United Statm
f «vf«jnmeiwlal Protection
The Revised Total Coliform Rule
A Guide for Small Public Water Systems
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Office of Water (4606M)
EPA815-B-15-002
October 2015
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DISCLAIMER
This guide is intended to provide information to assist small public water systems
serving 1,000 or fewer persons in complying with the requirements of the Revised Total
Coliform Rule (RTCR). This guide is not a substitute for applicable legal requirements, nor is it a
regulation itself. Thus, it does not impose legally binding requirements on any party, including
EPA, states or the regulated community. While EPA has made every effort to ensure the
accuracy of the discussion in this guide, the obligations of the regulated community are
determined by statutes, regulations and other legally binding requirements. In the event of a
conflict between this document and any statute, regulation or other legally binding
requirement, this document would not be controlling.
Although this document describes suggestions for complying with the RTCR
requirements, the guidance presented here may not be appropriate for all situations and
alternative approaches may provide satisfactory performance.
Mention of trade names or commercial products does not constitute an EPA
endorsement or recommendation for use.
Interested parties are free to raise questions and objections to the guide and the
appropriateness of using it in a particular situation. EPA may decide to revise this guide without
public notice and comment period to reflect the changes to EPA's approach to implementing
the RTCR or to clarify or update text.
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About This Document
This document aims to assist small water systems serving 1,000 or fewer persons in
complying with the requirements of the Revised Total Coliform Rule (RTCR). It is divided into
four parts, Parts A, B, C and D.
Part A, The Revised Total Coliform Rule, An Overview, gives concise information about
the requirements of the RTCR and is intended as a quick reference resource.
Part B, The Revised Total Coliform Rule, In Detail, presents the requirements of the
RTCR in more detail than Part A and is intended to provide a deeper understanding of the rule.
Part C, Compliance Checklist, provides a checklist to help water systems determine their
compliance with the rule.
Part D, Appendices, presents the different routine monitoring frequencies available to
water systems, if the drinking water primacy agency allows reduced monitoring. It presents the
criteria systems must comply with to remain on or qualify for reduced monitoring, and the
conditions that will trigger a system to go to a more frequent monitoring schedule.
Each part is designed as a stand-alone document and can be used independently of the
other parts of the guide.
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Table of Contents
DISCLAIMER i
About This Document ii
Table of Contents iii
Part A 1
Table of Contents: Part A 3
A. The Requirements of the RTCR, an Overview 5
A.I. Is this guide for me? 5
A.2. What is the RTCR? 6
A.3. What does the RTCR require of water systems? 7
A.3.1. Monitoring 8
A.3.2. Contaminant Levels (MCLG and MCL) 15
A.3.3. Assessment and Corrective Action 16
A.3.4. Reporting and Recordkeeping 20
A.3.5. Violations and Public Notification 22
PartB 23
Table of Contents: Part B 25
Glossary of Terms 27
List of Acronyms 28
B. The Requirements of the RTCR in Detail 29
B.I. Introduction 29
B.I.I. Is this guide for me? 29
B.I.2. What will water systems learn from this guide? 30
B.1.3. What is the RTCR? 30
B.1.4. Why is ensuring safe drinking water important? 32
B.2. Contaminant Level Requirements (MCLG and MCL) 33
B.2.1. What are the contaminants addressed by the RTCR? 33
B.2.2. How does the RTCR address these contaminants of concern? 34
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B.3. Monitoring Requirements 36
B.3.1. What does the RTCR require? 36
B.3.2. What types of samples must water systems take? 37
B.3.2.1. Routine samples 40
B.3.2.2. Additional routine samples 41
B.3.2.3. Repeat samples 42
B.3.2.4. Testing for E. coli 45
B.3.3. What is a sample siting plan? 45
B.3.4. Where can water systems take their samples? 47
B.3.5. What do the water system's sampling results mean? 48
B.3.6. Are there requirements specific to seasonal systems? 48
B.4. Assessment and Corrective Action Requirements 50
B.4.1. What does the RTCR require? 50
B.4.2. Why does the RTCR require assessment and corrective action? 50
B.4.3. What are examples of sanitary defects? 51
B.4.4. What types of assessments are required under the RTCR? 53
B.4.4.1. What is a Level 1 assessment? 54
B.4.4.1.1. Why is it important to conduct a Level 1 assessment? 55
B.4.4.1.2. Who conducts a Level 1 assessment? 55
B.4.4.1.3. How is a Level 1 assessment documented? 56
B.4.4.1.4. How is a Level 1 assessment conducted? 56
B.4.4.2. What is a Level 2 assessment? 59
B.4.4.2.1. Why is it important to conduct a Level 2 assessment? 60
B.4.4.2.2. Who is responsible for conducting a Level 2 assessment? 60
B.4.4.2.3. How is a Level 2 assessment documented? 61
B.4.4.2.4. How is a Level 2 assessment conducted? 61
B.4.5. What happens if the assessor identifies a sanitary defect during an assessment?.... 62
B.4.6. What if the assessor did not identify a sanitary defect? 62
B.4.7. What is the timeline for completing the assessments and the corrective actions?... 63
IV
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B.4.8. What happens if all corrective actions have not been completed by the time the
assessment form is due to the drinking water primacy agency? 63
B.4.9. What happens if the water system did not do an assessment or did not complete the
corrections? 64
B.5. Reporting and Recordkeeping 65
B.5.1. What do water systems need to report to their primacy agencies? 65
B.5.2. What records do water systems need to keep? 67
B.6. Violations and Public Notification Requirements 68
B.6.1. What types of violations can a water system incur underthe RTCR? 68
B.6.2. What are the different tiers of public notification? 70
B.6.3. Which water systems are required to issue a Consumer Confidence Report (CCR)?. 71
PartC 73
C. RTCR Compliance Checklist 75
PartD 79
Table of Contents: Part D 81
D. Appendices 83
D.I. Routine Monitoring Frequency for Non-Seasonal Ground Water Non-Community
Water Systems Serving < 1,000 Persons (40 CFR 141.854) 83
D.2. Routine Monitoring Frequency for Seasonal Ground Water Non-Community Water
Systems Serving < 1,000 Persons (40 CFR 141.854(1)) 86
D.3. Routine Monitoring Frequency for Ground Water Community Water Systems Serving <
1,000 Persons (40 CFR 141.855) 89
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VI
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Part A
The Requirements of the RTCR
An Overview
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Table of Contents: Part A
A. The Requirements of the RTCR, an Overview 5
A.I. Is this guide for me? 5
A.2. What is the RTCR? 6
A.3. What does the RTCR require of water systems? 7
A.3.1. Monitoring 8
A.3.2. Contaminant Levels (MCLG and MCL) 15
A.3.3. Assessment and Corrective Action 16
A.3.4. Reporting and Recordkeeping 20
A.3.5. Violations and Public Notification 22
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A. The Requirements of the RTCR, an Overview
A.l. Is this guide for me?
THE REVISED TOTAL COLIFORM RULE (RTCR) REQUIREMENTS PRESENTED IN THIS DOCUMENT
The requirements presented here are the federal requirements of the RTCR. Drinking water primacy
agencies may have additional requirements specific to their programs. Systems should check with their
primacy agency to make sure they are complying with all their RTCR requirements.
The guide is designed for use by public water systems serving 1,000 or fewer persons to help
them comply with the requirements of the Revised Total Coliform Rule (RTCR).
Primacy agencies and technical assistance providers may also benefit from reading this guide.
This part of the guide summarizes the key requirements of the RTCR. For a more
comprehensive discussion of the rule, water systems can review Part B of this guide.
Systems should check with their drinking water primacy agency to determine if there are other
requirements specified by the primacy agency with which they need to comply.
What Is a System Type?
It is important for water systems to determine their system type, as requirements vary depending on
whether they are a community water system or non-community water system, a system that uses
ground water or surface water, and whether or not they are a seasonal system. Systems should check
with their drinking water primacy agency if they are not sure about their proper classification.
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A.2. What is the RTCR?
The RTCR is one of the national primary drinking water regulations that protect the safety of
drinking water in the U.S. It protects public health by limiting the levels of certain microbial
organisms in drinking water. The RTCR is a revision of the 1989 Total Coliform Rule, which
systems must comply with until March 31, 2016 (unless the drinking water agency starts to
implement the RTCR earlier). Starting no later than April 1, 2016, all systems must comply
with the requirements of the RTCR.
The RTCR requires systems to monitor for the presence of total coliforms and E. coli in drinking
water. Total coliforms are a group of closely related bacteria that are natural and common
inhabitants of soil and surface waters. Their presence in drinking water suggests that there has
been a breach or failure in the water system (for example, a hole in the pipe); and pathogens,
which are disease-carrying organisms, may have entered the drinking water. E. coli, on the
other hand, is a type of bacteria that is a subset of total coliforms, most often fecal in origin
(that is, from human or animal wastes). The presence of E. coli, therefore, can indicate that the
water has been contaminated with fecal waste, which can contain pathogenic organisms.
The RTCR sets a maximum contaminant level (MCL) for E. coli. The MCL is the level with which
systems must comply. In addition, certain levels of total coliforms in the water can trigger the
system to perform an assessment of their infrastructure and sampling practices, as explained
later in this guide.
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A.3. What does the RTCR require of water systems?
The requirements of the RTCR can be grouped into the following five categories. All water
systems must comply with these requirements. These requirements are discussed in greater
detail throughout this section.
Figure A-1. The RTCR Requirements
2. Contaminant
Levels
(MCLG & MCL)
3. Assessment
and Corrective
Action
4. Reporting
and
Record keeping
1. Monitoring
5. Violations
and Public
Notification
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A.3.1. Monitoring
Public water systems must regularly monitor for the presence of total coliforms and E. coli in
their water based on a sample siting plan. The water system must develop a sample siting plan
that identifies when and where the samples will be taken. Samples must be taken in a location
that is representative of the water quality in the distribution system (each water sample must
be at least 100 ml in volume). The sample siting plan is subject to drinking water primacy
agency review and revision.
What Steps Do I Need to Take?
1} Develop a sample siting plan that
has your schedule and location of
water samples.
2} Take a sample of your water on a
regular basis and have it tested for
the presence of total coliforms. This
is your routine sample.
3) If your routine sample is total
coliform-positive: (a) have it tested
for E. coli and (b) take repeat
samples within 24 hours of being
notified of the positive result.
4) Have your repeat samples
analyzed for total coliforms and, if
positive, for E. coli.
See Figure A-3 for an illustration of
the steps.
Compliance Samples
1) Routine samples- These are water samples that
water systems are required to take on a regular basis -
whether that frequency is annually, quarterly, or
monthly-to monitor for the presence of total
coliforms. A water sample that is positive for total
coliforms must be further tested for the presence of E.
coli. State-certified laboratories generally test positive
total coliform samples for E. coli automatically, but
water systems should check to be sure this is
completed. A positive sample may also require
additional sampling the next month, as described
below.
If necessary, systems should check with their drinking
water agency to determine the minimum number and
frequency of total coliform samples they need to take
(that is, one every month, one every three months,
one every year, etc.)- Systems can also check with
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their drinking water primacy agency to determine if their existing sample siting plan
needs to be revised.
Systems on a quarterly or annual monitoring schedule may be required to take routine
samples more frequently.
The system must collect three routine samples the month following a total coliform-
positive sample. It must continue to do so until all the samples are total coliform-
negative or it has been informed by its primacy agency that it needs to take samples on
a monthly basis rather than on a quarterly or annual basis.
The RTCR specifies certain conditions that will require a system to take samples more
frequently. For example, a system on annual or quarterly monitoring with test results
repeatedly showing the presence of total coliforms or E. coli in its water may be
required to take samples on a monthly basis. These conditions are found in Part C of this
guide, under Items J to M of the Compliance Checklist.
2) Repeat samples- These are follow-up samples that water systems are required to take
each time a routine sample is positive for total coliforms. Repeat samples, like routine samples,
must be tested for the presence of total coliforms, and if positive, for the presence of E. coli.
State-certified laboratories generally do this automatically but water systems should check to
be sure it is completed. Water systems must collect three repeat samples (each water sample
must be at least 100 ml in volume) within 24 hours after being notified of the total coliform-
positive sample result. Figure A-2 shows where the repeat samples must be taken. For systems
with only a single service connection, the drinking water primacy agency may allow the system
to take the repeat samples over a period of three consecutive days (one sample for each day)
or collect a larger volume repeat sample(s) in one or more sample containers of any size, as
long as the total volume collected is at least 300 ml.
