UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
MEMORANDUM
SUBJECT: Transmittal of the Final Handbook for State Program Revisions Under the New
Primacy Regulation
FROM: Michael B. Cook, Director
Office of Drinking Water
TO: Water Management Division Directors
Regions I - X
Attached is the final version of the handbook entitled, "Handbook For EPA Review of
State Program Revisions Under New Primacy Regulations For the PWSS Program. The
handbook supports implementation of the new primacy regulations for all future State program
revisions, starting with the surface water treatment and the total coliform rules promulgated June
29, 1989.
The handbook describes the: extension process; Attorney Generals statement; procedures
for updating EPA reviews of primacy revisions; withdrawal process; use of crosswalks and
checklists; and the way the two-step review process will work. While some of this material may
be familiar to you after having worked through the VOCs/PN revision process, some procedural
changes have been made that should make the revision process more efficient. This handbook
will help alleviate some of the procedural problems that we encountered during the VOCs/PN
revision process.
The comments we received from your staff and the other regions on this handbook were
very useful in helping us produce a better, more supportive document. With a few exceptions,
most comments were incorporated in the final product.
A consistent theme among the regions was the desire for a reduction in ODWs
involvement in the primacy application revision process. While we must maintain a strong role, I
agree that ODWs role can be reduced. ODW will continue to conduct one detailed State review
in each region for each regulation. However, we will no longer ask the regions to send ODW all
of the documentation for the non-detailed reviews that was required for the VOCs/PN reviews.
Headquarters will maintain the right to conduct additional State reviews in the event that we feel
it is necessary.
For the non-detailed reviews, ODW will no longer request copies of the crosswalk,
checklist, or regulations. Instead, ODW and OE (formally OECM) will waive concurrence on all
non-detailed reviews in one memo for each region, after completion of the detailed review in that
region. OGC has stated that they will continue to concur on the ORC's concurrence (after ORCs
full review). ODW will work out a procedure with OGC to have OGC-s-memo sent directly to
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
the region. For the non-detailed review process, ODW will only become involved with OGC if
the regions are having a problem communicating with them.
A second item of importance to the regions concerned the problems associated with
getting the ORC's to review the primacy revision packages. We are currently working with OGC
on this issue, stressing the need for increased cooperation from the ORC-s-in completing their
reviews expeditiously.
A timely review is critically important, particularly in light of the 90 day review
requirement found in Section 142.12(a)(l). The regulation allows EPA 90 days to review the
revision package once the region considers a submission to be complete. The region is to notify
the State when a revision package submission is considered complete. After the 90 day review
period, the region is required to notify the State in writing of EPA's decision to approve or
disapprove the submission, with an explanation given if the package is not approved. This
notification is mandatory.
A third issue which you should be aware of concerns the role of headquarters in the
extension process. Regions will be responsible for deciding when and under what conditions
States will receive extensions. The systems must be meeting the requirements of the Federal
regulation by the eighteenth month, and either the State or the region must be operating the
supervision program during the extension period.
Headquarters will advise the regions on specific extension applications, upon request, on
a State-by-State basis. Headquarters is currently working on a delegation agreement which will
allow the Regional Administrator to sign off on all delegation agreements on behalf of the
Administrator.
If you have any questions please call me at FTS 382-5543 or have your staff call Jamie
Bourne. He can be reached on FTS 382-5557.
Attachment
cc. P. Cook
ODW Division Directors
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
HANDBOOK FOR EPA REVIEW OF
STATE PROGRAM REVISIONS
UNDER NEW PRIMACY REGULATIONS
FOR THE PWSS PROGRAM
'FINAL
JUNE 1990 ,
U.S. Environmental Protection Agency
Office of Drinking Water
(202)-382-5522
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
HANDBOOK FOR EPA REVIEW OF PROGRAM REVISIONS
UNDER NEW PRIMACY REGULATIONS
TABLE OF CONTENTS
SECTION
PAGE
PART 1 INTRODUCTION
PART 2 THE APPROVED PRIMACY PROGRAM
PART 3 CONTENTS OF PROGRAM REVISION REQUEST'S
PART 4 THE PROGRAM REVISION PROCESS
PART 5 THE EXTENSION PROCESS
PART 6 THE ANNUAL PROGRAM PLANNING AND
REVIEW PROCESS
PART 7 THE PROGRAM WITHDRAWAL PROCESS
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2-1
3-1
4-1
5-1
6-1
7-1
APPENDICES
A. Checklist of Program Elements
B. Primacy Revision Crosswalk-Sample Format
C. Model of Attorney General's Statement
D. Public Notice
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
LIST OF TABLES AND FIGURES
TABLE PAGE
Table 1.1- Summary and Status of EPA Regulatory Actions Under the SDWA
Amendments Enacted June 19, 1986 1-1
Figure 1.1 - Review Process of State Request for Approval of Program Revision
1-3
Table 1.2 - Summary of-Changes to Program Revisions Process 1-5
Table 2.1- The Approved Primacy Program 2-2
Table 4.1- Timetable for Requests for Approval 4-3
Figure 4.1 - Public Notice Process and Schedule 4-7
Figure 5.1 - The Extension Process 5-2
Table 5.1 - Circumstances Supporting Extension Requests 5-3
Figure 5.2 - Extension Request Checklist 5-5
Table 7.1 - Overview of Primacy Withdrawal Process in 40 CFR 142.17(a)(2),
(3), and (4) 7-2
NOTICE: This document provides EPA's guidance on the Agency's review of State program
revisions under the Public Water Supply Program. The guidance does not establish or affect
legal rights or obligations. It does not establish a binding norm and is not finally deterministic of
the issues addressed. Agency decisions in any particular case will be made applying the law and
regulations on the basis of specific facts and actual actions.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PART 1 - INTRODUCTION
THIS GUIDANCE WILL AID REGIONAL
IMPLEMENTATION OF NEW
PRIMACY REVISION PROCESS
On November 30,1989, the EPA Administrator promulgated revised State primacy regulations under
Subpart B, Part 142, formally establishing for the first time the requirements and procedures States
must follow to request EPA approval of program revisions to approved State primacy programs. The
revised regulations appeared in the Federal Register on December 20, 1989, at 54 FR 52126. This
document provides guidance to the Regions on implementing the new program revision process.
Currently, all but two States, the District of Columbia, and the Indian lands have primacy for the
Public Water System Supervision (PWSS) program. The 1986 Safe Drinking Water Act (SDWA)
amendments greatly increased the scope and content of the PWSS program. States will have to
adopt all new and revised EPA regulations to retain primacy.
The amendments require EPA to promulgate standards for 83 drinking water contaminants by 1989,
25 more by 1991, and 25 additional contaminants every three years thereafter. EPA also must
specify criteria under which filtration is required as a treatment technique for public water systems
that use surface water and to require disinfection for all systems. Public notification requirements
had to be modified, too. Table 1.1 lists the new requirements and the promulgation schedule, which
is driven by the 1986 amendments. States will have 18 months from the date the regulation is
promulgated to submit a final request for approval of their revised primacy program.
TABLE 1.1 - SUMMARY AND STATUS OF EPA REGULATORY ACTIONS
UNDER THE SDWA AMENDMENTS ENACTED JUNE 19, 1986
Requirement Citation
Final Actions to Date
Volatile Organic Compounds 52 FR 25690, July 8, 1987
Public Notification 52 FR 41534, October 28, 1987
Filtration and Disinfection of Surface Water 54 FR 27486, June 29,1989
Total Coliforms 54 FR 27544, June 19, 1989
Proposed Actions to Date
Lead/Copper 54 FR 31516, August 28,1988
Inorganics/Synthetic Organics (38 compounds) 54 FR 22062, May 22, 1989
Additional Contaminants to be Regulated
Radionuclides
Additional Inorganics/Synthetic Organics (25 contaminants)
Disinfection for Groundwater/Disinfection By-products 1st
Additional 25 Contaminants in 1991
Additional NPDWRS in 1994 and Every Three Years Thereafter
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
A NEW REGULATORY PROCESS
HAS BEEN ESTABLISHED
The new 142.12 establishes regulatory requirements, application procedures and decision process
for State program revisions. Figure 1.1 presents a diagram of the process and the associated timing
of various aspects of the process. In essence, when EPA promulgates a new or revised National
Primary Drinking Water Regulation (NPDWR), States must review their current primacy program,
and determine which program elements need to be revised. States must revise regulations or other
program components by adopting regulations that are at least as stringent as the federally specified
requirements, and submit a request to EPA for approval of the revised primacy program
( 142.12(a)). This request must be submitted within 18 months after promulgation of new or revised
regulations unless the State requests and the Region approves an extension of up to two years
( 142.12(b)). Extensions will be approved if the State meets certain criteria and agrees to abide by
conditions negotiated as part of the extension. Extension criteria and conditions are explained in Part
5 of this guidance.
