in the CCR.
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Example 6-11. Example of a Notice in the CCR for Failure to Monitor for Cryptosporidium for Any
Three Months
Violation
Our water system recently failed to conduct additional source water monitoring as required.
We were required to begin source water monitoring for Cryptosporidium at least once each
month for 2 years no later than April 1, 2010. We did not begin collecting the required source
water samples for Cryptosporidium until August 2, 2010. Therefore, we cannot be sure of the
quality of the water during that time.
CCR Rule Implementation Guidance 104 April 2010
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Scenario 12: Failure to Submit a Source Water Monitoring Schedule 3 Months Prior to Date System is
Required to Begin Monitoring
System Description - System M
System M is an unfiltered Subpart H system serving 2,500 people that meets all the criteria for avoiding
filtration found in 40 CFR 141.71.
Situation
System M submits a sampling schedule to the state for the initial round of source water monitoring
January 1,2010, however, it forgets about the second round of source water monitoring that is required
and does not submit a sampling schedule. On March 1, 2019, one month before System M is required to
begin the second round of source water monitoring, a neighboring water system reminds System M that it
is required to conduct a second round of source water monitoring.
System M has incurred a M&R violation for failing to submit a sampling schedule to the state for the
second round of source water monitoring before January 1, 2019 (i.e., 3 months before the second round
of source water monitoring), even if it conducts the required monitoring and reported the results to the
state.
System M resolves the violation by developing a sampling schedule and submitting it the state on March
10, 2019. The system fulfills its source water M&R requirements in accordance with the schedule in 40
CFR141.701(c).
CCR Requirements
All violations of National Primary Drinking Water Rules must be reported in the CCR for the calendar
year in which the system incurred the violation.
Example 6-12 illustrates how this M&R violation can be reported in the CCR.
CCR Rule Implementation Guidance 105 April 2010
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Example 6-12. Example of a Notice in the CCR for Failure to Submit a Source Water Monitoring
Schedule 3 Months Prior to Date System is Required to Begin Monitoring
Violation
We were required to submit a source water monitoring schedule by January 1, 2019, three
months before the date we were required to begin source water monitoring (April 1, 2019).
We failed to do this.
On March 10, 2019, we developed a sampling schedule and submitted it to the State
Department of Public Health. This issue has now been resolved.
CCR Rule Implementation Guidance 106 April 2010
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Scenario 13: Failure to Collect Samples in Accordance with Sampling Schedule
System Description - System N
System N is a small filtered Subpart H system serving 9,000 people.
Situation
System N has two qualified operators. While System N is conducting its required source water monitoring
for E. coli, the operator that usually collects the bi-weekly E. coll sample goes on vacation for 1 month.
System N's other operator decides to wait until his/her colleague returns to work to continue the required
source water monitoring instead of collecting the samples themselves. Therefore, System N does not
collect samples for the month of December 2008.
System N has incurred a M&R violation for failing to sample within 2 days before, or 2 days after the
scheduled dates. The LT2ESWTR allows systems that face "extreme conditions," situations "that may
pose danger to the sampler," "unforeseen" situations, or situations that "cannot be avoided" to sample as
close to the scheduled date as is feasible and to submit an explanation for the alternative sampling date
with the analytical results. A vacationing operator does not satisfy any of these scenarios.
CCR Requirements
All violations of National Primary Drinking Water Rules must be reported in the CCR for the calendar
year in which the system incurred the violation.
Example 6-13 illustrates how this M&R violation can be reported in the CCR.
CCR Rule Implementation Guidance 107 April 2010
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Example 6-13. Example of a Notice in the CCR for Failure to Collect Samples in Accordance with
Sampling Schedule
Violation
Our system is required to collect bi-weekly source water samples for E. coll. We failed to
collect two source water samples in December 2008 in accordance with our sampling
schedule. Therefore, we cannot be sure of the quality of the water during that time.
In January 2009, we negotiated with the state a schedule for sampling in December 2009.
These samples were collected as required and no additional treatment needs are necessary for
our system.
CCR Rule Implementation Guidance 108 April 2010
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Scenario 14: Failure to Sample at an Appropriate Location
System Description - System O
System O is a large Subpart H system serving 15,000 people. System O uses bank filtration to meet the
source water filtration requirement of 40 CFR 141.173(b). The water body adjacent to the collector well
is a large river.
Situation
On April 1, 2008, System O begins to conduct monthly monitoring for Cryptosporidium. System O
collects its first two samples from the well, after bank filtration. The system source water monitoring plan
indicated it would collect samples from the river.
System O has incurred a M&R violation. Systems using bank filtration as an alternative filtration to meet
the Giardia lamblia and virus inactivation and Cryptosporidium removal requirements of 40 CFR
141.173(b) or 40 CFR 141.552(a) must take surface water samples prior to bank filtration. Only unfiltered
Ground Water Under Direct Influence of Surface Water (GWUDI) systems meeting the filtration
avoidance criteria in 40 CFR 141.71 and bank filtered systems that receive no treatment credit for bank
filtration can collect samples from the well (after bank filtration).
The state identifies the sample location error and directs the system to begin sampling from the adjacent
river, beginning June 1, 2008. The state further directs the system to collect source water samples for
April and May of 2010 (at the end of the 2-year monitoring period) to ensure representative samples are
obtained for each calendar month for 2 years.
CCR Requirements
All violations of National Primary Drinking Water Rules must be reported in the CCR for the calendar
year in which the system incurred the violation.
Example 6-14 illustrates how this M&R violation can be reported in the CCR.
CCR Rule Implementation Guidance 109 April 2010
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Example 6-14. Example of a Notice in the CCR for Failure to Sample at an Appropriate Location
Violation
Our system uses bank filtration to meet the Giardia lamblia and virus inactivation and
Cryptosporidium removal requirements and must take surface water samples. On April 1,
2008, we began to conduct monitoring for Cryptosporidium, however, the first two samples
collected were collected at the wrong location in the system.
On May 10, 2008, we determined the samples were collected at the wrong location. The
sampling location has been corrected and the samples will now be collected at the appropriate
location. The situation is now resolved. This issue had no affect on the treatment system or the
quality of the water we provide.
CCR Rule Implementation Guidance 110 April 2010
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