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^Special Purpose Samples
Special samples are collected during repairs, responses to complaints, or for other maintenance reasons.
Collection of these types of samples is often necessary to ensure that coliforms have not entered the
distribution system as a result of events such as installation of new mains, main break repairs, or routine
maintenance. Special samples are not included in compliance or assessment trigger calculations.
Figure A-2. Location of Repeat Samples
1 sample at original TC+ location
1 sample within 5 connections upstream
(or alternative location specified in
sample siting plan)
1 sample within 5 connections downstream
(or alternative location specified in
sample siting plan)
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Sending Samples to the Laboratory
Systems must send their samples to a laboratory certified by the primacy agency for testing.
Send the sample(s) as soon as possible, keeping in mind that the laboratory must start the tests
within 30 hours of sample collection. EPA encourages (but does not require) that samples be
shipped below 10°C (50°F). This temperature may be achieved by carefully packing the water
samples in ice. Care should be taken when packing samples to avoid freezing. The laboratory
may invalidate frozen samples.
In general, systems follow the sequence outlined in Figure A-3 when complying with the
monitoring requirements of the RTCR.
Compliance Tips
Have your sample siting plan in an accessible place. Keep it up to date.
Have sampling kits available and ready to use when you need to sample your water.
Contact your drinking water agency if you have any questions about RTCR requirements.
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Figure A-3. Diagram Showing the RTCR Monitoring Requirements
Take your samples according to your sample siting plan
Make sure lab
tests TC+
sample for EC
Take routine TC
sample
.
For each TC+ a
sample, do the
following:
Take 3 repeat
samples
If a repeat
sample is TC+,
make sure lab
tests for EC
Continue with
routine
monitoring
Systems on quarterly
or annual monitoring:
Take 3 routine samples
the following month
TC - total coliforms; TC+ - total coliform-positive
EC E. co//; EC+ - E. co//-positive
a If you operate a ground water system not providing 4-log treatment of viruses,
collect source water samples to comply with the Ground Water Rule.
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Additional Requirements for Seasonal Systems
A seasonal water system is a non-community water system that starts up and shuts down
operations at the beginning and end of each operating period. Examples are parks,
campgrounds, fairgrounds and ski resorts.
I operate a seasonal system. What
other requirements do I need to
comply with ?
1) Completion of primacy agency-
approved start-up procedures before
serving water to the public.
2) Certification to the primacy
agency of completion of start-up
procedures.
3) Designation in sample siting plan
of vulnerable time period to take
sample, if monitoring quarterly or
annually.
Typical examples of seasonal systems
ski resorts
fairgrounds
Start-up Procedures
Seasonal systems are required to complete start-up
procedures at the beginning of each operating season
before serving water to the public. Some examples of
start-up procedures that a drinking water primacy
agency may require of seasonal systems include the
following:
Flushing all pipes
Cleaning all water storage tanks
Disinfecting
Inspecting and repairing components
Collecting samples
Certification of Completion of Start-up Procedures
Seasonal systems are required to certify to the drinking
water primacy agency that they have completed the
start-up procedures. Each primacy agency will have
different methods of certification. Systems should
check with their drinking water primacy agency to
determine how they will complete the certification process.
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Sampling During the Vulnerable Time Period
Seasonal systems on a quarterly or annual monitoring period must state in their sample siting
plan the time period when they will take their routine sample. This period is based on site-
specific conditions. Consider, for example, when the demand for water is the highest, when the
source water is most vulnerable to contamination (for example, during the wet season), or
when there is a source of contamination that might affect the area surrounding the well (for
example, spreading of animal waste for fertilizer). The system must have the sample siting plan
approved by the drinking water primacy agency and the system must monitor during the period
identified in the sample siting plan.
Tips for Seasonal Systems
Check with your drinking water primacy agency to determine what start-up procedures you
need to complete ahead of your opening for the season.
Submit your certification of completion of start-up procedures as required by your drinking
water primacy agency.
Contact your drinking water primacy agency if you have any questions about RTCR
requirements.
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A.3.2. Contaminant Levels (MCLG and MCL)
Maximum contaminant level goal
(MCLG)
Level of contaminant in drinking
water below which there is no
known or expected risk to health. It
is a goal that allows for a margin of
safety.
Maximum contaminant level (MCL)
Highest level of contaminant that is
allowed in drinking water. It is set as
close to the MCLG as feasible using
the best available technology and
taking cost into consideration. The
MCL is the level the systems must
comply with.
MCLG for E. coli
The MCLG for E. coli is set at zero.
MCL for E. coli
The MCL for E. coli is based on the results of the routine
sample and its associated repeat samples. The system is
out of compliance with the MCL if:
The system has an E. co//-positive repeat sample
following a total coliform-positive routine sample.
The system has a total coliform-positive repeat
sample following an E. co//-positive routine sample.
The system fails to take all required repeat samples
following an E. co//-positive routine sample.
E. coli analysis is not completed when any repeat
sample tests positive for total coliforms.
Compliance Tips
Always take three repeat samples within 24 hours of being notified that your routine sample
is total coliform-positive.
Make sure that your laboratory is testing for E. coli when a sample is total coliform-positive.
Contact your drinking water primacy agency if you have any questions about the
requirements.
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A.3.3. Assessment and Corrective Action
The RTCR requires an assessment or an investigation of the water system when certain
conditions occur. There are two levels of assessments. A Level 1 assessment is a basic
examination of the system. The Level 2 assessment is a more comprehensive and more in-
depth examination of the system compared to a Level 1 assessment. Any problem (referred to
as sanitary defects) found during the assessment must
^^^^^^^^^^^^^^^^^m be corrected. The assessment and corrective action(s)
must be completed within a required timeframe.
Sanitary Defects
A sanitary defect (1) could provide a path for microbial
contaminants to enter the distribution system or (2)
indicates an existing failure or failure that could happen
soon in a protective barrier (for example, treatment,
practice, or structure) that is already in place. Examples
include the following three scenarios:
How do I comply with the
assessment and corrective
action requirements of the
RTCR?
1) Determine if you have
triggered either a Level 1 or
Level 2 assessment.
2) Determine who can conduct
the assessment and what
assessment form to use.
3) Make sure that the
assessment is conducted as soon
as practical.
4) Correct any sanitary defects
identified during the
assessment.
5) Complete the assessment
form and submit it to the
drinking water primacy agency
within 30 days of learning of the
trigger.
Cracks on a storage tank Rat droppings around the wellhead Seal on wellhead not watertight
Photos courtesy of Nevada Division of Environmental Protection
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Level 1 Assessment Triggers
A Level 1 assessment is required (triggered) when either of the following conditions occurs:
Two or more total coliform-positive samples in the same sampling period (include the results of
all routine and repeat samples)
Not all required repeat samples are collected after a routine total coliform-positive sample
Level 2 Assessment Triggers
A Level 2 assessment is required (triggered) when any of the following conditions occurs:
An E. coli MCL violation
A second Level 1 assessment is triggered within a rolling 12-month period
For systems on an annual monitoring frequency, a Level 1 assessment is triggered in two
consecutive years
Persons Allowed to Conduct a Level 1 Assessment
A responsible party of the public water system can conduct a Level 1 assessment. The water
system should consult with their drinking water primacy agency to determine who in their
water system can conduct the assessment.
Persons Allowed to Conduct a Level 2 Assessment
The Level 2 assessment must be conducted by someone approved by the drinking water
primacy agency, which could be primacy agency staff or a third party (such as an outside
contractor). In some circumstances, it could be conducted by one of the system's staff or
management with the required qualification(s) specified by the drinking water primacy agency.
Assessment Forms
Water systems should check with their drinking water primacy agency to determine which
assessment forms they are required to use and complete and where to submit them.
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Conducting a Level 1 or Level 2 Assessment
Figure A-4 shows steps that the assessor can follow when conducting either assessment.
Depending on the layout or the design of the system, not all elements may be present.
Figure A-4. Suggested Steps in Conducting a Level 1 or Level 2 Assessment
Location of the
Positive Sample
Assess and review samples, sampling sites, sampling procedure
Distribution
Area Near
Positive
Review operational data and water quality data (for example, disinfectant
residual concentration, pressure readings, etc.)
Review operational activities and unusual activities (for example, breakdown of
the chlorinator, introduction of new sources of water, etc.)
Assess distribution system components (for example, pipes, valves, pumps, etc.)
Assess storage facilities
Assess treatment facility (for example, disinfection station) closest to the location
of the positive sample
Assess wells, springs or surface water
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Timeline for Completing a Level 1 or Level 2 Assessment
A system must complete a Level 1 or Level 2 assessment, correct any sanitary defects found and
submit the assessment form to the drinking water primacy agency within 30 days after learning
that it has triggered the assessment. If there are corrective actions not completed at the time of
the submission of the form, the system must also include a timetable for completing the rest of
the corrective actions and report to their drinking water primacy agency when each
outstanding corrective action has been completed.
Tips for Preparing for an Assessment
Determine who can conduct a Level 1 and Level 2 assessment.
Be familiar with the state's required forms and submittals.
Create a standard operating procedure (SOP) for what to do when sampling results trigger an
assessment.
Understand which data source(s) to use to fill out the various sections of the form.
Contact your drinking water primacy agency if you have any questions about the
requirements.
^
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A.3.4. Reporting and Recordkeeping
Systems need to report certain information to their drinking water primacy agencies within a
required timeframe and keep certain records. Table A-l lists the items to report and Table A-2
lists the records to keep.
Table A-1. Items Water Systems Need to Report
What to report
Monitoring results
E. co//-positive routine
sample
E. coll MCL violation1
Coliform treatment
technique violation1
Monitoring violation1
Completed assessment
form
Corrective action(s) not
completed when
assessment form was
submitted
When to report to the drinking water primacy agency
Within the first 10 days following either the end of the month the
monitoring was completed, or the end of the required monitoring
period, whichever is sooner. The system does not need to report this in
the case where the state laboratory does the analysis and submits the
results directly to the primacy agency.
By the end of the day when the system is notified of an E. co//-positive
routine sample, unless the system is notified of the result after the
primacy agency office is closed and the primacy agency does not have
either an after-hours phone line or an alternative notification procedure.
In this case, the system must notify the agency before the end of the
next business day.
By the end of the day when the system learns of an E. coll MCL violation,
unless the system learns of the violation after the primacy agency office
is closed and the primacy agency does not have either an after-hours
phone line or an alternative notification procedure. In this case, the
system must notify the primacy agency before the end of the next
business day and notify the public within 24 hours of the violation.
No later than the end of the next business day after the system learns of
the violation. The public must be notified within 30 days.
Within 10 days after the system learns of the violation. The public must
be notified within a year of the violation.
Within 30 days after learning that the system has triggered an
assessment.
When corrective action is completed.
1 Violations are discussed in Section A.3.5 of this guide.
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What to report
When to report to the drinking water primacy agency
Seasonal systems -
certification of
completion of primacy
agency-approved start-up
procedure
Certification of
compliance with public
notice requirements
Failure to comply with any
of the requirements of
the RTCR not already
mentioned above
Prior to serving water to the public.
Within 10 days of completing the public notification (whether initial
notification or repeat notification).
Within 48 hours of failing to comply with the requirement.
Records
Monitoring results
Table A-2. Records Water Systems Need to Keep
Period of Time to Keep Records
No less than 5 years.
Assessment forms2 and
documentation of corrective
actions completed3
No less than 5 years after completion of the assessment and
corrective action(s).
Repeat samples taken that meet
drinking water primacy agency
criteria for extension of 24-hour
period for collection
No less than 5 years.
Copies of public notice (PN) issued
and certification of compliance with
PN regulations
No less than 3 years after issuance.
Sample siting plans
No less than 5 years (same period as records of microbiological
analyses).
2 Water systems should keep completed assessment forms regardless of who conducted the assessment.
3 Or other available documentation of sanitary defects and corrective actions. EPA recommends that the system
keep any photos, receipts, sample results, etc., related to assessments and corrective actions.
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A.3.5. Violations and Public Notification
Systems that fail to perform a requirement are in violation of the rule. Some violations require
a public notification, as shown in Table A-3. Systems should check with their drinking water
primacy agency about the required language for public notices.