The State request must include documentation needed to update the approved primacy program and
identification of elements that have not changed ( 142.12(c)). Specifically, States must submit a
checklist showing what, program elements are updated by the request, a crosswalk comparing the
new EPA requirements to the State version (the side-by-side comparison), materials that respond to
any special primacy requirements under 142.16, and an Attorney General statement certifying the
legality and enforceability of the State regulations (the AG's statement is not needed until the
complete and final request is submitted). These materials are described in more detail in Part 3 of
this guidance.
EPA's review process is specified in 142.12(d). A two-step process, described in Part 4 of the
guidance, is allowed by the regulation and encouraged by EPA to help States respond to the
requirements by providing an early review and tentative determination in response to the State's
preliminary request, followed by an expedited review of the final request. State regulations and
program materials may be in draft form for the preliminary review, while complete and final
materials are required for the final request. EPA's tentative determination on the preliminary request
will include comments or suggestions for the State's use in developing its final request.
EPA is to act on the State's final request for approval of a program revision within 90 days. EPA's
determination of primacy status is subject to public notice and hearing procedures specified in
"142.13.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
CHANGES TO THE CURRENT PROGRAM
REVISION PROCESS ARE FAR-REACHING
The revised primacy rule establishes the timing, process, and contents of the State request for
approval of all program revisions to adopt new and revised NPDWRS. The revised primacy rule
requirements do not apply to the public notification regulations, promulgated on October 28, 1987,
nor to the VOCs regulations, promulgated on July 8, 1987, since these regulations were in effect
before the revised primacy requirements were promulgated. However, a State has the option to apply
this rule to VOCs and PN if they choose to do so. The new requirements are to be followed for the
Surface Water Treatment Rule and Total Coliform Rule, as well as all future NPDWRS.
The changes to the current program revision process mandated by the new primacy regulation are
summarized in Table 1.2.
The basic primacy requirements in the original regulation were left unchanged, except for two
modifications: 1) States must agree to report new violations and State enforcement actions to EPA
on a quarterly, rather than annual, basis; and 2) for States with variances, the regulation requires the
State to adopt the Administrator's determination of best available technology (BAT) in the State
variance requirements (a third modification, very minor, describes the State emergency plan
requirement can be met for groundwater sources through the State wellhead protection program's
contingency plan. These new requirements apply to State program revisions and to. States applying
for initial primacy).
The preamble to the revised rule also reaffirms the Region's authority to request States to submit
materials on a one-time basis to build a complete and updated file of the approved primacy program.
These materials serve as the baseline "agreement" with the State before reviewing program revisions.
CONTENTS OF THE GUIDANCE
The remainder of the guidance is divided into six parts, outlining each major component of the
program revision process. The guidance includes a variety of checklists and other aids for managing
the primacy review process. These checklists are included in the text where appropriate and others
are provided in an appendix for ease in copying them for day-to-day use.
The guidance has been prepared in a loose-leaf-notebook format so that it can be updated easily to
reflect the changes necessary for each new program requirement. Updates will be provided as
appropriate.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
TABLE 1.2 - SUMMARY OF CHANGES TO
PROGRAM REVISION PROCESS
Full Primacy States must adopt all new and revised EPA NPDWR's within 18 months of
and promulgation to retain primacy, unless EPA grants an extension, not to
Deadlines. exceed two years, for cause. States that exceed the 18-month deadline
without an approved extension are subject to initiation of primacy
withdrawal procedures.
Extension The new regulation requires the State to request EPA approval of an
Process. extension before the 18-month period passes, based on extension criteria in
the regulation. The State must agree to meet certain conditions during the
extension period to be eligible for the extension.
Update to the The new regulation defines for the first time the ~ approved primacy
Approved programT%t the time the program revision is requested. States must submit
Primacy materials sufficient to update the approved primacy program with their
Program. request for EPA approval of each program revision and otherwise keep
EPA informed of changes to the approved program.
Crosswalk The new regulation specifies that the States submit a side-by-side
and demonstration with each State request for program revision that the State
Checklist. meets all EPA primacy requirements under 142.10, including that the
State regulations are ~no less stringent.A completed checklist of the
elements of the approved primacy program and crosswalk of each federal
NPDWR to theState regulations must be submitted with each State request.
Attorney The new regulation requires an Attorney General's statement with the
General complete and final State request, certifying that the State statutes and
Certification. regulations for the program revision are legally adopted and enforceable.
Two-Step The new regulation allows States, at their option to submit a Review
Process for preliminary requests containing draft materials. This optional first step is
EPA Review. intended to raise and resolve issues early in the process. The EPA final
determination is based on the complete and final request and is subject to
public notice and hearing (upon request).
Special The new regulation incorporates by reference the primacy requirements and
Primacy special State reporting under the individual NPDWRS. These special
Program primacy requirements must be met for EPA approval of the program
Requirements revision.
and Reports.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PART 2 -THE APPROVED PRIMACY PROGRAM
Section 142.10 defines the requirements States must meet to obtain or retain primacy. These
requirements are based on the five statutory requirements, as stated under Section 1413 of the
SDWA:
Adoption of State regulations that are no less stringent than federal requirements
Adoption and implementation of enforcement procedures
Recordkeeping and reporting
Variances and exemptions
Planning for provision of safe water in emergencies
Section 142.10 includes 15 requirements within the five statutory categories. Section 142.11(a)
defines the materials States were required to submit with their initial application for primacy. The
142.1 l(a) materials comprise the "approved primacy program."
Although States do not have to reapply for primacy when program revisions are needed, before the
Region can begin reviewing revised State primacy programs, the current approved primacy prgram
materials must be complete and readily available. Table 2. 1 lists those program program materials
as they relate to the 1 42. 1 0 requirements.
The approved primacy program defines the "contract" between the primacy State and EPA. Regions
will need to review and update their files on approved State primacy programs to define the baseline
from which program reviews will be made. This can be accomplished with the State through the
annual review process ( 1 42 . 1 7) or through the request for approval of program revisions, whichever
comes first. Once the file has been updated, future program revision material can refer to this
baseline.
Note: For States and Indian Tribes applying for primacy after the new primacy regulation is in
effect, the application must include:
An A-G statement that certifies that the laws and regulations adopted by the State or
tribal ordinances to carry out the program were duly adopted and are enforceable
A checklist and crosswalk demonstrating adequate authority to meet the requirements
of 142. 10 [ 142.11(a)];and
Compliance with special primacy requirements defined for each new and revised
NPDWR.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
TABLE 2.1 - THE APPROVED PRIMACY PROGRAM
Requirement §142.10
Materials Needed to Fulfill Requirement
For Initial Primacy Approval [§142.11 (a)]
2
3
Adoption of Regulations No Less Stringent
Adoption of drinking water regulations which are no less stringent
than the national primary drinking water regulations (NPDWRs) in
effect. [40 CFR 142.10(a)]
Maintenance of an inventory of public water systems. [40 CFR
Systematic program for conducting sanitary surveys of public water
systems in the State, with priority given to sanitary surveys of public
water systems not in compliance with State drinking water
regulations. [40 CFR 142.10(b)(2)]
Establish and maintain a State program to certify laboratories
conducting analytical measurements of contaminants identified in
State primary drinking water regulations. Designate a laboratory
officer or officers certified by the Administrator that are responsible
for the State's certification program. [CFR 142.10(b)(3)]
Assurance of the availability of certified State laboratory facilities
capable of performing analytical measurements of all contaminants
specified in the State's primary drinking water regulations. [40 CFR
142.10(b)(4)]
Establish and maintain activities to assure that the design and
construction of new or substantially modified public water system
facilities will be capable of compliance with the State primary
drinking water regulations. [CFR 142.10(b)(5)]
The text of the State primary drinking water regulations with reference to
those program elements that vary from comparable federal regulations set
forth in Part 142 and a demonstration that any different_State regulation is at
least as stringent as the comparable EPA regulations. [ 142.11(a)(l)]
A description of the State program to maintain current inventories of PWSs.
