v>EPA
United States
Environmental Protection
Agency
Revised State
Implementation
Guidance for the
Public Notification
(PN) Rule
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Office of Water (4606M)
EPA 816-R-23-003
March 2023
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Disclaimer
This document provides guidance to states, tribes, and the U.S. Environmental Protection
Agency (EPA) exercising primary enforcement responsibility under the Safe Drinking
Water Act (SDWA) and contains EPA's current policy recommendations for complying
with the Public Notification (PN) Rule. Throughout this document, the terms "state" and
"states" are used to refer to all types of primacy agencies including US territories, Indian
tribes, and EPA.
The statutory provisions and EPA regulations described in this document contain legally
binding requirements. This document is not a regulation itself, nor does it change or
substitute for those provisions and regulations. Thus, it does not impose legally binding
requirements on EPA, states, or public water systems (PWSs). This guidance does not
confer legal rights or impose legal obligations upon any member of the public.
While EPA has made every effort to ensure the accuracy of the discussion in this
guidance, the obligations of the regulated community are determined by statutes,
regulations, or other legally binding requirements. In the event of a conflict between the
discussion in this document and any statute or regulation, this document would not be
controlling.
The general description provided here may not apply to a particular situation based upon
the circumstances. Interested parties are free to raise questions and objections about the
substance of this guidance and the appropriateness of the application of this guidance to a
particular situation. EPA and other decision makers retain the discretion to adopt
approaches on a case-by-case basis that differ from those described in this guidance,
where appropriate.
Mention of trade names or commercial products does not constitute endorsement or
recommendation for their use.
This is a living document and may be revised periodically without public notice. EPA
welcomes public input on this document at any time. Guidance provided in this document
reflects provisions published on May 4, 2000, at 65 FR 26035; 65 FR 38629, June 21,
2000; 65 FR 40521 - 40522, June 30, 2000, as amended at 65 FR 76750, December 7,
2000; 66 FR 7065, January 22, 2001; 66 FR 31104, June 8, 2001; 67 FR 1836, January
14, 2002; 67 FR 70857, November 27, 2002; 68 FR 14507, March 25, 2003; 69 FR
38856, June 29, 2004; 71 FR 483, January 4, 2006; 71 FR 768, January 5, 2006; 71 FR
65652, November 8, 2006; 78 FR 10350, February 13, 2013 and 79 FR 10669, Feb. 26,
2014.
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Table of Contents
Table of Contents i
List of Tables iv
List of Examples v
List of Figures vi
Acronyms and Abbreviations vii
Introduction ix
Section 1 Rule Requirements 1
1.1 Introduction 3
1.2 Requirements of the Rule: Public Water Systems 4
1.2.1 Applicability and Compliance Dates 4
1.2.2 Public Notice Tiers 1, 2 and 3 5
1.2.3 Public Water System Reporting Requirements 6
1.2.4 Public Water System Recordkeeping Requirements 6
1.3 Requirements of the Rule: States or Other Primacy Agencies 6
1.3.1 Special Primacy Requirements 6
1.3.2 Records Kept by States 7
1.3.3 State Reporting Requirements 7
Section 2 Resources and Guidance 9
2.1 Technical Guidance Manuals and Tools 11
2.2 Fact Sheets and Quick Reference Guide 12
2.3 Questions & Answers 12
Section 3 State Implementation 15
3.1 Overview of Implementation 17
3.2 Identify Affected Systems and Requirements 17
3.2.1 General Provisions 17
3.2.2 Public Notice Tiers 1, 2 and 3 [40 CFR 141.202(a)-(b), 141.203(a)-(b), 141.204(a)-(b)] 18
3.2.3 Content of a Public Notice - Ten Required Elements [40 CFR 141.205(a)] 21
3.2.4 Minimum Delivery Requirements for Public Notice [40 CFR 141.202(c), 141.203(c) and
141.204(c)] 23
3.2.5 Who Must be Notified [40 CFR 141.201(c), 141.206, and 141.210] 25
3.2.6 Variances and Exemptions [40 CFR 141.204(b)(1) and 141.205(b)] 26
3.2.7 Multilingual Requirements [40 CFR 141.205(c)(2)] 27
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3.2.8 Standard Language for Public Notices [40 CFR 141.205(d)] 27
3.2.9 Special Notices [40 CFR 141.207, 141.208, 141.209 and 141.211] 28
3.2.10 Formatting Requirements for Public Notices [40 CFR 141.205(c)(1)] 30
3.2.11 Certification [40 CFR 141.31(d)] 30