Table A-3. List of Violations and the Required Public Notification
E. coli MCL
Routine total coliform-positive; repeat E. co//-positive
Routine E. co//-positive; repeat total coliform-positive
Routine E. coli+; system fails to take all repeat samples
Repeat total coliform-positive; sample not tested for E. coli
Treatment technique
System fails to conduct the required assessment within required
timeframe after exceeding a trigger.
System fails to complete required corrective action within required
timeframe after identifying a sanitary defect.
Seasonal system fails to complete primacy agency-approved start-
up procedure prior to serving water to the public.
Monitoring
System fails to collect all required routine or additional routine
samples in a compliance period.
Routine total coliform-positive; sample not tested for E. coli
Tierl
(issued within 24
hours)
Tier 2
(issued within 30 days)
Tier3
(issued within a year)
Reporting
System fails to submit monitoring report or completed assessment
form after properly conducting monitoring or assessment in a
timely manner.
System fails to notify its primacy agency of an E. co//-positive
sample in a timely manner.
Seasonal system fails to submit certification of completion of a
primacy agency-approved start-up procedure.
Tier3
(issued within a year)
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PartB
The Requirements of the RTCR
In Detail
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Table of Contents: Part B
B. The Requirements of the RTCR in Detail 29
B.I. Introduction 29
B.I.I. Is this guide for me? 29
B.I.2. What will water systems learn from this guide? 30
B.1.3. What is the RTCR? 30
B.1.4. Why is ensuring safe drinking water important? 32
B.2. Contaminant Level Requirements (MCLG and MCL) 33
B.2.1. What are the contaminants addressed by the RTCR? 33
B.2.2. How does the RTCR address these contaminants of concern? 34
B.3. Monitoring Requirements 36
B.3.1. What does the RTCR require? 36
B.3.2. What types of samples must water systems take? 37
B.3.2.1. Routine samples 40
B.3.2.2. Additional routine samples 41
B.3.2.3. Repeat samples 42
B.3.2.4. Testing for E. coli 45
B.3.3. What is a sample siting plan? 45
B.3.4. Where can water systems take their samples? 47
B.3.5. What do the water system's sampling results mean? 48
B.3.6. Are there requirements specific to seasonal systems? 48
B.4. Assessment and Corrective Action Requirements 50
B.4.1. What does the RTCR require? 50
B.4.2. Why does the RTCR require assessment and corrective action? 50
B.4.3. What are examples of sanitary defects? 51
B.4.4. What types of assessments are required under the RTCR? 53
B.4.4.1. What is a Level 1 assessment? 54
B.4.4.1.1. Why is it important to conduct a Level 1 assessment? 55
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B.4.4.1.2. Who conducts a Level 1 assessment? 55
B.4.4.1.3. How is a Level 1 assessment documented? 56
B.4.4.1.4. How is a Level 1 assessment conducted? 56
B.4.4.2. What is a Level 2 assessment? 59
B.4.4.2.1. Why is it important to conduct a Level 2 assessment? 60
B.4.4.2.2. Who is responsible for conducting a Level 2 assessment? 60
B.4.4.2.3. How is a Level 2 assessment documented? 61
B.4.4.2.4. How is a Level 2 assessment conducted? 61
B.4.5. What happens if the assessor identifies a sanitary defect during an assessment?.... 62
B.4.6. What if the assessor did not identify a sanitary defect? 62
B.4.7. What is the timeline for completing the assessments and the corrective actions?... 63
B.4.8. What happens if all corrective actions have not been completed by the time the
assessment form is due to the drinking water primacy agency? 63
B.4.9. What happens if the water system did not do an assessment or did not complete the
corrections? 64
B.5. Reporting and Recordkeeping 65
B.5.1. What do water systems need to report to their primacy agencies? 65
B.5.2. What records do water systems need to keep? 67
B.6. Violations and Public Notification Requirements 68
B.6.1. What types of violations can a water system incur underthe RTCR? 68
B.6.2. What are the different tiers of public notification? 70
B.6.3. Which water systems are required to issue a Consumer Confidence Report (CCR)?. 71
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Glossary of Terms
Clean compliance history - Clean compliance history, for the purposes of the Revised Total
Coliform Rule (RTCR), is a record of no maximum contaminant level (MCL) violations under the
Total Coliform Rule (TCR) and RTCR, no monitoring violations under the TCR and RTCR and no
coliform treatment technique trigger exceedances or treatment technique violations under the
RTCR. Clean compliance history is used as one of the criteria water systems must comply with
to be eligible for a reduced monitoring frequency, if the drinking water primacy agency allows
it.
Sanitary defect - A defect that could provide a pathway of entry for microbial contamination
into the distribution system or that is indicative of a failure or imminent failure in a barrier that
is already in place. Examples of sanitary defects can be a missing well seal, a hole in a pipe or a
missing screen for a storage tank vent.
Seasonal system - A non-community water system that is not operated as a public water
system on a year-round basis and starts up and shuts down at the beginning and end of each
operating season. Typical examples are parks, campgrounds, fairgrounds and ski areas.
Treatment technique - A required process intended to reduce the level of a contaminant in
drinking water. In the RTCR, the treatment technique includes the assessment and corrective
action requirements of the rule.
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List of Acronyms
CCR Consumer Confidence Report
CFR Code of Federal Regulations
CWS Community Water System
EC Escherichia coli or E. coli
EC+ E. co//-positive
GW Ground Water
GWR Ground Water Rule
MCL Maximum Contaminant Level
MCLG Maximum Contaminant Level Goal
NA Not Applicable
NCWS Non-community Water System
O&M Operation and Maintenance
PN Public Notification
POE Point of Entry
POD Point of Use
PWS Public Water System
RTCR Revised Total Coliform Rule
SOP Standard Operating Procedure
SW Surf ace Water
TC Total Coliforms
TC+ Total Coliform-positive
TCR Total Coliform Rule
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B. The Requirements of the RTCR in Detail
B.I. Introduction
B.I.I. Is this guide for me?
THE REVISED TOTAL COLIFORM RULE (RTCR) REQUIREMENTS PRESENTED IN THIS DOCUMENT
The requirements presented here are the federal requirements of the RTCR. Drinking water primacy
agencies may have additional requirements specific to their programs. Systems should check with their
primacy agency to make sure they are complying with all their RTCR requirements.
This guide is designed for use by public water systems (PWSs)4 serving 1,000 or fewer
persons to help them comply with the requirements of the RTCR.
Primacy agencies and technical assistance providers may also benefit from reading this
guide.
Readers who want a quick reference material regarding the requirements of the RTCR
can refer to Part A of this guide. Part B goes into more detail on the requirements of the rule.
What Is A System Type?
It is important for water systems to determine what their system type is, as requirements vary
depending on whether they are a community water system or non-community water system, a system
that uses ground water or surface water, or additionally if they are a seasonal system. Systems should
check with their drinking water primacy agency if they are not sure about their proper classification.
4 "System," "PWS" and "water system" are used interchangeably in this document. Aircraft PWSs, which are
covered under the Aircraft Drinking Water Rule (40 CFR part 141, subpart X), are excluded from having to comply
with the RTCR. The use of "PWS" and its variants in this document, therefore, only refers to those water systems
that are covered by the RTCR, which excludes aircraft PWSs.
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B.I.2. What will water systems learn from this guide?
Public water systems have the important job of ensuring the safety of the drinking water
provided to their customers. This guide aims to help water system personnel do their job by
providing information about the RTCR and how to comply with it. In this guide, PWSs will learn
about:
The different requirements of the RTCR in the areas of (1) contaminant levels, (2)
monitoring, (3) assessment and corrective action, (4) reporting and recordkeeping
and (5) violations and public notification with which systems need to comply.
The importance of monitoring drinking water to ensure its quality and protect public health.
The importance of doing assessments of the system when certain trigger events occur signaling the
possible presence of contamination.
The importance of correcting any defects found during the assessment.
Preventing the future occurrence of contamination that could lead to waterborne disease by
complying with the requirements of the RTCR.
B. 1.3. What is the RTCR?
The RTCR5 is a National Primary Drinking Water Regulation under the Safe Drinking Water
Act that protects public health by limiting the levels of certain microbial organisms in drinking
water. It is a revision of the Total Coliform Rule (TCR), which has been in effect since 1989.
Water systems must comply with the RTCR beginning April 1, 2016.
The RTCR retains the objectives and the basic monitoring requirements of the TCR, and
a maximum contaminant level (MCL) for E. coli6. It requires water systems to periodically collect
samples of water and have them analyzed for the presence of bacteria called total coliforms.
Additional actions are required depending on the results of this periodic monitoring. The RTCR
5 The requirements of the RTCR can be found in 40 CFR part 141, subpart Y.
6 The acute MCL for E. coli is retained in the RTCR with additional conditions. See Section B.2 of this guide.
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offers greater flexibility for drinking water systems and greater opportunity for public health
protection by the addition of new requirements. The changes include the following:
The maximum contaminant level goal (MCLG) and MCL7 for total coliforms in drinking water have
been replaced with a requirement for water systems to conduct an assessment of their system if
certain conditions (for example, presence of E. coll or repeated presence of total coliforms) indicate
that they might be vulnerable to contamination, and to correct any problems identified during the
assessment. The RTCR refers to the assessment and corrective action part of the rule as the
treatment technique requirements.
Small systems need to follow specific criteria to remain on or qualify for a reduced monitoring
schedule, if the drinking water primacy allows reduced monitoring (see Part D of this guide).
Small systems monitoring less frequently than monthly that experience specific events indicating
non-compliance or high vulnerability to contamination are required to increase their monitoring. For
example, a system on quarterly monitoring that has an E. coli MCL violation must begin monthly
monitoring the month following the violation (see Part D of this guide).
Seasonal systems, such as parks, campgrounds, fairgrounds and ski resorts, are required to comply
with new requirements to minimize the risk of microbial contamination associated with the
depressurization of the distribution system during the off-season.
The detailed requirements of the RTCR are further discussed in the following sections of
Part B of this guide. Copies of the Federal Register Notice (February 13, 2013) of the RTCR can
be downloaded from the Public Docket website at !lttjcy,/£www£^ (search for EPA-
HQ-OW-2008-0878-0298 and EPA-HQ-OW-2008-0878-0301).
7 The MCLG is the level of contaminant in drinking water below which there is no known or expected risk to health.
MCLGs allow for a margin of safety and are non-enforceable public health goals. The MCL is the highest level of a
contaminant that is allowed in drinking water. MCLs are set as close to MCLGs as feasible using the best available
treatment technology and taking cost into consideration. MCLs are enforceable standards.
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B.1.4. Why is ensuring safe drinking water important?
If the water supply becomes contaminated, consumers can become seriously ill.
Contaminated drinking water is one of the oldest known public health concerns. Preventing
waterborne disease is one of the primary objectives of any drinking water
system. Although waterborne disease outbreaks are relatively uncommon in
the United States, they do occur. In most cases, the results are diarrhea,
cramps, nausea and other symptoms. But in some cases - particularly among
the young, the elderly and persons with weakened immune systems -
waterborne diseases can lead to severe illness or death.
Regulated public water systems are required, under the Safe Drinking Water Act, to
provide water that meets federal standards to their customers. Operators, one of the most
important assets of any public water system, should take many steps to ensure that the public
is provided with safe drinking water. One of the most important steps is to regularly test for
coliform bacteria. The risk of waterborne disease is greatly reduced when the water system is
designed and operated to provide multiple barriers of protection. The key barriers are:
Source water protection (for example, proper well design, construction, maintenance)
Treatment (for example, filtration, chlorination)
Distribution system integrity (for example, water lines and storage facilities in good condition)
Complying with the RTCR will improve public health protection by helping to ensure that
these barriers are in place.
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B.2. Contaminant Level Requirements (MCLG and MCL)
What will I learn from this chapter?
Contaminants of concern
addressed by the RTCR
The levels of these contaminants
in drinking water that water systems
must comply with
Maximum contaminant level goal
(MCLG)
Level of contaminant in drinking
water below which there is no
known or expected risk to health. It
includes a margin of safety.
Maximum contaminant level (MCL)
Highest level of contaminant that is
allowed in drinking water. It is set as
close to the MCLG as feasible using
the best available technology and
taking cost into consideration. The
MCL is the level the systems must
comply with.
B.2.1. What are the contaminants addressed by the
RTCR?
The RTCR addresses the presence of total
coliforms and E. coli in drinking water. The presence
of these contaminants can indicate the (1) presence
of pathways (for example, a pipe leak or an
unprotected cross connection) that can introduce
other contaminants into the system and the (2)
vulnerability of the system to fecal contamination.