[ 142.1 l(a)(2)(i)] Note waivers in 142.11(a)(3)(i) and (ii).
A description of the State program to conduct sanitary surveys and system
for setting priorities. [ 142.11(a)(2)(ii)]
A description of the State-s-certification program for analytical laboratories
and listing of certified responsible officers. [142.1 l(a)(2)(iii)]
Identification of certified laboratory facilities and a statement of availability
to perform required analyses. [ 142.1 l(a)(2)(v)]
Description of State program activity to assure that design and construction
of new or substantially modified PWS facilities will be capable of
compliance with State requirements. [ 142.1 l(a)(2)(v)]
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Enforcement Procedures
Has adequate authority to apply State primary drinking water
regulations to all public water systems in the State covered by
NPDWRs. [40 CFR 142.10(b)(6)(i)]
Copies of statues and regulations that provide for the regulation of all PW
within the State and enforcement of State regulations, demonstrating
adequate authority. [ 142.11(a)(2)(vi)]
10
11
12
13
TABLE 2.1 (CONTINUED)
Has adequate authority to sue in courts of competent jurisdiction to
enjoin any threatened or continuing violation of State regulations.
[40 CFR 142.10(b)(6)(ii)]
Right to enter and inspect public water systems, including the right to
take water samples, whether or not the State has evidence that the
system is in violation of an applicable legal requirement. [40 CFR
Authority to require suppliers of water to keep appropriate records
and make appropriate reports to the State. [40 CFR 142.10(b)(6)(iv)]
Authority to require public water systems to give public notice that is
no less stringent than EPA requirements in §142.32 and 142.16(a).
[40 CFR 142.10(b)(6)(v)]
Authority to assess civil or criminal penalties for violation of the
State's primary drinking water regulations and public notification
requirements, including the authority to assess daily penalties or
multiple penalties when a violation continues. [40 CFR
142.10(b)(6)(vi)]
Description of State procedures for judicial action with respect to
noncomplying PWSs. [ 142.11(a)(2)(vii)]
Copies of State statutes and regulations that provide for enforcement of
S_tate regulations, showing the State-s-authority to enter and inspect PWSs.
[ 142.1 l(a)(2)(vi)]
Copies of State statutes and regulations that provide for enforcement of
S_tate regulations, showing the State-s-authority to require reporting.
[ 142.1 l(a)(2)(vi)]
Copies of State statutes and regulations that provide for enforcement of
State public notice regulations. [ 142.1 l(a)(2)(vi)]
Copies of State statutes and regulations that provide for enforcement of
State regulations and a brief description of State procedures for
administrative or judicial actions against PWSs not in compliance with
current regulations. { 142.11 (a)(2)(vi)]
Recordkeeping and Reporting
Has established and will maintain recordkeeping of its activities
under paragraph §142.10(a), (b) and (d) in compliance with §142.10
and 142.15. [40 CFR 142.10(c)]
A statement that the State _will comply with reporting and recordkeeping
requirements specified in 142.14 and 142.15. [ 142.1 l(a)(3)]
Variances and Exemptions
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
14 If it permits variances or exemptions, or both, from the requirements The text of statutes and regulations that apply a
of the State primary drinking water regulations, it shall do so under are no less stringent than Section 1415 and 141
conditions and in a manner no less stringent than the requirements [ 142.1 l(a)(4)]
under sections 1415 and 1416 of the Act. [40 CFR 142.10(d)]
Emergency Planning
15 Has adopted and can implement an adequate plan for the provision A brief description of the State plan to provide s
of safe drinking water under emergency circumstances. {40 CFR emergency conditions. Note that the contingency
142.10(e)] S_tate-s-wellhead protection program can be usec
PART 3 - CONTENT OF STATE PROGRAM REVISION REQUESTS
SPECIFIC MATERIALS MUST BE SUBMITTED
Section 142.12(c) of the final rule addresses the contents of a state's request for approval for changes to the
approved primacy program.
The states are not being asked to 'reapply' for primacy, but rather to update their program to conform with new
federal requirements. States must submit updated documentation for each program element of the approved
primacy program that is affected by the revision. The text of the final rule specifies that the request for approval
shall include (among other things) ~the documentation necessary to update the approved state primacy pro gram,
with identification of those elements of the approved primacy program that have not changed because of program
revision (40 CFR 142-1 l(c)(l)(i)). The dowmentation must include:
A checklist identifying which program elements have and have not been affected by the revision;
A side-by-side comparison or crosswalk of state and federal authorities;
Additional materials required by each specific EPA regulation under 142.16.
For the final request for EPA approval of the program revision, an Attorney General (AG)
statement certifying that the state's laws and regulations have been adopted and are enforceable.
These materials are discussed in the sections that follow.
The Checklist is a Table of Contents
for the State Request
A simple checklist, provided in Appendix A, should be used by the state to indicate the program elements that
are and are not changed in response to the revised federal regulation. In addition to the 15 program elements
specified by 142.10, the checklist includes the additional items that will be part of the state submission: the
response to any special primacy requirements under 142.16 and the Attorney General's statement (for final
requests only).
For each item indicated as "applicable" on the checklist, appropriate materials must be provided. Such materials
will include the text of state statutes and regulations that have been revised and descriptions and appropriate
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
documentation of revised program elements. See Table 2.1 for an outline of the program elements and supporting
materials in the approved primacy program subject to revision.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Crosswalk Compares Federal and State Requirements
Part of the documentation required by 142.12(c) is a comparison of federal requirements and state authorities.
The comparison should cite statutes, regulations, and judicial decisions as appropriate to demonstrate that the state
s authority is adequate to meet the requirements of the primacy program elements ( 142.10).
Sample charts provided in Appendix B can be used as a basis for the required comparison. The crosswalk forms
(first page only) include general primacy requirements (40 CFR 141), recordkeeping and reporting ( 142.14 and
142.15), and special primacy requirements (i!42.16). For each new or revised NPDWR, Headquarters will
develop a form outlining the federal requirements to aid the states in completing this requirement. Each form lists
the federal requirements and citation and provides space for the state citation and comments or reference to
supporting materials or explanation.
Recordkeeping and Reporting and Special
Primacy Requirements Must be Met
New recordkeeping and reporting requirements have been specified by 142.14 and 142.15. These new
requirements may result in state program revisions to meet the conditions of new or revised NPDWRs.
Appropriate documentation will be needed and should be indicated an the crosswalk form (see Appendix B).
Section 142.16 will include requirements specific to each NPDWR or other program revision. Specific guidance
will be provided on what needs to be included in the State primacy program revision process as each new
regulation is developed and promulgated. A sample crosswalk form for special primacy requirements is included
in Appendix B.
The Attorney General's Statement
Certifies Enforceability
In addition to the checklist and crosswalk, 40 CFR 142.12(c)(iii) specifies that a complete and final state request
must include a statement by the state Attorney General (or the attorney for the state primacy agency if it has
independent legal counsel as defined in 142.12(c)(iii)) certifying that the laws and regulations of the state
promulgated to adopt the specific NPDWR were duly adopted and are enforceable to carry out the requirements
of the cited NPDWR. The independent counsel must be able to represent the agency in court. The Region may
require further involvement by the Attorney General where necessary to resolve primacy issues. Any required
supplemental statement must address all issues concerning adequacy of state authorities identified in EPA's
review. Program revision requests will require an Attorney General's statement unless specifically waived by the
Administrator on a rule-by-rule basis.