3.2.12 Public Water System Recordkeeping Requirements [40 CFR 141.33(e)] 31
3.3 Communicate PN Rule Requirements to Systems 31
3.3.1 Requirements and Target Notification Time Frames 31
3.3.2 Methods of Communication 32
3.4 Data Management Systems 32
Section 4 State Primacy Revision Application and Implementation Considerations 33
4.1 State Primacy Program Revision 35
4.1.1 The Revision Process 36
4.1.2 The Final Review Process 37
4.2 State Primacy Program Revision Extensions 37
4.2.1 The Extension Process 37
4.2.2 Extension Request Criteria 38
4.2.3 Conditions of the Extension 38
4.3 State Primacy Package 43
4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(1)] 43
4.3.2 Text of the State's Regulation 45
4.3.3 Primacy Revision Crosswalk 45
4.3.4 State Recordkeeping Requirements [40 CFR 142.14(f)] 45
4.3.5 State Reporting Requirements [40 CFR 142.15(a)] 45
4.3.6 Special Primacy Requirements [40 CFR 142.16] 46
4.3.7 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)] 46
4.4 Guidance for the Special Primacy Requirements of the PN 48
4.4.1 Special Primacy for Requiring Public Notice for Violations or Situations Other Than Those
Listed in Appendix A to Subpart Q 49
4.4.2 Special Primacy Requirements Regarding Limited Distribution of Public Notice to Persons
Served by the Portion of the Distribution System that is Out of Compliance 50
4.4.3 Special Primacy Requirements Regarding Which Violations or Situations Require a Tier 1
Public Notice 51
4.4.4 Special Primacy for Requiring Additional Public Notice for Tier 1 Violations 52
4.4.5 Special Primacy Requirements Regarding Different Form, Manner and Delivery for Tier 1, 2
and 3 Public Notices 53
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4.4.6 Special Primacy for Requiring Tier 2 Public Notice (Rather Than Tier 3 Notice) for Specific
Monitoring or Testing Procedure Violations 53
4.4.7 Special Primacy Requirements Regarding Extending the Initial Tier 2 Public Notice
Distribution Deadline 54
4.4.8 Special Primacy Requirements Regarding Extending the Tier 2 Notice Repeat Frequency... 54
4.4.9 Special Primacy for Requiring a Tier 1 Public Notice (Rather Than Tier 2 Notice) for a
Turbidity MCL Violation under 40 CFR 141.13(b) or a SWTR/IESWTR/LT1ESWTR TT
Violation Due to a Single Exceedance of the Maximum Allowable Turbidity Limit 55
4.4.10 Special Primacy Requirements Regarding Multilingual Notice Requirement 55
Section 5 Violation Determination and Safe Drinking Water Information System (SDWIS)
Reporting 57
5.1 Determining Violations of the PN Rule 59
5.1.1 What constitutes a violation of the PN Rule? 59
5.1.2 How is a Violation of the PN Rule Identified? 63
5.1.3 State Enforcement, Compliance Monitoring and Assistance or Other Follow-up 63
5.1.4 Return to Compliance 64
5.2 SDWIS Reporting and EPA Follow-up 68
Appendices
Appendix A: Primacy Revision Crosswalk
Appendix B: Flowcharts
Appendix C: Example Forms, Letters and Checklists
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List of Tables
Table 1-1. Summary of Action Dates forthe PN Rule (40 CFR 141 Subpart Q) 4
Table 1-2. PWS Requirements for Reporting to the State Under the PN Rule 6
Table 1-3. PWS Recordkeeping Requirements Under the PN Rule 6
Table 1-4. State Recordkeeping Requirements 7
Table 1-5. State Requirements for Reporting to EPA 7
Table 3-1. Violations and Situations Requiring Public Notice 19
Table 4-1. State Primacy Revision Extension Checklist 40
Table 4-2. State Primacy Revision Checklist 44
Table 5-1. Federal Reporting forthe PN Rule 69
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List of Examples
Example 4-1. Example Extension Agreement Letter 41
Example 4-2. Example of Attorney General's Statement 46
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List of Figures
Figure 3-1. Required Elements of a Public Notice 22
Figure 3-2. Sample Certification Box 31
Flowchart 5-1. Tier 1 Public Notices - Timeline for PWS Actions 60
Flowchart 5-2. Tier 2 Public Notices - Timeline for PWS Actions 61
Flowchart 5-3. Tier 3 Public Notices - Timeline for PWS Actions 62
Flowchart 5-4. Tier 1 Public Notices - Timeline for State Actions 65
Flowchart 5-5. Tier 2 Public Notices - Timeline for State Actions 66
Flowchart 5-6. Tier 3 Public Notices - Timeline for State Actions 67
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Acronyms and Abbreviations
Acronym/Abbreviation
Definition
ASDWA
Association of State Drinking Water Administrators
AWWA
American Water Works Association
CCR
Consumer Confidence Report
CFR
Code of Federal Regulations