Fecal contamination can contribute to the spread of
disease.
By monitoring for total coliforms and E. coli
and complying with the rest of the RTCR
requirements (such as performing assessments and
corrective actions), the risk from other chemical and
microbial contaminants will be reduced as well.
Total coliforms are a group of closely related
bacteria that commonly live in soil and surface waters
(such as lakes and rivers). Their presence in the
drinking water suggests that: (1) there has been a
breach, failure, or other change in the condition of
the water system; and (2) that pathogens could have
entered into the drinking water.
Pathogens are organisms that can cause
disease. Many different pathogens may be present in
water. It is not practical or possible to test for them all
individually. Instead, systems rely on monitoring for
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indicator organisms. The RTCR uses total coliforms as the first indicator organism (see Section
B.2.2 of this guide for further discussion). Coliform bacteria may or may not be harmful
themselves, but their presence indicates that other harmful organisms may also be present.
Escherichia coli (E. coli), the second indicator organism, is a type of bacteria that is a
subset of total coliforms, most often fecal in origin. Detection of E. coli can indicate that the
system is contaminated with fecal waste. Fecal wastes may contain pathogenic organisms that
are harmful to humans when ingested. Fecal contamination could be caused by a number of
factors including main breaks, cross-connections, or compromised sources. Immediate steps to
inform and protect consumers may be necessary, as noted further in Section B.6 of this guide.
B.2.2. How does the RTCR address these contaminants of concern?
The RTCR sets limits on the presence of E. coli and total coliforms in drinking water that
are protective of public health and requires water systems to monitor regularly in the
distribution system. The monitoring requirements are discussed in the next section, Section B.3
of this guide.
For E. coli. the RTCR establishes a maximum contaminant level goal (MCLG) of zero and
a maximum contaminant level (MCL)8 based on its presence in the distribution system. The
following box describes when the E. coli MCL has been exceeded. Further discussion about the
E. coli MCL violation is presented in Section B.6 of this guide.
8 The MCLG for E. coli is found in 40 CFR 141.52 while the MCL for E. coli is found in 40 CFR 141.63.
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^'''Conditions that will result in an E. coli MCL violation
An E. co//-positive repeat sample following a total coliform-positive routine sample.
A total coliform-positive repeat sample following an E. co//-positive routine sample.
Failure to collect all required repeat samples following an E. co//-positive routine sample.
Failure to test for E. coli when any repeat sample is total coliform-positive.
For total coliforms, EPA requires water systems to conduct an assessment of their
system when they exceed a specified frequency of total coliform occurrence. For water systems
serving 1,000 or fewer persons, an assessment will typically be required when a system has two
or more total coliform-positive samples in the same month. Failure to take repeat samples
following a routine total coliform-positive sample will also trigger an assessment. Any sanitary
defects identified during an assessment must be corrected by the water system. Conducting
assessments and completing corrective actions are part of the treatment technique
requirements of the RTCR and could prevent future incidences of contamination and exposure
to fecal contamination and waterborne pathogens.
EPA has removed the MCLG and MCL for total coliforms previously set in the TCR;
therefore, under the RTCR, public notification is no longer required when the system has two or
more total coliform-positives in a month.
The assessment and corrective action requirements are discussed further in Section B.4
of this guide.
Compliance Tips
Always take three repeat samples within 24 hours of being notified that your routine sample
is total coliform-positive.
Make sure that your laboratory is testing for E. coli when a sample is total coliform-positive.
Contact your drinking water primacy agency if you have any questions about the
requirements.
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B.3. Monitoring Requirements
This chapter provides guidance
What will I learn from this chapter?
The types of samples water
systems need to take under the
RTCR
What a sample siting plan is
Where samples can be taken
Consequences of monitoring
results
Additional requirements for
seasonal systems
on implementing the monitoring requirements9 of the
RTCR. It also goes over the additional requirements for
seasonal systems.
B.3.1. What does the RTCR require?
Systems are required regularly to test samples of
their finished water in the distribution system for the
presence of total coliforms. Each water sample must be
at least 100 ml in volume. Depending on the results of
the routine sampling, systems may be required to test
additional samples for total coliforms and further test
these samples for the presence of E. coli. Systems can
refer to Section B.3.2 of this guide for a more detailed
discussion of the types of samples that systems must
take.
Systems must have a sample siting plan that
identifies when and where to collect samples from the
distribution system. The locations must be
representative of the quality of the water in the
distribution system. Systems will find additional
discussion of the sample siting plan in Section B.3.3 of
this guide.
There are special procedures systems will want
to follow for taking samples to help ensure they are
representative of the water in the system. Systems
should check with their drinking water primacy agency
9 The general monitoring requirements are found in 40 CFR 141.853 while system-specific monitoring
requirements are found in 40 CFR 141.854 to 141.857.
Monitoring Requirements at a
Glance
1) Develop a sample siting plan that
sets out schedule and location of
water samples.
2) Take routine water samples on a
regular basis and have them tested
for the presence of total coliforms.
3) If the routine sample is total
coliform-positive: (a) have it tested
for E. coli and (b) take repeat
samples.
4) Have the repeat samples analyzed
for total coliforms and, if positive,
for E. coli.
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or their certified laboratory regarding the proper way to take samples. Remember that all
coliform samples must be submitted quickly to a laboratory certified by the primacy agency in
order to meet the RTCR testing requirements.10
^Sending Samples for Testing
Systems must send their samples to a laboratory certified by the primacy agency for analysis. Send the
samples as soon as possible, keeping in mind that the laboratory must start the tests within 30 hours of
sample collection. EPA encourages (but does not require) that samples be shipped below 10°C (50°F).
The temperature may be achieved by carefully packing the water samples in ice. Care should be taken
when packing samples to avoid freezing. The laboratory may invalidate the frozen samples.
B.3.2. What types of samples must water systems take?
As mentioned previously, water systems are required to take routine samples of their
water and test them for the presence of total coliforms. The presence of total coliforms triggers
additional sampling of the water and testing for the presence of E. coli. This section discusses
the different types of samples that systems must take under the RTCR.
Routine samples - Section B.3.2.1
Additional routine samples (for systems monitoring quarterly or annually) - Section B.3.2.2
Repeat samples - Section B.3.2.3
Testing for E. coli - Section B.3.2.4
In general, systems follow the sequence outlined in Figure B-l when complying with the
monitoring requirements of the RTCR.
' Analytical methods and laboratory certification requirements are found in 40 CFR 141.852.
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Result of Routine and Repeat Samples
Systems must include the results of all routine and repeat samples taken during the monitoring period
to determine whether they triggered an assessment, violated the E. coli MCL or both.
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Figure B-1. Diagram Showing the RTCR Monitoring Requirements
Take your samples according to your sample siting plan
Make sure lab
tests TC+
sample for EC
Take routine TC
sample
For each TC+ a
sample, do the
following:
Take 3 repeat
samples
If a repeat
sample is TC+,
make sure lab
tests for EC
Continue with
routine
monitoring
Systems on quarterly
or annual monitoring:
Take 3 routine samples
the following month
TC-total coliforms; TC+ - total coliform-positive
EC - £ co//; EC+ - £ co//-positive
a If you operate a ground water system not providing 4-log treatment of viruses,
collect source water samples to comply with the Ground Water Rule.
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'Special Purpose Samples
Special samples are collected during repairs, responses to complaints, or for other maintenance reasons.
Collection of these types of samples is often necessary to ensure that coliforms have not entered the
distribution system as a result of events such as installation of new mains, main break repairs, or routine
maintenance. Special samples are not included in compliance or assessment trigger calculations.
6.3.2.1. Routine samples
These are samples that systems are required to take on a regular basis. This could be
monthly, quarterly or annually, as allowed by the drinking water primacy agency. Systems
should check with their drinking water primacy agencies if they are not familiar with their
required routine monitoring schedule.
The primacy agency may allow systems to monitor less frequently than their baseline
frequency11 if they meet certain criteria. On the other hand, if systems are monitoring either
quarterly or annually, certain conditions will trigger them to monitor more frequently. To go
back to a less frequent monitoring schedule, systems will need to meet certain criteria. Table
B-l gives a summary of the monitoring frequency that is available for each system type under
the federal requirements of the RTCR. Water systems can go to Part D of this guide to see the
criteria for qualifying for and staying on reduced monitoring and the conditions that can trigger
them to go to an increased monitoring frequency. Systems should check with their drinking
water primacy agency to determine if they are allowed to monitor at a reduced monitoring
frequency.
11 The baseline frequency is the regular monitoring frequency based on water system type as defined in the
drinking water primacy agency regulation.
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^Additional total coliform samples for surface water systems not practicing filtration
In addition to their monthly routine sample, surface water systems that do not practice filtration are
also required to take additional coliform samples when the turbidity level of their source water exceeds
1 NIL). Systems must collect the sample near the first service connection within 24 hours of exceeding
1NTU.
Systems must include these total coliform samples in determining whether they have exceeded the E.
coli MCL or triggered an assessment.
Table B-1. Routine Monitoring Frequency for Systems Serving < 1,000 Persons
System Type12
NCWS GW non-seasonal
or year-round
NCWS GW seasonal
NCWSSW
CWSGW
CWSSW
Increased
Frequency
I/ month
NA
NA
NA
NA
Baseline Frequency
I/ quarter
I/ month
I/ month
I/ month
I/ month
Reduced Frequency
I/ year
I/ quarter
or
I/ year
NA
I/ quarter
NA
See
Appendix
D.I
D.2
--
D.3
--
6.3.2.2. Additional routine samples
A system on a less-than-monthly monitoring schedule (for example, quarterly or
annually) must take at least three routine total coliform samples the month following a total
coliform-positive routine sample, unless the drinking water primacy agency notifies the system
otherwise. These samples are referred to as "additional routine samples" because they are
more than the usual number of samples that systems must take. These samples must be
included in determining whether an assessment is required (see Section B.4.4.1 and Section
12 NCWS - Non-community water system; CWS - Community water system; GW - ground water source; SW -
surface water source; NA - not applicable.
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B.4.4.2 of this guide) or the E. coli MCL has been exceeded (see Section B.6.1 of this guide) for
the month in which they were collected.
.Additional Routine Samples: An Example
System A takes one sample every quarter. The routine sample it took in January (for the 1st quarter of
the year) turned out to be total coliform-positive. In addition to testing the total coliform-positive
sample for E. coli, the system is also required to take three (additional) routine samples in February. If
one or more of the three samples is total coliform-positive, it will continue to collect three (additional)
routine samples in March. System A will continue to collect the additional routine samples until total
coliforms are not detected in its system or the rest of the monitoring results trigger the system into an
increased monitoring frequency.
6.3.2.3. Repeat samples
These are follow-up water samples that water systems are required to take each time a
routine sample is positive for total coliforms.13 Repeat samples must be collected
within 24 hours after the system receives notification of a total coliform-positive
sample. Repeat samples help to identify the source and characterize the extent of
the coliform contamination within the system.
Systems are required to take three repeat samples for each routine total coliform-
positive sample detected. The repeat samples must be identified in the sample siting plan and
must be taken at the following locations:
One at the same sampling tap as the original total coliform-positive sample (TC+)
One at a tap within five service connections upstream of the original sampling site (or at an
alternative location identified in the sample siting plan
One at a tap within five service connections downstream of the original sampling site (or at an
alternative location identified in the sample siting plan)
Systems have the flexibility to propose the two alternative locations to their drinking
water primacy agency if they think that these locations best verify and determine the extent of
; Repeat monitoring requirements are found in 40 CFR 141.853 and 141.859.
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potential contamination of the distribution system (for example, near a storage tank) rather
than having to sample within five connections upstream and downstream of the total coliform-
positive (TC+) sample location. Systems that do not wish to propose alternative sampling
locations may stay with the default locations of within-five-connections-upstream-and-
downstream of the total coliform-positive sample location.
Figure B-2. Location of Repeat Samples
1 sample at original TC+ location
1 sample within 5 connections upstream
(or alternative location specified in
I ^^H "* \
sample siting plan) ^ m\
1 sample within 5 connections downstream
(or alternative location specified in
sample siting plan)
For systems with a single service connection, the drinking water primacy agency may
allow the system to collect the required set of repeat samples over a consecutive three-day
period or to collect a larger volume repeat sample(s) in one or more sample containers of any
size, as long as the total volume collected is at least 300 ml. Systems must identify repeat
monitoring locations and should include procedures in their sample siting plans.