The Attorney General statement is required to secure the opinion of the official charged by the State with
enforcing the laws of the State. The Attorney General statement is a central part of a State's final request for
approval of revisions to the approved primacy program. EPA will rely on the certification by the Attorney
General that there are no legal barriers to State enforcement of the new State regulations as reviewed by EPA.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
EPA does not require any specific format for the Attorney General's statement; however, a model Attorney
General statement is provided in Appendix C.
Preliminary requests for approval of program revisions need not include an Attorney General's statement;
however, these requests must include all other materials outlined above in draft form.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PART 4 - THE PROGRAM REVISION PROCESS
NEW AND REVISED NPDWRS WILL
REQUIRE REVISION OF STATE PROGRAMS
Section 142.12(d) of the final rule details the process that EPA and the States must undertake for State adoption
of new and revised NPDWRS.
The Section 142-12 process for States to request EPA approval of State program revisions applies only to State
revisions that adopt new or revised EPA regulations. It does not apply where a State initiates a change in its
primacy program unrelated to an EPA regulatory change.
A TWO-STEP PROCESS IS PREFERRED (but is not required)
The approval of State program revisions is recommended to be a two-step process culminating in a complete and
final submission within 18 months after promulgation of new or revised EPA, regulations. See Figure-2.1 for
a diagram of the two-step process and the timing of State submittal and EPA review. These steps as described
inll42.12(d)(l)and(2)are:
Submission of a preliminary request to EPA for review by the Region (Optional). At the State's
option, the State may submit, a preliminary request for EPA review and tentative determination.
The request should contain a draft of all materials required by 142.12(c)(i) to demonstrate
compliance with federal standards, except that a draft AG's statement need not be submitted. EPA
will make a tentative determination of whether the State primacy program application meets
applicable requirements.
Submission of a complete and final request for approval. In accordance with 142.12(c)(l) and
(2), this submission must be complete and final, and must include the Attorney General's
statement. The State also must include the State's response, to the review comments and/or
program deficiencies identified in the tentative determination (if a preliminary request was
submitted). EPA will approve or disapprove the State primacy program.
The contents of a request for approval of program revisions are discussed in Part 3 of this guidance.
The State and the Region should agree to a process and schedule for completing the requirements for primacy as
soon as possible after promulgation of each new or revised NPDWR ideally within three months. The Agreement
should address questions such as: Will the late submit a preliminary request for approval?; What is it likely to
contain?; If no preliminary request is planned, what steps will the State take to ensure that its final request will
be adequate and approvable?; and when will the final application be submitted?
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
States should be encouraged to share draft materials with EPA on a regular basis prior to the initiation of a formal
preliminary request to determine what materials may be deficient or lacking.
Table 4.1 illustrates the timing of State and EPA actions and responsibilities during the review process. The
Region and each State should develop a schedule for the program revision process within three months of the
promulgation of each NPDWR.
States should be made aware that submission of only a final request for approval puts the State at considerable
risk that issues, could arise at the time of final application review that could jeopardize primacy. Issues raised
after State regulations are final, for example, could make it more difficult for States to make the necessary
changes within the allowed timeframe. EPA believes that the two-step process will lessen potential timing
conflicts in enacting State statutes and regulations and reduce the possibility of noncompliance or a protracted
extension period. The final regulation allows 18 months for States to submit their final applications specifically
to give States and the Agency enough time to engage in a two-step process.
Headquarters Review of State Program Revisions
Within Headquarters, the Office of Drinking Water (ODW), the Office of General Counsel (OGC), and the Office
of Enforcement (OE) all will be involved in the review process.
ODW will select the first full preliminary package received by each region, unless adopted by regulation, for
detailed review in Headquarters. For the program selected for detailed Headquarters review, the Region will need
to provide a complete State package, including all regulations and program description material. ODW and OE
will normally waive concurrence on all remaining State programs, although they will retain the option to review
additional State programs should it become necessary.
OGC will depend on their Regional Counsel (ORC) to conduct the detailed reviews to ensure enforcement
compliance, and then concur on the ORCs review.
OE will conduct one detailed review (the same State that ODW selects) in each Region for each regulation. After
completion of this review, OE will waive concurrence on all other States in that region.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
TABLE 4.1
SUGGESTED TIMETABLE FOR REQUESTS FOR APPROVAL
Event Event Time Total Time
Promulgation of new or revised NPDWR or regulations 0 0
Regions notify States that rule was promulgated; establish process 3 mo. 3 mo.
and schedule for Region/State review and approval
States and Regions agree on plan for State application and timeline 2 mo. 5 mo.
Step 1 (optional)
State submits preliminary request 4 mo. 9 mo.
EPA Review Regional 60 days 11 mo.
Headquarters 30 days 12 mo.
Region notifies State of tentative determination 90 days 12 mo.
Step!
State submits complete and final request 6 mo. 18*mo.
EPA Review** Regional 60 days 20 mo.
Headquarters 30 days 21 mo.
Region notifies State of Determination, issues public notice, and 90 days* 21 mo.
conducts hearing process
Region publishes final determination 21 mo.
* Deadline cited in regulations
** This review will be comprehensive if no preliminary request was submitted (HQ will review one State
in each Region)
Note: Extensions before the complete and final review may be requested during the process, but States should
allow adequate time for the Region to review and grant an extension within the 18 month deadline. See part 5
of this handbook.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Step 1: Preliminary Request Allows
Early Identification of Issues
The preliminary request is designed to initiate dialogue between the State and the Region and provide an
opportunity for the Region to perform an initial evaluation of the revisions to State primacy programs. The initial
review is intended to help ensure that problems or necessary changes to a proposed program revision are
identified early in the process when adjustments should be relatively easy to make, rather than after State
regulations are final.
The preliminary request should be submitted by the nine-month point. Although it should be as complete as
possible, at a minimum it should contain the State's proposed regulations and a draft of the checklist and
crosswalk. See Part 3 for a discussion of the contents of a State request for approval of program revisions. EPA
should, although it is not required, review the preliminary State request within 90 days and provide the State with
its tentative determination, including comments. The State can then use this information in preparing its final
application by the 18-month deadline.
Requests submitted to the EPA Regional Offices should be reviewed by the Regional program office and the
Office of the Regional Counsel (ORC) concurrently. The ORC should review the crosswalk and determine the
statutory enforcement capabilities and regulatory mechanisms for ensuring compliance with the State primacy
program. The Division Director will then review the request and supporting materials to make a tentative
determination. For the States that ODW will review in detail, the Region should forward the State request for
primacy to ODW as soon as possible, but certainly within 60 days. All information submitted must indicate
clearly the status of the State revisions (final draft, final or enacted) and whether the Region has provided
comments to the State.
The Region should submit the following information for dissemination to Headquarters reviewers:
The Region's draft determination letter, including the draft ORC concurrences;
Completed checklist requirements;
Completed crosswalk forms; and
Detailed discussion and relevant background documents regarding maj or issues (if any) that arose
during the Regional preliminary review, as well as any other information on the State primacy
program that may be of potential significance to national policy.
Upon completion of EPA's initial review, the Region (Water Division Director) should notify the State of the
Agency's tentative determination. EPA's tentative determination will include a list of changes or additions that
the State should complete before submitting its final request. The suggested changes should be keyed to the
required program elements (see Part 2).
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Step 2: The Final Request Must Be Complete
The final request for approval of program revisions must be received by EPA within 8 months of the
promulgation of new or revised regulations unless an extension has been granted (the extension process is
discussed in Part 5 of this guidance).
The final request must include all State primacy program revision materials. These include the final checklist
and crosswalk signed by the State primacy agency and the signed AG statement, which was not required for the
preliminary request. The State regulations must be final, where possible, and the State must respond to issues
raised in the preliminary determination.