CWSs
Community Water Systems
EPA
United States (US) Environmental Protection Agency
FBRR
Filter Backwash Recycling Rule
FR
Federal Register
GAO
General Accounting Office
GWR
Ground Water Rule
GWS
Ground Water System
GWUDI
Ground Water Under the Direct Influence (of Surface Water)
HAA5
Haloacetic Acids
HPC
Heterotrophic Plate Count
HQ
Headquarters
IESWTR
Interim Enhanced Surface Water Treatment Rule
IOC
Inorganic Chemical
LCR
Lead and Copper Rule
LT1ESWTR
Long-Term 1 Enhanced Surface Water Treatment Rule
LT2ESWTR
Long-Term 2 Enhanced Surface Water Treatment Rule
MCL
Maximum Contaminant Level
MCLG
Maximum Contaminant Level Goal
mg/l
Milligrams per liter
MRDL
Maximum Residual Detection Level
MRDLG
Maximum Residual Disinfectant Level Goal
NCWS
Noncommunity Water System
NIPDWR
National Interim Primary Drinking Water Regulation
NOV
Notice of Violation
NPDWR
National Primary Drinking Water Regulation
NTNCWS
Nontransient Noncommunity Water System
NTU
Nephelometric Turbidity Unit
OECA
Office of Enforcement and Compliance Assurance
OGC
Office of General Counsel
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Acronym/Abbreviation
Definition
OGWDW
Office of Ground Water and Drinking Water
ORC
Office of Regional Counsel
OW
Office of Water
PN
Public Notification
PWS
Public Water System
PWSS
Public Water System Supervision
Q&A
Question and Answer
RTC
Return to Compliance
RTCR
Revised Total Coliform Rule
SBREFA
Small Business Regulatory Enforcement Fairness Act
SDWA
Safe Drinking Water Act
SDWIS
Safe Drinking Water Information System
SMCL
Secondary Maximum Contaminant Level
SNC
Significant Non-complier
SOC
Synthetic Organic Chemical
Stage 1 DBPR
Stage 1 Disinfectants and Disinfection Byproducts Rule
Stage 2 DBPR
Stage 2 Disinfectants and Disinfection Byproducts Rule
SWAP
Source Water Assessment Program
SWTR
Surface Water Treatment Rule
TCR
Total Coliform Rule
TNCWS
Transient Noncommunity Water System
TT
Treatment Technique
TTHMs
Total Trihalomethanes
UV
Ultraviolet
VOC
Volatile Organic Chemical
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Introduction
This document provides guidance to states and the US Environmental Protection Agency (EPA)
exercising primary enforcement responsibility under the Safe Drinking Water Act (SDWA), concerning
how EPA interprets the Public Notification (PN) Rule promulgated under the SDWA. It also provides
guidance to the public and the regulated community on how EPA intends to exercise its discretion in
implementing the statute and regulations. This guidance is designed to implement national policy on these
issues. Throughout this document, the terms "state" and "states" are used to refer to all types of primacy
agencies including states, US territories, Native American tribes and EPA regional offices that maintain
state primacy.
The SDWA provisions and EPA regulations described in this document contain legally binding
requirements. This document does not substitute for those requirements, nor is it a regulation itself. It
does not impose legally binding requirements on EPA, states, or the regulated community and may not
apply to a particular situation based upon the circumstances. EPA and state decision makers retain the
discretion to adopt approaches on a case-by-case basis that differ from this guidance, where appropriate.
Any decisions regarding a particular facility will be made based on the applicable statutes and regulations.
Therefore, interested parties are free to raise questions and objections about the appropriateness of the
application of this guidance to a particular situation. EPA will then consider whether or not the
recommendations or interpretations in the guidance are appropriate in that situation based on the law and
regulations. EPA may change this guidance in the future.
This document contains the following sections:
• Section 1 summarizes the Rule requirements of the PN Rule and presents a timetable of
important dates.
• Section 2 lists the "stand-alone" guidance materials that will help states and public water systems
(PWSs) implement each requirement.
• Section 3 discusses state implementation activities.
• Section 4 covers state primacy revision requirements, including a detailed time frame for
application review and approval. This section also contains guidance and references to help states
adopt each new special primacy requirement included in the PN Rule.
• Section 5 addresses violation determinations and associated reporting requirements to assist
states in their compliance activities.