Dual-Purpose Samples
Ground water systems with only one well that are required to conduct triggered source
water monitoring under the Ground Water Rule (GWR), with written drinking water primacy
agency approval, can take one or more of their repeat samples at the location where they will
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take their GWR-triggered source water sample. They can count that same sample as both a
repeat sample under the RTCR and a triggered source water sample under the GWR (also
known as a dual-purpose sample). Note that since the sample is for compliance for both the
RTCR and the GWR, there are consequences under both rules for having an E. co//-positive
result. See Table B-2 below. Systems should contact their drinking water primacy agency if they
have any questions.
Table B-2. Consequences of Getting an £. co//-positive Result with a Dual-Purpose
Sample
Number of Dual-
Purpose Samples
Taken
1
2 or 3
2 or 3
Result
EC+
1EC+
>2EC+
Consequences
underthe RTCR
MCL violation
MCL violation
MCL violation
Consequences underthe GWR14
Take corrective action if directed by the
drinking water primacy agency; or
Collect five additional source water
samples
Take corrective action if directed by the
drinking water primacy agency; or
If two or more dual purpose samples were
taken at the approved location, the
system must contact its drinking water
primacy agency to determine the number
of additional source water samples
required
Corrective action required
' The Ground Water Rule requirements are found in 40 CFR 141.402(a).
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B.3.2.4. Testing for E. coli
Any routine or repeat sample that is positive for total coliforms must be further tested
for the presence of E. coli.15 The certified laboratory should perform this analysis when any of
the routine or repeat samples is total coliform-positive. The presence of E. coli in the water
signifies that fecal contamination may be present in the distribution system; therefore,
additional actions are required from the system (for example, primacy agency notification of
result and possibly public notification). The reporting and public notification requirements are
discussed in Section B.5 and Section B.6 of this guide, respectively.
B.3.3. What is a sample siting plan?
A sample siting plan16 designates the locations of the sampling sites and schedule of
sampling. All systems are required to develop a sample siting plan. It specifies where in the
building or distribution system samples will be taken in order to ensure that they are
representative of the water supplied to every consumer.
Having a written sample collection protocol helps ensure that all sampling is done
correctly, even when the system personnel changes. The sample siting plan must identify the
specific sample locations for each monitoring period's routine samples, repeat samples when
required, and the three sites where "additional routine samples" would be collected the month
following a total coliform-positive sample for those systems that are allowed to monitor
quarterly or annually.
The details of the sample siting plan depend on the characteristics of the system and on
the requirements of the drinking water primacy agency. Contact the primacy agency to see if
there are any required forms or if there are specific elements that need to be included in the
sample siting plan in addition to those suggested in this document. When preparing a sample
siting plan, consider the following:
15 The E. coli requirements are found in 40 CFR 141.858.
16 The requirements for sample siting plans are found in 40 CFR 141.853(a).
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The location and type of water sources, treatment facilities, storage tanks, pressure stations and
service connections.
The location of dead-end pipes, loops and other areas of the piping system's configuration.
Cross-connection hazards.
Areas of low water pressure and slow water movement.
Varying population densities.
When do I need primacy agency approval of my sample siting plan?
In general, the system must make the sample siting plan available for primacy agency
review and revision. The system should check with its primacy agency to determine whether it
has to submit the sample siting plan for the agency to review, possibly revise and approve
before the system can begin sampling.
Review of Sample Siting Plans
Sample siting plans are subject to drinking water primacy agency review and revision. Systems should
check with their primacy agencies to determine the process for review and revision of sample siting
plans. In particular situations, primacy agency approval is necessary before systems can begin sampling.
In the following situations, the system is required to submit the sample siting plan to the
primacy agency for review, and in certain cases, approval.
Use of alternative repeat sampling locations (instead of using locations five connections upstream
and downstream of the original total coliform-positive sample). When using alternative repeat
sampling locations, the system must submit the sample siting plan to the primacy agency. The
primacy agency may modify the plan as needed before the system can begin sampling.
Seasonal systems allowed to conduct monitoring less frequently than once a month - Seasonal
systems on less than monthly monitoring frequency must specify in their sample siting plan the time
period when they will take their routine sample (see Section B.3.6 of this guide for further
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discussion). The primacy agency must approve the sample siting plan before the system can begin
sampling.
Use of dual purpose samples - Systems allowed to take dual purpose samples (see Section B.3.2.3
of this guide for further discussion) must have their sample siting plan approved by the primacy
agency before the system can take dual purpose samples.
B.3.4. Where can water systems take their samples?
The sample locations should be selected carefully so that representative samples for
the entire system can be obtained, whether the system consists of one building or multiple
buildings. It is especially important to identify and include in the sample siting plan the areas
that may adversely affect the microbiological quality of the water. Systems should consider
varying sample site locations throughout the year to better represent water quality throughout
the distribution system. Sampling locations to consider include:
Main line
Areas of low water pressure and slow water movement
Branch line
Dead-end pipe
Near a storage tank
Faucets and specially installed sampling taps are the two most common types of
sampling sites. If faucets are to be used, each faucet should be examined carefully to ensure its
suitability.
Some examples of unsuitable sites are:
Swivel-type faucets that have a single valve for hot and cold water.
Faucets that have leaky packing material around the stem.
Faucets such as janitorial or commercial sinks, where bacterial contamination is likely.
Faucets close to or below ground level.
Faucets that point upward.
Faucets that have threads on the inside of their spouts.
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Faucets that have aerators. (If such faucets are to be used, the aerators must be removed
before a sample is collected.)
For locations of the repeat samples, systems should refer to Section B.3.2.3 of this
guide.
B.3.5. What do the water system's sampling results mean?
Depending on the results of the monitoring during a sampling period (could be either a
month, a quarter, a year or other period that the primacy agency specifies), a system might
have to conduct an assessment, get triggered into an increased monitoring schedule (if system
is on a reduced schedule), incur a violation or all of the above. For discussion of when a system
triggers an assessment, see Section B.4.4.1 and Section B.4.4.2 of this guide. The conditions
that trigger a violation are in Section B.6 of this guide. Systems should check with their primacy
agency to determine if they are also triggered to an increased monitoring schedule.
It is also important that systems take all their required samples, as failure to do so could
also result in an assessment trigger or a violation.
B.3.6. Are there requirements specific to seasonal systems?
Complying with primacy agency-approved start-up procedures
Seasonal systems17 must comply with primacy agency-approved start-up procedures
before serving water to the public. This is to ensure that no contamination is present in the
water that might have entered the system when it was not in operation. Seasonal systems
should check with their primacy agency to determine which procedures they need to conduct
and complete for their particular system. Start-up procedures may include the following:
Flushing the system
Cleaning water storage tanks
Inspection and repair of system components
Disinfection
' Seasonal system-specific requirements are found in 40 CFR 141.854(i), 141.856(a)(4) and 141.857(a)(4).
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Water sample collection
Certifying completion of start-up procedures to the primacy agency
After completing the start-up procedures, seasonal systems are also required to certify
to their primacy agency that they have completed the start-up procedure. Systems should
check with their primacy agency to determine how they will need to complete their certification
process.
Sampling during the vulnerable period
Seasonal systems on a quarterly or annual monitoring period must state in their
sample siting plan the time period when they will take their routine sample. This period is
based on site-specific conditions. Consider, for example, when the demand for water is the
highest, when the source water is most vulnerable to contamination (for example, during the
wet season), or when there is a source of contamination that might affect the area surrounding
the well (for example, spreading of animal waste for fertilizer). The primacy agency must
approve the sample siting plan and the system must monitor during the period identified in the
sample siting plan.
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B.4. Assessment and Corrective Action Requirements
What will I learn from this chapter?
The importance of conducting
assessment and corrective actions
The conditions that trigger a Level
1 or Level 2 assessment
What to do when an assessment is
triggered
What to do after an assessment
Assessment and Corrective Action
Requirements at a Glance
1} Determine if you have triggered
either a Level 1 or Level 2
assessment.
2) Determine who can conduct the
assessment and what assessment
form to use.
3) Make sure the assessment is
conducted as soon as practical.
4) Correct any sanitary defects
identified during the assessment.
5) Complete the assessment form
and submit it to the primacy agency
within 30 days of learning of the
trigger.
This chapter provides guidance on implementing the
assessment and corrective action requirements18 of the
RTCR.
B.4.1. What does the RTCR require?
The RTCR requires an assessment of the water
system if monitoring results (for example, repeated
presence of total coliforms) indicate that the system
might be vulnerable to contamination. The RTCR also
requires the system to correct any problems identified
during the assessment. Additional information about
conducting an assessment and completing a corrective
action can be found in the Revised Total Coliform Rule
Assessments and Corrective Actions Guidance Manual. 19
B.4.2. Why does the RTCR require assessment and
corrective action?
The RTCR aims to increase public health
protection through the identification and reduction of
defects that could either (1) provide pathways that
allow fecal contamination and waterborne pathogens to
enter into the distribution system; or (2) indicate a
failure or imminent failure in a barrier that is already in
place. Performing assessments will also help identify
problems with the sampling practices.
18 The assessment and corrective action requirements are found in 40 CFR 141.859.
19 The Revised Total Coliform Rule Assessments and Corrective Actions Guidance Manual (Interim Final) EPA-R-14-
006 is available for download from the Public Docket at http://www.regulations.gov (search for EPA-HQ-OW-2008-
0878-0322).
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This proactive approach is intended to prevent serious contamination by early
identification and correction of problems. The RTCR uses the term sanitary defects to refer to
these problems.
B.4.3. What are examples of sanitary defects?
Sanitary defects can allow the entry of microbial contamination into the distribution
system. Examples of sanitary defects include:
Cross connection and backflow issues
Required cross connection control devices not in place or not operating properly
Unprotected cross connection
Unauthorized connections to water mains
Operational issues
Inadequate disinfection during and after pipe repair or replacement activities
Failure to monitor and replace chlorine supply
Distribution system issues
Failure to maintain adequate pressure or occurrence of low pressure event
Pump failure
Improper flushing or lack of flushing programs
Improper construction of new, replaced, or renovated lines or service connections
Storage issues
Overflow, vents, hatches and other penetrations not configured, screened, or sealed
properly
Holes in tanks that could allow entry of insects or small animals
Bladder pressure tanks that can become waterlogged
Inadequate inspection and maintenance of storage facilities
Inadequate disinfection during and after pipe repair or replacement activities
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Source water issues
Cracks or holes in well seals or casings
Leaking sewer lines or septic tanks
Sewage overflow upstream of the source
Lack of wellhead protection
Unsanitary conditions at the wellhead
Contamination during pump or motor repair or replacement
Watertight seal at wellhead not present
Disinfection issues
Inability to maintain required residual throughout the distribution system
Failure of chlorination equipment
Improper settings on chemical feed
Failure in redundant disinfection
Loss of power
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Figure B-3. Examples of Sanitary Defects
Cracks on a storage tank Rat droppings around the wellhead Seal on wellhead not watertight
Photos courtesy of Nevada Division of Environmental Protection
BAA. What types of assessments are required under the RTCR?
There are two types of assessments that may be triggered under RTCR, a Level 1
assessment and a Level 2 assessment. A Level 2 assessment is triggered by conditions that pose
a more immediate and more severe public health risk compared to conditions that trigger a
Level 1 assessment. The Level 2 assessment is a more detailed assessment than a Level 1
assessment and may involve more effort and resources. The two levels of assessment recognize
the difference in the severity of the situation and the varying level of effort required for the
assessment.
If the results of total coliform monitoring trigger the need for an assessment under both
the Ground Water Rule (GWR) and the RTCR, it might be possible to combine the assessments
required under both rules into one assessment, as long as the combined assessment complies
with the requirements of both rules. Systems should check with their primacy agency before
performing such combined assessments.
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Completing the Assessment and Assessment Form
Regardless of whether a Level 1 or Level 2 assessment is required, the assessment must be completed
and the assessment form submitted to the primacy agency within 30 days of the system learning that an
assessment has been triggered.
B.4.4.1. What is a Level 1 assessment?
A Level 1 assessment is a basic examination of the source water, treatment,
distribution system and relevant operational practices. It is intended as a self-assessment and
will be performed by a responsible party of the water system in most cases. However, systems
should consult additional experts if they think that they need assistance to properly conduct
the assessment.