The Region will evaluate new or revised materials as well as the AGs statement and recommend a final
determination of State primacy for concurrence by Headquarters. The review process may include requests for
supplemental opinions by the State Attorney General to address issues raised by or unresolved in the State's
submittal. In the event that a State participates only in single request process, the review of the final request
becomes a comprehensive review of all program material, as described in Step 1.
The final review at Headquarters will vary according to whether or not the revision package was reviewed in draft
form. If a detailed review of one State in each Region was completed during as the draft stage, Headquarters will
only review that State revision package again to ensure that issues raised during the initial review were addressed.
If no preliminary review was done, ODW will conduct a full review.
For the non-detailed review States, ODW and OE will normally waive concurrence, although
they will retain the option to review additional State programs should it become necessary. ODW will work with
OGC to set up a procedure for the OGC concurrence memorandum to be returned directly to the region.
Otherwise, ODW will only become involved in the nonde tailed review process if the regions are having problems
communicating with other Headquarters offices.
Once the EPA Regions have determined that the final State request for approval has been received and is
complete the region is to notify the State of its determination that a complete package has been submitted. The
Agency then has 90 days (including the Headquarters review period) in which to evaluate the request and approve
or disapprove the State request for primacy. Either event requires that the region promptly notify the State in
writing of the final determination within the 90 day period. The regulations also require that a notification of
disapproval of the revised program shall be accompanied by the Regional Administrator's statement of reasons
supporting the decision.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PUBLIC NOTICE AND OPPORTUNITY
FOR HEARING MUST BE PROVIDED
The Regional Administrator must provide public notice and opportunity for hearing on EPA's final determination
regarding a State's request for EPA approval of revisions to its primacy program (142.12(d)(3)). Figure 4.1 shows
the public notice process and schedule. The Regional Administrator is required to publish the proposed
determination, along with a statement of supporting reasons, and notification that a public hearing may be
requested. This information is to be published in the Federal Register and general circulation local newspapers
within 15 days of the Regional Administrator's determination. Appendix D includes a sample of a public notice
for Notice of Determination and Request for Public Hearing.
Public notification must include at least one location in the State where the information submitted pursuant to
Section 142.12 is available for general inspection. All requests for public hearing must be made in writing to the
Regional Administrator within 30 days of the notification and it must include the information described in
142.13(c).
If no public hearing is held, the Regional Administrator's determination becomes final and effective 30 days after
the original public notice. A State receiving a denial of its request for approval may apply to the Regional
Administrator to change the final determination. The State must demonstrate that all program deficiencies that
resulted in the denial have been remedied without compromising other required program elements.
NOTE: No EPA public notice or hearing is required for a tentative determination by EPA on a State's
preliminary request for approval of program revisions.
4-6
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Figure 4.1 - Public Notice Process and Schedule (§142.13)
4-7
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PART 5-THE EXTENSION PROCESS
EXTENSIONS: AVAILABLE IF NEEDED
EPA recognizes that a State's preparation and submittal of a request for approval of program revisions may take
longer than the 18-month period provided by the rule for the completion of these steps. The revised primacy rule
(40 CFR 142.12(b)) provides the authority and process for the Regional Administrator1 to extend the submission
deadline for State program revisions for up to two years under certain circumstances, based on discretionary
authority under section 1413 (b)(l) of the SDWA. Headquarters concurrence of the extensions will not be
required. The new primacy rule has been developed to provide as much flexibility as possible in granting
extensions while ensuring that the entire process is completed within defined constraints.
AN EXTENSION PROCESS HAS BEEN SET
States may request that the 18-month deadline for submitting the complete and final request for EPA approval
of program revisions be extended for up to two years in certain circumstances. The extension request must be
submitted to the Agency within 18 months of when EPA promulgated the regulation. Regions should strive to
get their States to submit extension requests to EPA within 15 months in order that a decision can be made within
the 18 month period. It will be incumbent upon the regions to work out with the State what responsibilities each
will have in terms of implementing the regulation by the end of the 18 month period. The approval of an
extension is not automatic, and the length of the extension granted will depend on the State's need and the efforts
it has taken in responding to program changes.
The extension process, diagramed in Figure 5.1, is initiated by the State during the initial 18-month period defined
by the rule. During this time the State notifies EPA that it will be unable to meet the deadline imposed by the
rule. EPA Regional Offices also should contact their respective States to identify those that will be requesting
an extension so that staff resources ran be allocated at the proper time to review the initial set of program
revisions as they are submitted. This will provide the opportunity for the Region to assist those States requesting
an extension and minimize problems at the time the extension request is due.
When the State initially notifies EPA of its intent to file for an extension, sufficient information should be
gathered to demonstrate that the State is taking the actions necessary to be granted an extension.
Where an EPA Region believes that a State may have difficulty meeting the revised primacy requirements, the
Region may urge the State to apply for an extension to allow the Region and State to evaluate the program and
take any steps needed to build capability.
1 Delegation of this authority from the Administrator to the Regional Administrator is in
process. Headquarters concurrence of extensions will not be required.
5- 1
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
AN EXTENSION REQUEST MUST MEET CERTAIN CRITERIA
For an extension to be granted, the State must demonstrate to EPA that it is making a good faith effort to meet
the requirements of the primacy program and cannot meet the original deadline for reasons beyond its control.
A key part of the application for an extension will be 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 that the State
meets at least one of the following criteria:
Legislative or regulatory authority to enforce the new or revised requirements is lacking; or
Program capability is inadequate to implement the new or revised requirement; or
The State wants to group two or more program revisions in a single legislative or
regulatory action.
Each State may face unique circumstances that could preclude the timely submission of its program revisions,
so the reasons for granting an extension will vary. Examples of such circumstances are shown in Table 5.1.
TABLE 5.1 - CIRCUMSTANCES THAT MIGHT SUPPORT REQUESTS
Statutory barriers, regulatory barriers - biennial legislative sessions
- lack or regulatory authority to enforce new requirements
Temporary lack of program capability - insufficient resources (staff/$)
- lack of adequately trained staff
- inadequate procedures, guidelines, and policies
Clustering of program revisions - need to use limited State program resources efficiently
The State must include with its extension request a schedule setting forth when and how it will be able to adopt
and effectively implement the new provisions. If a State request for an extension is based on a temporary lack
of program capability, the State must provide a plan that identifies the steps it will take during the extension
period to remedy the deficiencies. These steps might include:
5-2
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
See
kin
g
a n
inc
rea
s e
i n
pro
gra
m
res
our
ces
Tra
ini
n g
o f
exi
stin
g
staf
fto
i m
pie
m e
n t
the
rev
ise
d
reg
ula
tio
n ;
and
5-3
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Development of procedures, guidelines, and policies necessary to implement the revised program.
Figure 5.2 provides a checklist the Region can use in reviewing extension requests. EPA Regions will review
extension requests on a case-by-case basis. States must justify the request.
5-4
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
5-5
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
THE PROGRAM WILL BE OPERATED JOINTLY
DURING THE EXTENSION PERIOD
If an extension is to be granted, the Region will negotiate certain conditions with the State. The revised primacy
rule does not impose specific conditions on a State during the extension period. The specific conditions tied to
an extension request approval are to be negotiated by the Regions and States during the approval process.
The conditions for receiving an exception could include, as decided on a case-by-case basis, what the State agrees
to:
Inform public water systems of the new EPA (and upcoming State) requirements and that the
Region will be overseeing the implementation of the new requirements until the State's program
revision is approved;
Collect, store, and manage laboratory results and other compliance and operational data required
by the EPA-regulations;
Conduct informal follow-up on violations (e.g., telephone calls, letters) and assist the Region in
the development of the technical aspects of enforcement actions;
Provide technical assistance to public water systems;
Provide the Region with all the information required under 142.15 on State reporting; and
Take specific steps during the extension period to remedy the deficiency (for States whose request
for an extension is based on current lack of program capability adequate to implement the new
requirements).