The appendices of this guidance also provide information that will be useful to states and EPA:
• Appendix A contains the primacy revision application crosswalk for the PN Rule.
• Appendix B presents flowcharts to help states and systems implement the PN Rule.
• Appendix C contains a stand-alone version of the State Primacy Revision Checklist and Example
Forms.
Please note that, in several sections, this guidance makes suggestions and offers alternatives that go
beyond the minimum requirements indicated. EPA does this to provide information and/or suggestions
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that may be helpful to implementation efforts. Such suggestions are prefaced by "may" or "should" and
are to be considered advisory. They are not required elements of the PN Rule.
Since the last revision of this guidance, EPA has published the following regulations:
• Revised Total Coliform Rule (RTCR) - February 13, 2013.
This guidance has been updated to reflect this rule, where appropriate. Changes to the PN Rule based on
this regulation occurs primarily in Appendix A to Title 40 of the Code of Federal Regulations (CFR), Part
141, Subpart Q (hereafter referred to as Appendix A to Subpart O). which lists contaminant violations or
situations by tiers and Appendix B to Title 40 of the Code of Federal Regulations (CFR), Part 141,
Subpart Q (hereafter referred to as Appendix B to Subpart Q) which lists contaminants, their maximum
contaminant level (MCL) (or treatment technique, TT), maximum contaminant level goal (MCLG) and
health effects language. This document is an interim update and does not include Lead and Copper Rule
Revisions (LCRR) updates. This document has the current LCR requirements, but does not include the
LCRR PN Rule changes which have a compliance date of October 16, 2024.
The following revisions were made to the PN Rule requirements as a result of the promulgation of the
RTCR:
• Beginning April 1, 2016, systems must provide Tier 1 public notice for a violation of the MCL
fori?, coli if the system: [141.63(c) and 141.860(a)]
o Has an E. co/z-positive REPEAT sample following a total coliform-positive ROUTINE
sample.
o Has a total coliform-positive REPEAT sample following an E. co/z-positive ROUTINE
sample.
o Fails to take all required REPEAT samples following an E. co/z-positive ROUTINE
sample.
o Fails to test for E. coli when any REPEAT sample tests positive for total coliform.
• Beginning April 1, 2016, systems must provide Tier 2 public notice for a TT violation if the
system: [141.860(b)]
o Exceeds the TT technique trigger and then fails to conduct the require assessment and
complete any subsequent corrective actions identified with the required timeline.
o Is a seasonal noncommunity water system (NCWS) and the system fails to follow state-
approved start-up procedures prior to serving water to the public.
• Beginning April 1, 2016, systems must provide Tier 3 public notice if the system:
o Fails to take every required ROUTINE or ADDITIONAL ROUTINE sample in a
compliance period. [141.860(c)(1)]
o Fails to analyze for E. coli following a total coliform-positive ROUTINE sample.
[141.860(c)(2)]
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o Fails to submit a monitoring report or completed assessment form after a system properly
conducts monitoring or assessment in a timely manner. [141.860(d)(1)]
o Fails to notify the state following an E. co/z-positive ROUTINE OR REPEAT sample in a
timely manner. [141.860(d)(2)]
o Is a seasonal NCWS and the system fails to submit certification of completion of state-
approved start-up procedures. [141.860(d)(3)]
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Section 1
Rule Requirements
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1.1 Introduction
Public notification of drinking water violations and other situations that can impact public health provides
water systems with a means to protect public health, build trust with consumers through open and honest
sharing of information and establish an ongoing, positive relationship with the community. Public
notification can also help consumers understand the reason for rate increases and support increased
funding for drinking water treatment and protection. EPA believes the requirements established by the
Public Notification (PN) Rule allow systems to provide consumers with accurate and timely information
on violations and situations with potential adverse health effects.
EPA first issued public notification regulations in 1976 and revised them in 1987. In 1992, a review of the
public notification process by the General Accounting Office (GAO) revealed that the complexity of the
Rule hindered its successful implementation. Section 114 of the 1996 Amendments to the Safe Drinking
Water Act (SDWA), required EPA to amend the public notification provisions issued in 1987 to better
target notices for serious violations posing short-term exposure risks to health and to make the existing
notification process less burdensome to public systems and more effective.
The revised PN Rule, published in the Federal Register on May 4, 2000, modified the minimum
requirements PWSs must meet regarding the form, manner, frequency, and content of public notices. The
regulations apply to all public water systems with violations of National Primary Drinking Water
Regulations (NPDWRs) or other situations posing a health risk. Since then, promulgation of each new
NPDWR has included some modification to the PN regulation. These incremental modifications are
reflected in the revised Handbooks discussed below and this Implementation Guidance.