A Level 1 assessment is triggered by the following events:
1. Two or more total coliform-positive samples (routine and repeat samples factor into this
determination) in the same sampling period; or
2. Failure to take every required repeat sample after any single routine total coliform-
positive sample.
an Assessment
Water systems should be familiar with the forms and required submittals so that they are prepared for
an assessment in advance, should one be required. For example, systems may wish to create a standard
operating procedure (SOP) for what to do when coliform results trigger an assessment. When
developing the SOP, systems should verify with their primacy agency whether there is a specific version
of the assessment form that needs to be used, and understand which data source(s) they can use to fill
out the various sections.
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B.4.4.1.1. Why is it important to conduct a Level 1 assessment?
The purpose of performing either a Level 1 or Level 2 assessment is to enhance public
health protection by identifying the presence of sanitary defects that allow contamination to
enter into the system. Performing assessments will also help identify any problems with the
sampling practices.
Identifying and correcting sanitary defects early will provide some assurance that the
water system has addressed issues that may compromise public health. While the Level 1
assessment is intended to be a basic and a relatively simple assessment, it should be conducted
thoroughly to capture the possibility that there may be multiple sanitary defects. In some cases,
the assessor may not find a sanitary defect despite conducting a thorough assessment.
Ideally, a well-performed Level 1 assessment with appropriate corrective action(s) will
prevent most systems from developing conditions that lead to fecal contamination or a Level
2 assessment. Assessments can also help water systems learn how to improve their daily
operations.
A system that fails to conduct a Level 1 assessment incurs a treatment technique
violation that disqualifies the system from having a clean compliance history (that is, no
history of RTCR violations within the last 12 months). Hence, the system's ability to stay on or
qualify for a reduced monitoring frequency (if the drinking water primacy agency allows
reduced monitoring) is affected. Also, if the system has a treatment technique violation, it will
be required to issue a Tier 2 public notice. See Section B.6 of this guide for a discussion of the
public notification requirements of the RTCR.
B.4.4.1.2. Who conducts a Level 1 assessment?
A Level 1 assessment can be conducted or managed by a party that is responsible for
and knowledgeable about the water system. This should be someone with sufficient
knowledge of the system to answer the questions in the Level 1 assessment form or to gather
correct information from others who work for the system. The system may also seek assistance
from external parties who have experience managing or assessing public water systems, if
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desired. For example, external assistance may be provided by primacy agency personnel, a
certified operator from a similar system, a circuit rider, consultant or other utility expert.
Systems should check with their drinking water primacy agency to determine if they have the
appropriate person conducting the Level 1 assessment.
B.4.4.1.3. How is a Level 1 assessment documented?
The water system must use a Level 1 assessment form to document the assessment. The
form must be completed and submitted to the drinking water primacy agency within 30 days
after the system learns that it has triggered an assessment. Systems should check with their
primacy agency to determine what Level 1 assessment form to use.
The primacy agency makes the final determination on the adequacy and completeness
of information provided in the assessment. The primacy agency will review the assessment
form and if it determines that the assessment is insufficient, it will consult with the system on
follow-up efforts that may be required.
B.4.4.1.4. How is a Level 1 assessment conducted?
Systems should check with their drinking water primacy agency to obtain the required
assessment form. At a minimum the assessor should review the following items when
conducting the assessment:
Unusual events that may have affected water quality (for example, loss of pressure)
Any changes in the maintenance and operation of the distribution system
Condition of the source water and changes in treatment
Existing water quality monitoring data
Inadequacies in sample sites, sampling protocol and sample processing
Table B-3 provides a list of the typical elements that the assessor
should review or consider when conducting a Level 1 assessment. Take note
that not all of these elements will be applicable to all water systems. It might be
the case that the system does not have any treatment process or an extensive distribution
system. In this case, the assessment will only focus on those elements that are present in the
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system such as the source water (for example, wells) and the limited distribution system. If the
system is a school, a church or any type of building with its own source of water and the water
is used only within the building, then an assessment of the pipes inside the building is also
warranted.
"Completing the Assessment and Assessment Form
The assessor should read and complete the entire assessment form provided by the state, even if the
assessor believes he or she understands why the assessment was triggered. The assessment might
identify multiple causes or other sanitary defects that the assessor did not know existed. Table B-3 may
provide additional assistance in completing the state assessment form.
Table B-3. Typical Items to Evaluate and Consider When Conducting a Level 1
Assessment
Items to Evaluate and Consider
1. Sample site
What is the condition or location of the tap?
What is the regular use of the connection?
2. Sample collection protocol
Was the sampling protocol followed and reviewed - for example, was tap
flushed, aerator removed, fresh sample bottles used, and the sample
stored and shipped properly?
Reviewed and checked?
(If applicable)
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Items to Evaluate and Consider
Reviewed and checked?
(If applicable)
3. Occurrence of possible causal events prior to the collection of total coliform
samples, for example:
- Were there interruptions in the treatment process?
- Were there reported loss of pressure events?
Were there operation and maintenance activities that could have
introduced total coliforms?
- Was there reported vandalism or unauthorized access to facilities?
- Were there reported visible indicators of unsanitary conditions?
Was there a firefighting event, flushing operation, sheared hydrant, etc.?
4. Recent operational changes to the system
Were new sources introduced?
Were there treatment or operational changes?
- Were there potential sources of contamination (for example, low pressure,
high turbidity, loss of disinfection)?
5. Distribution System
Was there an occurrence of low or negative pressure?
Is there a cross connection?
What is the condition of the pump station?
What is the condition of air relief valves?
What is the condition of backflow prevention devices?
What is the condition of pipes and valves?
6. Storage Tank
What is the condition of the tank?
What is the condition of the screens, access opening, vent, drain overflow?
- Is the tank secured to prevent unauthorized access?
What is the status of operation and maintenance (O&M) procedures?
7. Treatment Process
Were there interruptions in treatment (for example, loss of disinfection,
filter malfunction, etc.)?
What is the condition of point of entry (POE) or point of use (POU)
treatment units?
Are there softeners?
What is the status of O&M procedures?
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Items to Evaluate and Consider
Reviewed and checked?
(If applicable)
8. Source-Well
- What is the condition of the well cap, well seal or well casing?
Is the vent screened?
- Are there air gaps?
- Are there cross connections?
9. Source-Spring
What is the condition of the spring development?
What is the condition of the spring box?
- Is the spring secured to prevent unauthorized access?
10. Source - Surface Water Supply
- Has there been heavy rainfall?
- Has there been rapid snowmelt?
6.4.4.2. What is a Level 2 assessment?
A Level 2 assessment is a more detailed examination of the system, its operational
practices and monitoring program and results. The elements of a Level 2 assessment are the
same as those of a Level 1 assessment, but each element is investigated in greater detail. This is
because the incidents that trigger a Level 2 assessment are of a more critical nature and may
result in direct public health impact. A Level 2 assessment will likely include field investigations,
additional sampling and additional inspections of facilities beyond those performed in a Level 1
assessment. It may involve the engagement of additional parties and expertise. Generally, the
Level 2 assessment will not be conducted by the water system. It will mostly likely be
conducted by the drinking water primacy agency or by a party approved by the drinking '
primacy agency.
A Level 2 assessment is triggered by the following:
1. An E. coli MCL violation; or
2. A second Level 1 trigger within a rolling 12-month period; or
; water
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3. For systems on approved reduced annual monitoring, a Level 1 treatment technique
trigger in two consecutive years.
B.4.4.2.1. Why is it important to conduct a Level 2 assessment?
The purpose of performing a Level 2 assessment is to enhance public health protection
by identifying the presence of sanitary defects so they can be addressed. It is especially
important that they are conducted, given that they are triggered by events that either (a) pose
a potential immediate acute public health threat (that is, trigger associated with the presence
of E. coli) or (b) may pose a potential serious health impact because of the persistence of the
contamination (that is, a second Level 1 trigger).
EPA anticipates that a Level 2 assessment triggered by the presence of E. coli may be
more involved than the Level 2 assessment following a trigger in which there is no E. coli
present, given the different level of potential of public health concern.
A system that fails to conduct a Level 2 assessment incurs a treatment technique
violation that disqualifies the system from having a clean compliance history (that is, the
system no longer has "no record of RTCR violations" within the last 12 months). Hence, the
system's ability to stay on or qualify for a reduced monitoring frequency (if the drinking water
primacy agency allows reduced monitoring) is affected. Also, if the system has a treatment
technique violation, it will be required to issue a Tier 2 public notice. See Section B.6 of this
guide fora discussion of the public notification requirements of the RTCR.
B.4.4.2.2. Who is responsible for conducting a Level 2 assessment?
Since a Level 2 assessment is triggered by a more significant event, the Level 2
assessment is a more comprehensive assessment and must be conducted by a party approved
by the primacy agency due to the higher level of complexity. The approved party conducting
the assessment could be the primacy agency itself or a third party, such as a circuit rider or
representative from a county health district. In some circumstances, it could be conducted by
one of the system's staff or management with the required qualifications specified by the
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primacy agency. If needed, systems should check with their drinking water primacy agency to
determine who will conduct the assessment.
Though the Level 2 assessment must be performed by someone approved by the
primacy agency, the system is ultimately responsible for making sure that the assessment is
conducted properly and completely.
B.4.4.2.3. How is a Level 2 assessment documented?
Similar to a Level 1 assessment, the assessor must document the assessment using a
Level 2 assessment form. Systems should check with their primacy agency to obtain the
required assessment form. The form must be completed and submitted to the primacy agency
within 30 days after the system learns that the trigger has been exceeded. The primacy agency
will determine whether the Level 2 assessment was properly conducted and the assessment
form properly completed.
B.4.4.2.4. How is a Level 2 assessment conducted?
A Level 2 assessment looks at the same elements as a Level 1 assessment, but in more
detail and depth. At a minimum, the assessor should review the following items when
conducting the assessment:
Unusual events that may have affected water quality (for example, loss of pressure)
Any changes in the maintenance and operation of the distribution system
Condition of the source water and changes in treatment
Existing water quality monitoring data
Inadequacies in sample sites, sampling protocol and sample processing
^Conducting the Level 2 Assessment
Although the Level 2 assessment must be performed by someone approved by the primacy agency, the
system is ultimately responsible for making sure that the assessment is conducted properly and
completely. In all likelihood, the system and the approved assessor will have to work closely together to
compile and review all the information relevant to the successful completion of the assessment at the
water system.
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B.4.5. What happens if the assessor identifies a sanitary defect during an assessment?
The water system must correct all sanitary defects identified during a Level 1 or Level
2 assessment. The system should consult with its primacy agency as necessary and as early as
possible to complete corrective actions that the primacy agency will consider to be sufficient.
All the sanitary defects identified must be described in the assessment form.
In addition, the form must also include all completed corrective actions and a proposed
timetable for corrective actions that are yet to be completed when the form is due to the
primacy agency (which is 30 days from when the system learns of the assessment trigger).
B.4.6. What if the assessor did not identify a sanitary defect?
It is possible that even after conducting an assessment, the assessor cannot conclusively
link the cause of the positive sample to a given sanitary defect due to the complexity of the
distribution system configuration and transport of contaminants throughout the system. In this
case, the water system must document this conclusion in its assessment form. The primacy
agency may require the system to provide supporting documents to back up its conclusion.
When a system does not identify a sanitary defect during an assessment, EPA
recommends several actions the system might consider performing after the assessment is
completed. Examples of these actions include flushing, increasing disinfectant residual,
collecting additional investigative samples, examining whether samples were collected from
appropriate sample sites and re-training staff or sampler on proper sampling procedures.
The RTCR also identifies a list of "best technologies, treatment techniques, or other
means" (also known as best available technologies or BATs) to help systems comply with the
rule (see 40 CFR 141.63(e) of the RTCR). These include protection of wells from fecal
contamination by appropriate placement and construction, maintenance of a disinfectant
residual, proper maintenance of the distribution system (e.g., flushing programs, proper
operation and maintenance of storage tanks, cross connection control), filtration and
disinfection, and compliance with the state wellhead protection program. Water systems may
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choose to take advantage of these BATs when they trigger an assessment in order to avoid
future triggers or violations, even if they are unable to find a likely cause or sanitary defect.
B.4.7. What is the timeline for completing the assessments and the corrective actions?
Water systems must complete the assessment or have the assessment completed as
soon as practical after they learned that they triggered an assessment. The completed
assessment form must then be submitted to the primacy agency for review
within 30 days after the system learns that it has triggered an assessment. |30 days
Remember that the assessment form must include any sanitary defect identified
and the corrective actions taken to address the defect.