It cannot be over-emphasized that the extension process, specifically the allowance of an extension, does not
postpone the requirements of the specific regulation on the systems, nor the necessity for either the State or EPA
to operate a supervision program. The systems must be meeting the requirements of the Federal regulation by
the eighteenth month, and either the State or the RegionmusJ.be operating the supervision program. Any portions
of the program not being implemented by the State must be carried out by the Region. This includes not only
enforcement activities but activities such as notifying systems of their responsibilities, assuring that systems have
at least one approved laboratory to which they can send samples, collection and analysis of monitoring results,
etc. It also encompasses making decisions such as whether an operator is qualified to operate a treatment plant
under the surface water treatment rule (SWTR), which systems are required to filter under the SWTR, and
whether to approve a system's request for a vulnerability waiver. As noted above, while the Regions and States
can negotiate who will be responsible for each necessary implementation activity, it should be made clear to the
State that the Region will be implementing all those not carried out by the State.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PART 6 - THE ANNUAL PROGRAM PLANNING
AND REVIEW PROCESS
THE ANNUAL GRANT PROCESS SUPPORTS
THE §142.17(a) PRIMACY REVIEW REQUIREMENT
This part of the guidance outlines the annual review of State programs conducted by the Regions and how it is
tied to the revised primacy rule process. The Regions review each State's annual program grant workplan and
accomplishments to identify potential program deficiencies for resolution and to support the establishment of
approved State primacy programs that will be effective in meeting current and future primacy requirements. The
EPA Regional Administrator then issues a planning target along with specific program guidance on items such
as upcoming regulations to each State to assist in completing an EPA funding application.
The State's application includes how the State will meet the special grant conditions and a proposed annual
workplan for activities related to the implementation of the SDWA for which it expects to receive EPA funding.
The State workplan identifies the program elements to be carried out during the year, the outputs and products
of these elements, the sources of program funding, a schedule for the completion of each of the outputs, and the
State agency responsible for implementing the program.
The application is then reviewed by the Regional Administrator. If the application meets the requirements, the
Region will approve it and agree to provide the State with the funds when they are appropriated by Congress.
To determine whether or not the applicant is in compliance with all the conditions of the grant award, the Region
conducts an evaluation of the State's program at least annually. The evaluation is used to review State
accomplishments, to determine if State activities are consistent with those identified in the annual workplan, and
to monitor what is being achieved with the grant funds provided to the State.
In addition, the annual grant review process has become the forum for the State to inform EPA of "minor" State-
initiated program changes those not associated with adoption of new or revised EPA regulations and of any
transfer of program components to other State agencies. Review of plans for regulatory changes and overview
of implementation of extensions are also key issues in the grant review process. Changes undertaken by a State
that would significantly alter the operations of the drinking water program, such as a reduction or elimination of
State enforcement, should be communicated promptly to EPA.
CERTAIN INFORMATION WILL BE NEEDED
IN A STATES ANNUAL WORKPLAN
Workplans submitted by the States over the next several years will need to include activities
specifically related to the program revision process in addition to the activities carried out by the States on a
continuing basis. These will include:
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
The development of State Statutes or regulations to support new NPDWRs to be released by EPA.
The development of the State Statutes or regulations must precede the effective date of the new
or revised NPDWRS, unless an. extension is granted (see section 5).
Whether any program transfers, regulatory changes or other modifications outside the scope of the
federal program are planned. This could take the form of a negative declaration, i.e., that no such
changes are planned or have occurred.
Activities related to extension agreements.
THE ANNUAL PROGRAM EVALUATION ENSURES
PROGRAM CONSISTENCY AND DEVELOPMENT
The annual program evaluation will continue to function as a method to review State accomplishments, to
determine program consistency with the submitted workplan, and to monitor the use of grant funds provided to
the State.
The Regions will use the annual evaluation to verify that the State is complying with the conditions attached to
any extension period. This will assure that the conditions placed on the extension consider the situation facing
each State on a case-by-case basis. The evaluation will determine if the State is continuing its good faith effort
to achieve program revision approval and is complying with the plan or schedule set forth to achieve primacy.
INFORMATION WILL BE OBTAINED FROM THE
STATES DURING THE ANNUAL EVALUATION
Like the rest of the annual grant review program, the evaluation will be tailored to reflect the needs and concerns
of a particular State program. The review will, however, be structured around basic information that will need
to be obtained for each State program. The questions posed to the States during the evaluation to determine how
primacy is being maintained should include:
Is the State implementing and meeting the requirements of new or revised NPDWRs, i.e., lab
certification, enforcement, etc.?
Have resources been allocated for writing new regulations and developing any primacy application
that will be necessary in the next program period?
Will the State be able to implement and enforce the new or revised NPDWRs within the
prescribed time?
Is any reorganization or reallocation of staff planned, underway, or recently undertaken?
Is an extension request planned?
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Is the State making a maximum effort to be involved in program administration during any
extension?
In addition, Regions should use the annual review to complete their files on currently approved State primacy
programs, as described in Part 2 of this guidance. The Region should review its files against the checklist of
program elements and primacy requirements described in this guidance and in 40 CFR 142.10 and 142.11 to
determine what materials must be requested from the States.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PART 7 - THE PROGRAM WITHDRAWAL PROCESS
As provided in 40 CFR 142.17(a)(2), the Administrator may initiate a process to withdraw Program approval if
it is determined that the state program no longer meets the requirements of 142.10 and has failed to request or
has been denied an extension under 142.12(b)(2) of the deadlines for meeting those requirements, or has failed
to take other corrective actions required by the Regional Administrator. A problem that might lead to withdrawal
of program approval can be identified through the annual review process or by other means, such as review of
an extension request or of compliance with the conditions of an extension.
The steps of the program withdrawal process are described in 40 CFR 142.17(a)(2),(3), and (4). The process
begins with a written notification to the state by the Administrator, explaining EPAs Isas for believing the state
no longer meets the federal program requirements. If the decision is made to proceed with the withdrawal action,
EPA must provide public notice and the opportunity for a public hearing. Table 7.1 illustrates the steps required
for program withdrawal.
If the state responds with a plan to take corrective action, EP A's review will try to determine, whether the proposal
would be effective in returning the program to the point of fully satisfying the program requirements. A key
factor will be the demonstration of a good faith effort. A schedule of actions with dates, methods, and resources
identified should be provided.
The state must be made aware of the consequences of program withdrawal (or relinquishment). These include
the loss of the EPA program grant, which is linked to primacy under Section 1443 of the SDWA, and the
requirement to transfer facility files to EPA.
7- 1
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
TABLE 7.1 - OVERVIEW OF PRIMACY WITHDRAWAL PROCESS
40 CFR 142.17(A)(2),(3), AND (4)
Action
When the RA determines that a State no longer meets the requirements of 142.10, the RA shall notify the
State in writing of EPA's intention to initiate primacy withdrawal.
State receives letter and prepares response
State sends response to RA (30-day time limit specified by 142.17(a)(3))*
RA receives response and review begins
The RA, after reviewing the States submission, will either determine that the State no longer meets the
requirements of 142.10 or that the State continues to meet those requirements and shall notify the State of
his or her determination. (If the RA decides that the State does satisfy the requirements or is making
sufficient progress, the withdrawal process can be stopped.)
Notice of the RA's determination is published in the Federal Register and newspapers, etc.[l 5-day time
limit specified by ~142.13(b)]*
Public sends requests for hearing [30-day time limit specified by 142.13(c)]*
All requests are received by RA
Requests are Reviewed and a determination is made for or against holding a hearing:
If the decision is against having a hearing, or no requests have been received, the RA will
determine at this point whether primacy should be withdrawn. The next three steps are omitted
if a hearing is not required. Pursuant to 142.13(g), if a hearing is not held, the RA's
determination becomes effective 30 days after publication of the initial Federal Register notice.
If a determination is made to hold a hearing, the RA prepares a notice for the Federal Register
The notice appears in the Federal Register and news papers, etc., providing time, place, etc., of the hearing
7-2
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*Required
b y
regulation
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Action
TABLE 7.1 (CONT.)