States with primary enforcement responsibility (primacy) were required to revise their drinking water
programs by adopting regulations that were at least as stringent as the revised public notification
requirements. Primacy agency regulations needed to be adopted as soon as possible but no later than May
6, 2002.
To aid water systems in implementing the revised regulation, EPA, with assistance from the Association
of State Drinking Water Administrators (ASDWA), developed a Public Notification Handbook (EPA
816-R-00-010) in June 2000. In order to capture the requirements of more recently promulgated
regulations, a Revised Public Notification Handbook (EPA 816-R-07-003) specifically for community
water systems (CWSs) and nontransient noncommunity water systems (NTNCWSs) was published in
March 2007 as well as a Public Notification Handbook for Transient Noncommunity Water Systems (EPA
816-R-07-004), which was developed to only include provisions specific to transient systems
noncommunity water systems (TNCWSs). A second revision to both the CWS and NTNCWS PN
Handbook (EPA 816-R-09-013) and the TNCWS PN Handbook (EPA 816-R-09-009) were reviewed by
ASDWA and American Water Works Association (AWWA) and were published concurrently with
document in March 2010.
The most recent Handbooks include templates for public notices for many violations and other situations
included in EPA drinking water regulations published before 2021 and other aids to help water systems
develop their own notices. By explaining the PN Rule and providing specific examples of notices in the
Handbooks, EPA hopes to streamline the public notification process and enhance the water systems'
ability to comply with Federal and state requirements. EPA also encourages states to incorporate the most
recent versions of both the CWS and NTNCWS PN Handbook and the TNCWS PN Handbook into their
PN program. The most recent Handbooks are located on the EPA Web site at
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https://www.epa.gov/dwreginfo/public-notification-rule-compliance-help-water-svstem-owners-and-
operators.
1.2 Requirements of the Rule: Public Water Systems
1.2.1 Applicability and Compliance Dates
The PN Rule requires public water systems (PWSs) to alert consumers to potential health risks from
violations of drinking water standards and to tell them how to avoid or minimize such risks. The revised
PN Rule modified the minimum requirements PWSs must meet regarding the form, manner, frequency
and content of public notices. States with primary enforcement responsibility (primacy) were required to
revise their drinking water programs by adopting regulations that are at least as stringent as the revised
public notification requirements as soon as possible but no later than May 6, 2002.
The timetable for the PN Rule is presented in Table 1-1.
Table 1-1. Summary of Action Dates for the PN Rule (40 CFR 141 Subpart O)
Key Date of Rule
PN Rule Requirement
May 4, 2000
PN Rule published in Federal Register.
October 31, 2000
PN Rule effective for Direct Implementation programs.
February 4, 2002
States were encouraged to submit final primacy applications or extension
requests to EPA.
May 5, 2002
Until this date, systems in primacy states without approved primacy for the
PN Rule had to continue to comply with the public notification requirements
under 40 CFR 141.32.
May 6, 2002
Final primacy application had to be submitted to the EPA Regional
Administrator or a request for an extension for up to 2 years. [40 CFR
142.12(b)(1)],
May 6, 2002
PN Rule was effective for states with primacy for the Public Water System
Supervision (PWSS) program.
February 4, 2004
States with approved extension agreements were encouraged to submit final
primacy applications to EPA.
May 6, 2004
Final primacy revision applications for Public Notification (PN) Rule must be
submitted to the EPA Regional Administrator if state was granted an
extension.
1.2.1.1 To Whom Does The Rule Apply?
The PN Rule applies to all PWSs with violations of national primary drinking water regulations
(NPDWRs) or other situations posing a public health risk. Each owner or operator of a PWS (CWSs,
NTNCWSs and TNCWSs) must provide a public notice to all persons served when the system fails to
comply with certain drinking water regulations, has been granted a variance or exemption from the
regulations, or is facing other situations posing a potential risk to public health.
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In general, public notice is required for any of the following:
• Violations of MCLs or maximum residual disinfectant levels (MRDLs).
• Violation of treatment techniques.
• Monitoring and testing procedure violations.
• Reporting and record keeping violations under the Revised Total Coliform Rule.
• Failure to comply with the schedule of a variance or exemption.
Other situations (not violations) which require public notice include:
• Occurrence of a waterborne disease outbreak or other waterborne emergency.
• Fecal indicator-positive ground water source sample.
• Exceedance of the nitrate MCL in NCWSs that have been granted permission by the state to
continue to exceed the nitrate MCL of 10 milligrams per liter (mg/1) (although they may not
exceed 20 mg/1).