The primacy agency determines the completeness of the assessment and the
assessment form. The primacy agency may consider the assessment insufficient if it was not
fully executed (for example, the conditions at the well were not fully assessed) or if it was
incomplete (for example, not all of the required elements were examined). The primacy agency
may then require the system to resubmit a revised assessment. Systems must make sure they
resubmit the form by the due date specified by the primacy agency.
B.4.8. What happens if all corrective actions have not been completed by the time the assessment
form is due to the drinking water primacy agency?
If there are corrective actions that are not completed or cannot be completed by the
time of submission of the assessment form (for example, in the case where parts need to be
ordered and may take longer than 30 days to be delivered and installed), the water system
must inform the primacy agency and propose a schedule for the completion of the unfinished
corrective actions. The proposed timetable must be included in the assessment form.
The water system must complete the corrective action(s) according to a schedule
agreed upon by both parties and notify the primacy agency when each scheduled corrective
action is completed.
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B.4.9. What happens if the water system did not do an assessment or did not complete the
corrections?
A system incurs a treatment technique violation if it fails to conduct an assessment or
complete the corrective action(s) within the required time period. As discussed in Section
B.4.4.1.1 and Section B.4.4.2.1 of this guide, having a treatment technique violation affects the
ability of a system to stay on or qualify for reduced monitoring, if the primacy agency allows
reduced monitoring.
Note that triggering an assessment is not a violation in itself but failing to conduct an
assessment is a violation.
Systems should also make sure that they submit their completed assessment form
within the required time period. Failure to do so will result in a reporting violation. See Section
B.6 of this guide for a discussion of the different types of violations and their associated types
of public notification that systems must issue afterwards.
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B.5. Reporting and Recordkeeping
B.5.1. What do water systems need to report to their primacy agencies?
^^^^^^^^^^^^^^^^^m Systems are required to report certain items to
What will I learn from this chapter?
The information that needs to be
reported to the primacy agency
When to report these information
to the primacy agency
their primacy agencies as part of their compliance with
the RTCR. These items are listed in Table B-4. Each of
these items has a specified time period. These
requirements are found in 40 CFR 141.31 and 40 CFR
141.861(a).
What records to keep and for how
long to keep them
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Table B-4. Items Water Systems Need to Report
What to Report
When to Report to the Primacy Agency
Monitoring results
E. co//-positive routine
sample
E. co// MCL violation
Coliform treatment
technique violation20
Monitoring violation20
Completed assessment
form
Corrective action(s) not
completed when
assessment form was
submitted
Seasonal systems -
certification of
completion of primacy
agency-approved start-
up procedure
Certification of
compliance with public
notice requirements
Failure to comply with
any of the requirements
of the RTCR not already
mentioned above
Within the first 10 days following either the end of the month the
monitoring was completed, or the end of the required monitoring period,
whichever is sooner. The water system does not need to report this in the
case where the state laboratory does the analysis and submits the results
directly to the primacy agency.
By the end of the day when the water system is notified of an E. coli-
positive routine sample, unless they are notified of the result after the
primacy agency office is closed and the primacy agency does not have
either an after-hours phone line or an alternative notification procedure.
In this case, the water system must notify the primacy agency before the
end of the next business day.
By the end of the day when the water system learn of an E. coll MCL
violation, unless they learn of the violation after the primacy agency office
is closed and the primacy agency does not have either an after-hours
phone line or an alternative notification procedure. In this case, the
system must notify the primacy agency before the end of the next
business day and notify the public within 24 hours of the violation.
No later than the end of the next business day after the water system
learns of the violation. The public must be notified within 30 days.
Within 10 days after the water system learns of the violation. The public
must be notified within a year of the violation.
Within 30 days after learning that the water system has triggered an
assessment.
When corrective action is completed.
Prior to serving water to the public.
Within 10 days of completing the public notification (whether initial
notification or repeat notification).
Within 48 hours of failing to comply with the requirement.
20 Violations are discussed in Section B.6 of this guide.
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B.5.2. What records do water systems need to keep?
Under the RTCR, water systems are required to keep records of their monitoring results
and work done as part of assessments (40 CFR 141.861(b)). 40 CFR 141.33 has additional
recordkeeping requirements that systems must comply with and are shown in Table B-5.
Table B-5. Records Water Systems Need to Keep
Records
Monitoring results
Period of Time to Keep Records
No less than 5 years.
Assessment forms21 and No less than 5 years after completion of the assessment and
documentation of corrective actions corrective action.
completed22
Repeat samples taken that meets
drinking water primacy agency
criteria for extension of 24-hour
period for collection
No less than 5 years.
Copies of public notifications (PN)
issued and certifications of
compliance with PN regulations
No less than 3 years after issuance.
Sample siting plans
No less than 5 years (same period as records of microbiological
analyses).
21 Water systems should keep completed assessment forms regardless of who conducted the assessment.
22 Or other available documentation of sanitary defects and corrective actions. EPA recommends that the water
system keep any photos, receipts, sample results, etc., related to assessments and corrective actions.
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B.6. Violations and Public Notification Requirements
What will I learn from this chapter?
The different types of
violations that systems can incur
if they do not comply with the
RTCR requirements
The required public
notification for each type of
violation
Public Health
Announcement Board
Water systems incur violations if they do not
comply with the requirements of the RTCR. Some
violations require public notification,23 that is, water
systems need to notify the public if they did not comply
with certain requirements of the RTCR. The type of
public notification depends on the severity of the
violation.
Violation
Public Notification (PN)
E. coli MCL Tier 1
Treatment Technique Tier 2
Monitoring
Reporting
TierS
TierS
Section B.6.1 of this guide lists the conditions
that define the violations. Section B.6.2 of this guide
describes the different tiers of PN. Section B.6.3 of this guide briefly discusses the Consumer
Confidence Report.
B.6.1. What types of violations can a water system incur under the RTCR?
The following are the types of violations water systems can incur under the RTCR:
1. E. coli MCL Violation - occurs if any of the following events happens:
E. co//-positive repeat sample following a total coliform-positive routine sample.
23 Violations under the RTCR are found in 40 CFR 141.860. Public notification requirements are found in 40 CFR
141.202(a), 141.203(b)(2) and 141.204(a).
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Total coliform-positive repeat sample following an E. co//-positive routine
sample.
Failure to collect all required repeat samples following an E. co//-positive routine
sample.
Failure to test for E. coli when any of the repeat samples is total coliform-
positive.
il Water Advisories
In addition to requiring a Tier 1 public notification, an E. coli MCL violation may also trigger a
boil-water advisory. Water systems should consult with their primacy agency on requirements
for boil-water advisories.
2. Treatment Technique Violation - occurs when any of the following events
happens:
Failure to conduct the required assessment after exceeding a trigger.
Failure to complete the required corrective action after identifying a sanitary
defect.
Failure of a seasonal system to complete the drinking water primacy agency-
approved start-up procedure prior to serving water to the public.
3. Monitoring Violation - occurs when any of the following events happens:
Failure to collect all required routine or additional routine samples in a
compliance period.
Failure to test for E. coli following a total coliform-positive routine sample.
4. Reporting Violation - occurs when any of the following events happens:
Failure to submit a monitoring report or completed assessment form after a
system properly conducts monitoring or assessment in a timely manner.
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Failure to notify the primacy agency following an E. co//-positive sample in a
timely manner.
Failure to submit certification of completion of a primacy agency-approved
start-up procedure by a seasonal system.
B.6.2. What are the different tiers of public notification?
The following gives a brief description of the different tiers of public notification.
Notices must be provided to persons served by the water system and not just customers billed.
Public Notifications
More information on public notification including example language can be found at EPA's website:
http://water.epa.gov/lawsregs/rulesregs/sdwa/publicnotification/index.cfm. Water systems should
consult with their primacy agency to determine the contents of the public notification.
1. Tier 1 Public Notification - Results from violations and situations with significant
potential to have serious adverse effects on human health.
Water systems are required to issue a Tier 1 public notification as soon as practical but
no later than 24 hours after learning of an E. coli MCL violation. The notification must
be delivered by broadcast media, posting of a notice in a conspicuous location, hand
delivery of notifications, or other methods approved by the primacy agency that will
reasonably reach affected customers within a 24-hour period.
2. Tier 2 Public Notification - Results from violations and situations with potential to have
serious adverse effects on human health not requiring Tier 1 public notification.
Water systems are required to issue a Tier 2 public notification as soon as practical but
no later than 30 days after learning of a treatment technique violation. For community
water systems, the notification may be made in writing by mail or other direct delivery.
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Non-community water systems may post the notice in conspicuous locations. Posted
notices about the violation must remain in place for no less than seven days, even if the
situation has been resolved.
3. Tier 3 Public Notification - Results from violations and situations not requiring Tier 1 or
Tier 2 public notification.
Water systems are required to issue a Tier 3 public notification within one year of
learning of a monitoring violation or reporting violation. Community water systems may
provide Tier 3 public notification using the annual Consumer Confidence Report. Non-
community water systems, which are not required to issue a Consumer Confidence
Report, must provide public notification using other forms or methods consistent with
the requirements of the RTCR (for example, posting or mailing out individual
notifications). Non-community water systems should consult with their primacy agency
to determine which methods are appropriate.
B.6.3. Which water systems are required to issue a Consumer Confidence Report (CCR)?
In addition to public notification triggered by violations (if there are any), community
water systems are also required to issue an annual report called the Consumer Confidence
Report (CCR)24 or water quality report to their customers that contains information about the
sources used (that is, rivers, lakes, reservoirs, or aquifers), any detected contaminants, and
compliance and educational information. Examples of information related to the RTCR that
must be included in the CCR include the total number of E. co//-positive samples and number of
assessments and corrective actions. The CCR is due to customers by July 1st of each year.
Community water systems should check with their primacy agencies to determine the format
and other required information that need to go in the CCR.
1 CCR requirements are found in 40 CFR 141.151 and 141.153(h)(7).
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PartC
RTCR Compliance Checklist
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C. RTCR Compliance Checklist
What do I do if I have a ...?
This section provides a checklist of actions systems must take if they have a
violation or certain events occurred (for example, a total coliform-positive sample, an E. coli-
positive sample or an assessment trigger) during their monitoring period. Systems must take
appropriate actions to protect public health in a timely manner, for example, notify the drinking
water primacy agency, issue public notification, conduct an assessment, monitor at a more
frequent rate, etc. EPA recommends that systems go through the entire checklist, excluding
the items that are not applicable to them - for example, for community water systems, skip the
items that are specific to non-community water systems.
Table C-1. List of Items to Check to Determine Compliance
ITEMS TO CHECK
A. Do you have a total coliform-positive routine sample?
If you answered yes, take the following action(s):
Take 3 repeat samples within 24 hours of being notified of your result. Send these
samples to the lab immediately.
Make sure that your lab tests the total coliform-positive routine sample for the presence
of E. coll.
If you answered no, continue with your routine monitoring.
B. Do you have a total coliform-positive repeat sample?
If you answered yes, take the following action(s):
Make sure that your lab tests the total coliform-positive routine sample for the presence
of E . coll.
C. Do you have an E. co//-positive routine sample?
If you answered yes, take the following action(s):
Notify your drinking water primacy agency by the end of the day when you learn of the
positive result, or by the end of the next business day if you learn of the positive result
after the agency office is closed and the agency has no after-hours notification system.
YES
NO
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ITEMS TO CHECK
D. Do you have an E. coli MCL violation?
An E. co//-positive repeat sample following a total coliform-positive routine sample.
A total coliform positive repeat sample following an £ co//-positive routine sample.
Failure to collect all required repeat samples following an £ co//-positive routine sample.
Failure to test for £ coli when any of the repeat samples is total coliform-positive.
If you answered yes to any of the items in "D" above, take the following action(s):
Report the violation to your drinking water primacy agency as soon as practical but no
later than 24 hours after learning of the violation.
Notify the public by issuing a Tier 1 public notification as soon as practical but no later
than 24 hours after learning of the violation.
Make sure a Level 2 assessment is conducted. See Item F.
If you are on quarterly or annual monitoring, go to monthly monitoring beginning the
following month.
E. Did you trigger a Level 1 assessment?
Two or more total coliform-positive samples in the same sampling period (include results
of both routine and repeat samples).
Failure to take every required repeat sample after any single routine total coliform-
positive sample.
If you answered yes to any of the items in "E" above, take the following action(s):
Check with your drinking water primacy agency to determine who can conduct a Level 1
assessment and which forms to use.