Public hearing is held (minimum of 15 days after notice, as required by 142.13(d)
Record of hearing is received by RA and review begins
Final determination on primacy is made and a final notice containing the RA's order is
prepared for Federal Register publication (Pursuant to 142.13(f), if the RA's order affirms
the original determination, the withdrawal shall become effective on the date of the order.)
Notice published in Federal Register
[State may file petition for review within 45 days of issuance of the order, in an appropriate
Court of Appeals (SDWA Section 1448(a)(2)]
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
APPENDIX A
CHECKLIST OF PROGRAM ELEMENTS
7-4
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
CONTENTS OF STATE REQUESTS FOR
APPROVAL OF PROGRAM REVISIONS
THE FOLLOWING MATERIALS ARE INCLUDED IN THE ATTACHED REQUEST FOR
APPROVAL OF PROGRAM REVISIONS:
Item Attachment Number
Checklist of Program Elements
Crosswalks
Primacy Revision
Special Primacy Requirements ( 142.16)
Recordkeeping and Reporting ( 142.14 and 15)
Program Description
Attorney Generals Statement
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
CHECKLIST OF PROGRAM ELEMENTS
The checklist below is keyed to the listing of program elements shown in Table 2.1 in the guidance. Refer to that
table and the regulation cited her for details about each requirement.
Program Element
(1) Stringent as NPDWR - ~142.10(a)
(2) Inventory of PWS - ~142.10(b)(l)
(3) Sanitary Surveys of PWS -"142.1 0(b)(2)
(4) Certification of Labs - "142.1 0(b)(3)
(5) Available Lab Facilities - ~142.10(b)(4)
(6) Design and Construction of New or Modified
Facilities-"! 42. 10(b)(5)
(7) Apply State Regulations to all PWS Facilities -
~142.10(b)(6)(i)
(8) Authority to Sue - ~142.10(b)(6)(ii)
(9) Entry and Inspection - "142.1 0(b)(6)(iii)
(10) Records and Reporting - ~142.10(b)(6)(iv)
(1 1) Public Notice - ~142.10(b)(6)(v)
(12) Civil/Criminal Penalties -~142.10(b)(6)(vi)
(13) State Reporting to EPA - ~142.10(c)
(14) Variances & Exemptions - ~142.10(d)
(15) Emergency Planning - 142.10(e)
Other Requirements 1 42. 1 6
Applies
to New
Regs
D
D
D
D
D
D
D
D
D
D
D
D
D
D
D
D
Does
not Reason (list attachments)
apply
D
D
D
D
D
D
D
D
D
D
D
D
D
D
D
D
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
APPENDIX B
CROSSWALK
(Example > TCR Rule)
*Please Note That a Crosswalk Will Be
Developed By Headquarters, with Regional
Review and Input, for Each Rule
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PRIMACY REVISION CROSSWALK - TCR
FEDERAL
REQUIREMENT
DEFINITIONS
Confluent Growth
Domestic or other non-distribution
system plumbing problem
Near the first service connection
System with a single service
connection
Too numerous to count
COLIFORM SAMPLING
Routine monitoring; collection of
samples according to siting plan
Monitoring frequency for
community water systems - reduced
monitoring frequency for
community water systems serving
25-1,000 people
Monitoring frequency for non-
community water systems using
only ground water (not under the
direct influence); systems serving
1 ,000 or fewer persons - reduced
monitoring frequency for non-
community water systems.
Monitoring frequency for non-
community water systems using
ground water (not under the direct
influence); systems serving 1,000
or more persons - reduced
monitoring frequency for months
the system serves 1,000 or fewer
persons
FEDERAL
CITE
141.2
141.2
141.2
141.2
141.2
141.21(a)(l)
141.21(a)(2)
141.21(a)(3)(i)
141.21(a)(3)(ii)
STATE AUTHORITY
STATUTE/REGULATION
IF DIFFERENT FROM
FEDERAL
REQUIREMENT, NOTE
DIFFERENCE HERE &
EXPLAIN WHY "NO
LESS STRINGENT" ON
SEPARATE SHEET
II-1
DRAFT
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PRIMACY REVISION CROSSWALK - TCR
FEDERAL
REQUIREMENT
Monitoring frequency for non-
community water systems using
surface water
Monitoring frequency for non-
community water systems using
ground water under the direct
influence; begin monitoring six
months after determined to be
under the direct influence
Collection of samples at regular
intervals
Collection of samples for systems
using surface water or ground water
under the direct influence; systems
not filtering
Special purpose samples
Repeat monitoring; total coliform-
positive samples
Repeat monitoring; sampling
location
Repeat monitoring; time period
Repeat monitoring; total coliform -
positive repeat samples
Repeat monitoring; systems
collecting fewer than five samples
per month with total coliform
positive samples
Repeat monitoring; waiver of repeat
monitoring requirements for
systems collecting fewer than five
samples per month with total
coliform positive samples; site visit
FEDERAL
CITE
141.21(a)(3)(iii)
141.21(a)(3)(iv)
141.21(a)(4)
141.21(a)(5)
141.21(a)(6)
141.21(b)(l)
141.21(b)(2)
141.21(b)(3)
141.21(b)(4)
141.21(b)(5)
141.21(b)(5)(i)
STATE AUTHORITY
STATUTE/REGULATION
IF DIFFERENT FROM
FEDERAL
REQUIREMENT, NOTE
DIFFERENCE HERE &
EXPLAIN WHY "NO
LESS STRINGENT" ON
SEPARATE SHEET
II-2
DRAFT
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PRIMACY REVISION CROSSWALK - TCR
FEDERAL
REQUIREMENT
FEDERAL
CITE
STATE AUTHORITY
STATUTE/REGULATION
IF DIFFERENT FROM
FEDERAL
REQUIREMENT, NOTE
DIFFERENCE HERE &
EXPLAIN WHY "NO
LESS STRINGENT" ON
SEPARATE SHEET
Repeat monitoring; waiver of repeat
monitoring requirements for
systems collecting fewer than five
samples per month with total
coliform positive samples; problem
corrected within one month
Repeat monitoring; use of routine
samples as repeat samples
Repeat monitoring; results of repeat
samples included in determining
compliance with the total coliform
MCL
Invalidation of total coliform-
positive samples; improper sample
analysis
Invalidation of total coliform-
positive samples; samples resulting
from domestic or other non-
distribution system plumbing
problems
Invalidation of total coliform-
positive samples; result due to
circumstances not reflecting
distribution system water quality
Invalidation of total coliform -
positive samples; samples
producing turbid cultures, confluent
growth or colonies too numerous to
count
Sanitary surveys; community water
systems not collecting five or more
routine samples per month; initial
sanitary survey completed by June
29, 1994 - repeat surveys every five
years
II-3
DRAFT
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PRIMACY REVISION CROSSWALK - TCR
FEDERAL
REQUIREMENT
Sanitary surveys; non-community
water systems not collecting five or
more routine samples per month;
initial sanitary survey completed by
June 29, 1 999 - repeat surveys
every five years, except systems
using protected and disinfected
ground water must repeat every ten
years
Sanitary surveys; states with
wellhead protection programs
Sanitary surveys; performance by
approved agent - responsibility for
survey
Fecal coliform/E. Coli testing;
analysis of total coliform-positive
cultures - reporting of fecal
coliform/E'. Coli positive
Fecal coliform/E'. Coli testing;
waiver of testing when total
coliform-positive samples are
assumed fecal coliform/E'. Coli
positive
Analytical methodology; sample
volume of 100 ml
Analytical methodology;
determination of presence or
absence of total coliform
Analytical methodology; approved
methods for total coliform analyses
Analytical methodology; use of five
tube or single culture MTF
techniques in lieu of 10-tube MTF
technique
FEDERAL
CITE
141.21(d)(l)(i)
141.21(d)(l)(ii)
141.21(d)(2)
141.21(e)(l)
141.21(e)(2)
141.21(f)(l)
141.21(f)(2)
141.21(f)(3)
141.21(F)(4)
STATE AUTHORITY
STATUTE/REGULATION
IF DIFFERENT FROM
FEDERAL
REQUIREMENT, NOTE
DIFFERENCE HERE &
EXPLAIN WHY "NO
LESS STRINGENT" ON
SEPARATE SHEET
II-4
DRAFT
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PRIMACY REVISION CROSSWALK - TCR
FEDERAL
REQUIREMENT
Analytical methodology; fecal
coliform analysis
Response to violation; State and
public notification of MCL
exceedance
Response to violation; failure to
comply with monitoring or sanitary
survey requirements
REPORTING
REQUIREMENTS
Reporting; systems failing to
comply with NPDWRs must report
to State within 48 hours
GENERAL PUBLIC
NOTIFICATION
REQUIREMENTS
Acute violations; presence of total
coliform, fecal coliform, or E. Coli
Mandatory health effects language;
presence of total coliform
Mandatory health effects language;
presence of fecal coliform or E.