• Exceedance of the fluoride secondary MCL (SMCL) - CWS only.
• Availability of unregulated contaminant monitoring results.
• Operation under a variance or exemption.
• Special public notice for failure to collect 3 or more Cryptosporidium samples.
• Special public notice for failure to determine bin classification or mean Cryptosporidium level.
States may also require notice for other violations or situations.
1.2.1.2 What Are The Compliance Dates?
PWSs in states with primacy for the Public Water System Supervision (PWSS) Program were required to
comply with the regulations under Part 141, Subpart Q no later than May 6, 2002. PWSs in jurisdictions
where EPA directly implements the PWSS program were required to comply by October 31, 2000.
1.2.2 Public Notice Tiers 1, 2 and 3
[40 CFR 141.202(a)-(b), 141.203(a)-(b), 141.204(a)-(b)]
The PN Rule assigns violations of drinking water standards and other situations to three tiers based upon
the risk of adverse health effects:
• Tier 1 applies to NPDWR violations and situations with significant potential to have serious
adverse effects on human health as a result of short-term exposure. Notice is required within 24
hours after the system learns of the violation or situation.
• Tier 2 applies to other NPDWR violations and situations with the potential to have serious
adverse effects on human health. Notice is required within 30 days after the system learns of the
violation or situation, with the possibility of an extension of up to three months at the discretion
of the state.
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• Tier 3 applies to all other NPDWR violations and situations not included in Tier 1 and Tier 2.
Notice is required within 12 months after the system learns of the violation or situation, or begins
operating under a variance or exemption.
The tier to which a violation or situation is assigned determines the form, manner and timing of the public
notice. EPA believes this linkage between the tier and the form, manner and timing will allow water
systems to effectively tailor the public notice to the health risk from each violation.
1.2.3 Public Water System Reporting Requirements
Table 1-2. PWS Requirements for Reporting to the State Under the PN Rule
PWS Requirements for Reporting to the State
Rule Cite
The public water system, within 10 days of completing the public notification
requirements under Subpart Q of this part for the initial public notice and any repeat
notices, must submit to the state a certification that it has fully complied with the public
notification regulations. The public water system must include with this certification a
representative copy of each type of notice distributed, published, posted and made
available to the persons served by the system and to the media.
40 CFR 141.31(d)
1.2.4 Public Water System Recordkeeping Requirements
Table 1-3. PWS Recordkeeping Requirements Under the PN Rule
PWS Recordkeeping Requirements
Rule Cite
Copies of public notices issued pursuant to Subpart Q of this part and certifications
made to the state pursuant to 40 CFR 141.31 must be kept for three years after
issuance.
40 CFR 141.331
1.3 Requirements of the Rule: States or Other Primacy Agencies
1.3.1 Special Primacy Requirements
[40 CFR 142.16(a)]
In addition to adopting basic primacy requirements specified in 40 CFR 142, states are required to adopt
primacy provisions pertaining to specific regulations where implementation of the Rule involves activities
beyond general primacy provisions. States must include these rule-distinct provisions in an application for
approval or revision of their programs. Refer to Section 4.4 for additional information on special primacy
requirements.
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1.3.2 Records Kept by States
Table 1-4. State Recordkeeping Requirements
State Recordkeeping Requirements
Rule Cite
Public notification records under Subpart Q of Part 141 of this chapter received from
public water systems (including certifications of compliance and copies of public
notices) and any state determinations establishing alternative public notification
requirements for the water systems must be retained for three years.
40 CFR 142.14(f)
1.3.3 State Reporting Requirements
Under 40 CFR 142.15, EPA currently requires states to report to EPA information such as violations,
variance and exemption status and enforcement actions. Table 1-5 describes the additional reporting
requirements for states under the PN Rule. Section 5 of this document provides information on Safe
Drinking Water Information System (SDWIS) reporting for the PN Rule.
Table 1-5. State Requirements for Reporting to EPA
State Requirements for Reporting to EPA
Rule Cite
Each state which has primary enforcement responsibility shall submit quarterly
reports to the administrator on a schedule and in a format prescribed by the
Administrator consisting of the following information:
1) New violations by public water systems in the state during the previous
quarter of state regulations adopted to incorporate the requirements of
national primary drinking water regulations, including violations of the public
notification requirements under Subpart Q of Part 141 of this chapter.
40 CFR 142.15(a)(1)
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Section 2
Resources and Guidance
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In addition to this Implementation Guidance Manual, a variety of resource materials and technical
guidance documents have been prepared by EPA to facilitate understanding and implementing the PN
Rule. This section is an overview of each of these resources and includes information on where to get
them.