Conduct the Level 1 assessment, correct all sanitary defects found and submit form to
your drinking water primacy agency within 30 days of learning of the trigger.
F. Did you trigger a Level 2 assessment?
An E. coli MCL violation.
A second Level 1 trigger within a rolling 12-month period.
For systems on approved reduced annual monitoring, a Level 1 treatment technique
trigger in two consecutive years.
If you answered yes to any of the items in "F" above, take the following action(s):
Check with your drinking water primacy agency to determine who can conduct a Level 2
assessment and which forms to use.
Conduct the Level 2 assessment, correct all sanitary defects found and submit form to
your drinking water primacy agency within 30 days of learning of the trigger.
G. Do you have a treatment technique violation?
Failure to conduct a required assessment within the required time period.
Failure to perform corrective actions within the required timeframe.
Seasonal system: Failure to complete a primacy agency-approved start-up procedure.
If you answered yes to any of the items in "G" above, take the following action(s):
YES
NO
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ITEMS TO CHECK
Report the violation to your drinking water primacy agency no later than the end of the
next business day after you learn of the violation.
Notify the public by issuing a Tier 2 public notification as soon as practical but no later
than 30 days after learning of the violation.
H. Do you have a monitoring violation?
Failure to take all required routine and additional routine samples.
E. coll not analyzed following a total coliform-positive routine sample.
If you answered yes to any of the items in "H" above, take the following action(s):
Report the violation to your drinking water primacy agency within 10 days of learning the
violation.
Notify the public by issuing a Tier 3 public notification within a year of learning of the
violation.
1. Do you have a reporting violation?
Failure to submit the monitoring report at the end of the monitoring period after system
properly conducts monitoring.
Failure to submit the assessment form within required timeframe after system properly
conducts an assessment.
Failure to notify your drinking water primacy agency of an E. co//-positive sample within
the required timeframe.
Failure of a seasonal system to certify to the drinking water primacy agency that they have
completed the start-up procedure before serving water to the public.
If you answered yes to any of the items in "\" above, take the following action(s):
Notify the public by issuing a Tier 3 public notification within a year of learning of the
violation.
J. If you are a non-community water system (including seasonal systems) on a quarterly monitoring
schedule, did any of the events occur?
A Level 2 assessment or two Level 1 assessments are triggered in a rolling 12-month
period.
An E. coli MCL violation.
A coliform treatment technique violation.
Two monitoring violations in a rolling 12-month period.
One monitoring violation and one Level 1 assessment in a rolling 12-month period.
If you answered yes to any of the items in "J" above, take the following action(s):
Begin monthly monitoring the month following the trigger event(s).
K. If vou area non-community water system (including seasonal systems) on an annual monitoring
schedule, did any of the following events occur?
Level 2 assessment or two Level 1 assessments are triggered in a rolling 12-month period.
An E. coli MCL violation.
A coliform treatment technique violation.
YES
NO
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ITEMS TO CHECK
If you answered yes to any of the items in "K" above, take the following action(s):
Begin monthly monitoring the month following the trigger event(s).
L If you are a non-community water system (including seasonal systems) on an annual monitorinR
schedule, did the following event occur?
A monitoring violation.
If you answered yes to any of the items in "L" above, take the following action(s):
Begin quarterly monitoring the calendar quarter following the trigger event(s).
M. If you are a community water system on a quarterly monitoring schedule, did any of the
following events occur?
Loss of certified operator.
A Level 2 assessment or two Level 1 assessments triggered in a rolling 12-month period.
An E. coli MCL violation.
A coliform treatment technique violation.
Two monitoring violations in a rolling 12-month period.
If you answered yes to any of the items in "M" above, take the following action(s):
Begin monthly monitoring the month following the trigger event(s).
YES
NO
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PartD
Appendices
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Table of Contents: Part D
D. Appendices 83
D.I. Routine Monitoring Frequency for Non-Seasonal Ground Water Non-Community
Water Systems Serving < 1,000 Persons (40 CFR 141.854) 83
D.2. Routine Monitoring Frequency for Seasonal Ground Water Non-Community Water
Systems Serving < 1,000 Persons (40 CFR 141.854(1)) 86
D.3. Routine Monitoring Frequency for Ground Water Community Water Systems Serving <
1,000 Persons (40 CFR 141.855) 89
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D. Appendices
D.I. Routine Monitoring Frequency for Non-Seasonal Ground Water Non-Community
Water Systems Serving < 1,000 Persons (40 CFR 141.854)
Baseline frequency: one sample per calendar quarter
Reduced frequency: one sample per year
Increased frequency: one sample per month or one sample per quarter
Water system should check with their drinking water primacy agency to determine if they are
allowed to reduce their monitoring frequency below their baseline monitoring frequency.
REDUCED MONITORING
Quarterly to Annual
The primacy agency may allow a system to monitor less frequently than once per quarter to
once per year if the system meets the following criteria:
1. A clean compliance history for a minimum of 12 months;
2. The most recent sanitary survey shows that the system is free of sanitary defects or has
corrected all identified sanitary defects, has a protected water source and meets
approved construction standards; and
3. An annual site visit from the primacy agency within the last 12 months and system has
corrected all identified sanitary defects. A voluntary Level 2 assessment can be
substituted for the annual site visit.
INCREASED MONITORING
Quarterly to Monthly
The system must increase to monthly monitoring from quarterly monitoring if any of the
following conditions occur:
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A Level 2 assessment or two Level 1 assessments are triggered in a rolling 12-month
period
An f. co// MCL violation
A coliform treatment technique violation
Two monitoring violations in a rolling 12-month period
One monitoring violation and one Level 1 assessment in a rolling 12-month period
Annual to Monthly
The system must increase to monthly monitoring from annual monitoring if any of the
following conditions occur:
A Level 2 assessment or two Level 1 assessments are triggered in a rolling 12-month
period.
An E. coli MCL violation.
A coliform treatment technique violation.
Annual to Quarterly
The system must return to quarterly monitoring from annual monitoring if the following
condition occurs:
One monitoring violation.
RETURN TO QUARTERLY OR ANNUAL MONITORING AFTER BEING TRIGGERED INTO MONTHLY
MONITORING
Monthly to Quarterly
The primacy agency may reduce a system's monitoring frequency to no less than quarterly
monitoring if the system demonstrates that it meets the following criteria:
1. An approved sample siting plan that designates the time period for monitoring based on
site-specific considerations (for example, during periods of highest demand or highest
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vulnerability to contamination). Compliance samples must be collected during this time
period.
2. Within the last 12 months, a completed sanitary survey or a site visit by the primacy
agency or a voluntary Level 2 assessment by a party approved by the primacy agency, be
free of sanitary defects and have a protected water source.
3. A clean compliance history for a minimum of 12 months.
Monthly or Quarterly to Annual
The primacy agency may reduce a well-operated system's monitoring frequency to no less than
annual monitoring if the system demonstrates that it meets the following criteria:
1. The criteria for reduced monitoring from monthly to quarterly.
2. An annual site visit by the primacy agency and correction all identified sanitary defects.
A voluntary Level 2 assessment by a party approved by the primacy agency may be
substituted for the primacy agency annual site visit in any given year.
3. Has in place or has adopted one or more additional enhancements to the water system
barriers to contamination.
Cross connection control, as approved by the primacy agency.
An operator certified by an appropriate primacy agency certification program or
regular visits by a circuit rider certified by an appropriate primacy agency
certification program.
Continuous disinfection entering the distribution system and a residual in the
distribution system in accordance with criteria specified by the primacy agency.
Demonstration of maintenance of at least a 4-log removal or inactivation of viruses
as provided for under § 141.403(b)(3) of the Ground Water Rule.
Other equivalent enhancements to water system barriers as approved by the
primacy agency.
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D.2. Routine Monitoring Frequency for Seasonal Ground Water Non-Community Water
Systems Serving < 1,000 Persons (40 CFR 141.854(i))
Baseline frequency: one sample per month
Reduced frequency: one sample per calendar quarter or one sample per year
Increased frequency: one sample per month or one sample per quarter
Water system should check with their drinking water primacy agency to determine if they are
allowed to reduce their monitoring frequency below their baseline monitoring frequency.
REDUCED MONITORING
Monthly to Quarterly
The primacy agency may reduce a system's monitoring frequency to no less than quarterly
monitoring if the system demonstrates that it meets the following criteria:
1. An approved sample siting plan that designates the time period for monitoring based on
site-specific considerations (for example, during periods of highest demand or highest
vulnerability to contamination). Compliance samples must be collected during this time
period.
2. Within the last 12 months, a completed sanitary survey or a site visit by the primacy
agency or a voluntary Level 2 assessment by a party approved by the primacy agency, be
free of sanitary defects and have a protected water source.
3. A clean compliance history for a minimum of 12 months.
Monthly or Quarterly to Annual
The primacy agency may reduce a well-operated system's monitoring frequency to no less than
annual monitoring if the system demonstrates that it meets the following criteria:
1. Meet the criteria for reduced monitoring from monthly to quarterly.
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2. An annual site visit by the primacy agency and correction of all identified sanitary
defects. A voluntary Level 2 assessment by a party approved by the primacy agency may
be substituted for the primacy agency annual site visit in any given year.
3. Has in place or has adopted one or more additional enhancements to the water system
barriers to contamination.
Cross connection control, as approved by the primacy agency.
An operator certified by an appropriate primacy agency certification program or
regular visits by a circuit rider certified by an appropriate primacy agency
certification program.
Continuous disinfection entering the distribution system and a residual in the
distribution system in accordance with criteria specified by the primacy agency.
Demonstration of maintenance of at least a 4-log removal or inactivation of viruses
as provided for under § 141.403(b)(3) of the Ground Water Rule.
Other equivalent enhancements to water system barriers as approved by the
primacy agency.
RETURN TO MONTHLY OR QUARTERLY
Quarterly to Monthly
The system must return to monthly monitoring from quarterly monitoring if any of the
following conditions occur:
A Level 2 assessment or two Level 1 assessments are triggered in a rolling 12-month
period.
An E. coli MCL violation.
A coliform treatment technique violation.
Two monitoring violations in a rolling 12-month period.
One monitoring violation and one Level 1 assessment in a rolling 12-month period.
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Annual to Monthly
The system must return to monthly monitoring from annual monitoring if any of the following
conditions occur:
A Level 2 assessment or two Level 1 assessments are triggered in a rolling 12-month
period.
An E. coli MCL violation.
A coliform treatment technique violation.
Annual to Quarterly
The system must return to quarterly monitoring from annual monitoring if the following
condition occurs:
One monitoring violation.
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D.3. Routine Monitoring Frequency for Ground Water Community Water Systems
Serving < 1,000 Persons (40 CFR 141.855)
Baseline frequency: one sample per month
Reduced frequency: one sample per calendar quarter
Water system should check with their drinking water primacy agency to determine if they are
allowed to reduce their monitoring frequency below their baseline monitoring frequency.
REDUCED MONITORING
Monthly to Quarterly
The primacy agency may reduce the monitoring frequency of a well-operated system to no less
than once per quarter if the system meets the following criteria:
1. Compliance with the primacy agency-certified operator provisions.
2. A clean compliance history for a minimum of 12 months.
3. The most recent sanitary survey shows that the system is free of sanitary defects (or has
an approved plan and schedule to correct them and is in compliance with the plan and
the schedule), has a protected water source and meets approved construction
standards.
4. Meet at least one of the following criteria:
An annual site visit by the primacy agency that is equivalent to a Level 2 assessment
or an annual Level 2 assessment by a party approved by the primacy agency and
correction of all identified sanitary defects (or an approved plan and schedule to
correct them and is in compliance with the plan and schedule).
Cross connection control, as approved by the primacy agency.
Continuous disinfection entering the distribution system and a residual in the
distribution system in accordance with criteria specified by the primacy agency.
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Demonstration of maintenance of at least a 4-log removal or inactivation of viruses
as provided for under § 141.403(b)(3) of the Ground Water Rule.
Other equivalent enhancements to water system barriers as approved by the
primacy agency
Return to Monthly
The system must return to monthly monitoring from quarterly monitoring if any of the
following conditions occur:
Loss of certified operator.
A Level 2 assessment or two Level 1 assessments triggered in a rolling 12-month period.
An E. coli MCL violation.
A coliform treatment technique violation.
Two RTCR monitoring violations in a rolling 12-month period.
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