Coli
MCLsFOR
MICROBIOLOGICAL
CONTAMINANTS
Effective date of Dec. 31, 1990 for
deletion of existing coliform MCL
and replacement with new
microbiological requirements
FEDERAL
CITE
141.21(f)(5)
141.21(g)(l)
141.21(g)(2)
141.31(b)
141.32(a)(l)(iii)(C)
141.32(e)(ll)
141.32(e)(12)
141.14
STATE AUTHORITY
STATUTE/REGULATION
IF DIFFERENT FROM
FEDERAL
REQUIREMENT, NOTE
DIFFERENCE HERE &
EXPLAIN WHY "NO
LESS STRINGENT" ON
SEPARATE SHEET
II-5
DRAFT
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
PRIMACY REVISION CROSSWALK - TCR
FEDERAL
REQUIREMENT
MCL for systems collecting at least
40 samples per month; no more
than five percent are total coliform
positive
MCL for systems collecting fewer
than 40 samples per month; no
more than one sample is total
coliform positive
Violation for fecal coliform or E.
Coli positive samples
Monthly determination of
compliance with total coliform
MCL
BAT for compliance with the total
coliform MCL; protection of wells
BAT for compliance with the total
coliform MCL; maintenance of a
residual disinfectant
BAT for compliance with the total
coliform MCL; maintenance of
distribution system
BAT for compliance with the total
coliform MCL; filtration and/or
disinfection of surface water
BAT for compliance with the total
coliform MCL; development of a
wellhead protection program
VARIANCES AND
EXEMPTIONS
Variances and exemptions from the
MCLs are not permitted
FEDERAL
CITE
141.63(a)(l)
141.63(a)(2)
141.63(b)
141.63(c)
141.63(d)(l)
141.63(d)(2)
141.63(d)(3)
141.63(d)(4)
141.63(c)(5)
142.63
STATE AUTHORITY
STATUTE/REGULATION
IF DIFFERENT FROM
FEDERAL
REQUIREMENT, NOTE
DIFFERENCE HERE &
EXPLAIN WHY "NO
LESS STRINGENT" ON
SEPARATE SHEET
II-6
DRAFT
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
APPENDIX C
MODEL ATTORNEY GENERAL'S
STATEMENT
II-7
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
II-8
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
APPENDIX D
PUBLIC NOTICE
II-9
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 142
PUBLIC WATER SUPPLY SUPERVISION PROGRAM REVISION FORTHE STAT OF SOUTH
CAROLINA
AGENCY: ENVIRONMENTAL PROTECTION AGENCY
ACTION: NOTICE
SUMMARY: Notice is hereby given that the State of South Carolina is revising its approved State
Public Water Supply Supervision Primacy Program. South Carolina has adopted (1) drinking water
regulations for eight volatile organic chemicals that correspond to the National Primary Drinking
Water Regulations for eight volatile organic chemicals promulgated by EPA on July 8,1987 (52 FR
25690) and (2) public notice regulations that correspond to the revised EPA public notice
requirements promulgated on October 28,1987 (52 FR 41534). EPA has determined that these two
sets of State program revisions are no less stringent than the corresponding federal regulations.
Therefore, EPA has tentatively decided to approve these State program revisions.
All interested parties may request a public hearing. A request for a public hearing must be
submitted (within 30 days after publication in the FEDERAL REGISTER) to the Regional
Administrator at the address shown below. Frivolous or insubstantial requests for hearing may be
denied by the Regional Administrator. However, if a substantial request for a public hearing is made
(within thirty (30) days after publication in the FEDERAL REGISTER), a public hearing will be
held. If no timely and appropriate request for a hearing is received and the Regional Administrator
does not elect to hold a hearing on his own motion, this determination shall become final and
effective (thirty (30) days after publication in the FEDERAL REGISTER).
Any request for a public hearing shall include the following (1) The name, address, and telephone
number of the individual organization, or other entity requesting a hearing. (2) A brief statement of
the requesting person-s-interest in the Regional Administrators determination and or information
that the requesting person intends to submit at such a hearing. (3) The signature of the individual
making the requests, or if the request is made on behalf of an organization or other entity, the
signature of a responsible official of the organization or other entity.
ADDRESSES: All documents relating to this determination are available for inspection between
the hours of 8:00 a.m. and 4:30 p.m., Monday through Friday, at the following offices:
Office of Environmental Quality Control Department of Health and Environmental Control,
2600 Bull Street, Columbia, South Carolina 29201; and Regional Administrator,
Environmental Protection Agency, Region IV, 345 Courtland Street, N.E., Atlanta, Georgia
31065.
II- 10
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
FOR FURTHER INFORMATION CONTACT: Carla E. Pierce, EPA, Region IV Drinking
Water Section at the Atlanta address given above telephone 404/324-2913, (FTS) 257-2913.
(Sec. 1413 ofthe Safe Drinking Water Act, as amended, (1086), and 40 CFR 142.10 of the National
Primary Drinking Water Regulations)
Dated:
Grover C. Tidwell
Regional Administrator
EPA, Region IV
11-11
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
Information Collection Rule
The Manuals and users guides listed below can bpurchased by contacting: NTIS, 5285 Port
Royal Road, Springfield, VA 22161, telephone 800-553-6847, The videos can be purchased
by contacting: Impact Video, 4141 Hamilton Ave,, Cincinnati, OH 45223, telephone 5 13-68 1-
9191. ' ; " .' ; '' ' ... ' , .. -
/ . MANUALS AND USERS' GUIDES " .
Title
ICR Sampling Manual
DBP/ICR Analytical Methods Manual
ICR Manual for Bench- and Pilot-Scale
Treatment Studies
ICR Microbial Laboratory Manual
ICR Reference Manual: Understanding
the ICR
Reprints of EPA Methods for Chemical
Analyses Under the Information
Collection Rule
ICR Water Utility Database System
Users Guide (manual and 6 disks)
Release 1 . 1 (instructions and 3 disks)
ICR Laboratory Quality Control (QC)
Users Guide (manual and 5 disks)
Information Collection Requirements
Rule > Protozoa and Enteric Virus
Sample Collection Procedures (pocket
guide)
ICR Treatment Studies Data Collection
Spreadsheets User-s-Guide (manual and
4 disks)
EPA Publication
Number
EPA814-B-96-001
EPA814-B-96-002
EPA814-B-96-003
EPA600-R-95-178
EPA814-B-96-004
EPA814-B-96-G06
OUT OF STOCK
EPA814-B-96-004
EPA814-B-96-004A
EPA814-B-95-005
EPA814-B-95-001
EPA814-B-97-002
NTIS Ordering
Number
PB96-157508
PB96-157516
PB96- 157524
PB96-157557
PB96-127062
PB96- 157532
PB96-157219
(manual)
PB96-501671
(both)
PB97-500490
PB96- 157227
(manual)
PB97-501241
(both)
To order, please
phone Jim
Walasek, EPA,
513-569-7919
To be
determined
Publication
Date
April 1996
April 1996
April 1996
April 1996
April 1996
April 1996
Sept 1996
Nov 1996
June 1995
April 1997
11-12
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WSG54
Date Signed: June 1990
11-13
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