2.1 Technical Guidance Manuals and Tools
The following guidance manuals and tools have been developed to support implementation of, and
compliance with, the provisions of the PN Rule. These manuals and tools will aid EPA, state agencies and
affected PWSs in implementing this Rule, and will help ensure that the implementation among these
groups is consistent. Unless other wised noted, the following resources can be found on EPA's Web site
at: https://www.epa.gov/dwreginfo/public-notification-rule-compliance-help-water-svstem-owners-and-
operators.
• Revised Public Notification Handbook. EPA 816-R-23-002, March 2023. This guide was
developed for CWSs and NTNCWSs. It provides instructions and templates that can be used for
various types of public notices.
• Public Notification Handbook for Transient Non-Community Water Systems. EPA 816-R-23-002,
March 2023. This guide was developed for TNCWSs. It provides instructions and templates that
can be used for various types of public notices.
• Microsoft Word files of PN templates. These templates can be used and customized by drinking
water systems to ensure they meet PN content requirements.
• Talking to your Customers about Chronic Contaminants in Drinking Water. EPA 814-F-07-022,
October 2007. This document provides guidance to water systems on the importance of
communicating with the public about chronic contaminants - both regulated and unregulated. It
also describes effective strategies for getting the message out.
• Updated version of Appendix A and B to Subpart Q which were last updated in February 2014
and January 2021. https://www.ecfr.gov/current/title-40/chapter-I/subchapter-D/part-141/subpart-
Q?toc=l.
In addition to the guidance manuals developed to support the PN Rule, EPA has developed other
guidance manuals that may help primacy agencies and affected PWSs with implementing the PN Rule.
• Implementation Guidance for the Filter Backwash Recycling Rule. EPA 816-R-04-006, June
2004. https://www.epa.gov/dwreginfo/surface-water-treatment-rules-state-implementation-
guidance.
• Long Term I Enhanced Surface Water Treatment Rule (LT1ESWTR) Implementation Guidance.
EPA 816-R-04-008, August, 2004. https://www.epa.gov/dwreginfo/surface-water-treatment-
rules-state-implementation-guidance.
• The Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) Implementation
Guidance. EPA 816-R-07-007, August 2007. https://www.epa.gov/dwreginfo/stage-1 -and-stage-
2-compliance-help-primacv-agencies.
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• The Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR) Implementation
Guidance. EPA 816-R-07-006, August 2007. https://www.epa.gov/dwreginfo/surface-water-
treatment-rules-state-implementation-guidance.
• The Ground Water Rule (GWR) Implementation Guidance. EPA 816-R-09-004, January 2009.
https://www.epa.gov/dwreginfo/ground-water-rule-compliance-help-primacv-agencies.
• The Revised Total Coliform Rule (RTCR) State Implementation Guidance Document - Final. EPA
816-R-20-003, June 2020. https://www.epa.gov/dwreginfo/total-coliform-rule-compliance-help-
primacy-agencies.
For more information, see the Office of Ground Water and Drinking Water Web site at
https://www.epa.gov/ground-water-and-drinking-water. The PN guidance documents are located at
https://www.epa.gov/dwreginfo/public-notification-rule.
2.2 Fact Sheets and Quick Reference Guide
Factsheets and Quick Reference Guides for the PN Rule may be useful for conveying basic information
about the Rule to water systems, new personnel and stakeholders. These stand-alone documents are:
• Public Notification Rule: A Quick Reference Guide. EPA 816-F-09-010. August 2009.
https://www.epa.gOv/dwreginfo/drinking-water-rule-quick-reference-guides#pnqrg.
• Fact Sheet: Drinking Water Public Notification. EPA 816-F-00-021, May 2000.
https://www.epa.gov/dwreginfo/public-notification-rule.
• Fact Sheet: Final Drinking Water Public Notification Regulations. EPA 816-F-00-020, May
2000. https://www.epa.gov/dwreginfo/public-notification-rule.
• Ground Water Rule Factsheet: Public Notification, Consumer Confidence Report, and Special
Notice Requirements for Community Water Systems. EPA 816-F-08-026. June 2008.
https://www.epa.gov/dwreginfo/ground-water-rule-compliance-help-water-svstem-owners-and-
operators.
• Ground Water Rule Factsheet: Public Notification and Special Notice Requirements for
Noncommunity Water Systems. EPA 816-F-08-030. June 2008.
https://www.epa.gov/dwreginfo/ground-water-rule-compliance-help-water-svstem-owners-and-
operators.
2.3 Questions & Answers
Some questions and Answers (Q&As) on the PN Rule are provided in this section. These questions have
been asked of EPA through the Safe Drinking Water Hotline, implementation training, or other means.
Ql. What is public notification?
A1. Public notification is intended to ensure that consumers will always know if there is a
problem with their drinking water. Public water systems must notify the people who drink
their water if the level of a contaminant in the water exceeds EPA and state drinking water
regulations, if there is a waterborne disease outbreak or any other situation that may pose a
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risk to public health, if the water system fails to test its water as required, or if the system has
a variance or exemption from the regulations. Depending on the severity of the situation,
water suppliers have from 24 hours to one year to notify their customers. EPA sets strict
requirements on the form, manner, content and frequency of public notices. Public
notification is provided in addition to the annual water quality report (consumer confidence
report, or CCR), which provides customers with a more complete picture of drinking water
quality and system operations. The annual CCR tells consumers what's in their water, where
it comes from and where they can obtain additional information.
Q2. How quickly do water systems have to send notices?
A2. Depending on the severity of the situation, water suppliers have from 24 hours to one year to
notify their customers after a violation or situation occurs. EPA specifies three categories, or
tiers, of public notification. Depending on what tier a violation or situation falls into, water
systems have different amounts of time to distribute the notice and different ways to deliver
the notice:
o Immediate Notice (Tier 1): Any time a situation occurs where there is the potential for
human health to be immediately impacted, water suppliers have 24 hours after learning of
the violation or situation to notify people who may drink the water of the situation. Water
suppliers must use media outlets such as television, radio and newspapers, post their
notice in public places, personally deliver a notice to their customers in these situations or
another method approved by the primacy agency.
o Notice as soon as possible (Tier 2): Any time a water system provides water with levels
of a contaminant that violate EPA or state standards or that otherwise violates a treatment
technique requirement but that doesn't pose an immediate risk to human health, the water
system must notify its customers as soon as possible, but within 30 days of learning of
the violation or situation. Notice may be provided via mail or direct delivery, or posting,
and other electronic methods responsibly calculated to reach persons served by the
system.
o Annual Notice (Tier 3): When a water system violates a drinking water requirement (e.g.,
failing to take a required sample on time) or other situation (e.g., exceedance of the
fluoride SMCL) that does not have a direct impact on human health, the water supplier
has up to a year to provide a notice of this situation to its customers. The extra time gives
water suppliers the opportunity to consolidate these notices and send them with annual
water quality reports (for example, community water systems may include them in their
consumer confidence reports).
Q3. What information must be included in a notice?
A3. All notices must include:
o A description of the violation or situation that occurred, including the contaminant(s) of
concern and contaminant level(s).
o When the violation or situation occurred.
o Potential adverse health effects.
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o The population at risk.
o Whether alternate water supplies need to be used.
o Actions consumers should take, including when they should seek medical help, if known,
o What the water system is doing to correct the problem,
o When the system expects the problem to be resolved,
o How to contact the water system for more information,
o Language encouraging broader distribution of the notice.
Q4. How often do violations occur that require a public notice?
A4. Although serious water quality problems are rare, public water systems do violate drinking
water standards every year and are required to provide public notice. The majority of these
violations are due to the failure of water systems to complete all sampling in a timely
manner. Only about one percent of the time do water systems incur a violation for a serious
situation that requires immediate notification (Tier 1 public notice).
Q5. What types of violations and situations are covered under each tier?
A5. The regulation contains an Appendix listing every violation and situation requiring a public
notice and its tier (Appendix A to Subpart Q). The requirements for the timing of the public
notice and the form and manner of its delivery are determined by the tier to which the
violation or situation is assigned. For example, a chlorine dioxide MCL violation falls under
Tier 1, which requires notification delivery within 24 hours (at a minimum) using
appropriate broadcast media, posting, or hand delivery.
Q6. What are EPA requirements for the form, manner, and content of the public notices?
A6. The PN Rule sets minimum methods of delivery under each tier, but also requires that water
systems take steps reasonably calculated to reach others that may not be contacted by the
primary method. Each notice must contain information addressing ten elements (see Q3
above), including use of standard health effects language for MCL and TT violations and
standard language for monitoring violations. Public water systems serving a large proportion
of non-English speaking consumers are also required to include information in the notice in
languages other than English.
Q7. Which public water systems are affected by the regulation?
A7. All public water systems are affected by the regulation regardless of their size or type. The
PN Rule requires states with primary enforcement authority to revise their approved primacy
programs to adopt regulations no less stringent than the revised EPA regulations. The final
regulation gives states considerable discretion, at their option, to work with EPA to tailor
public notification programs to fit unique needs, policies and programs.
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Section 3
State Implementation
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3.1 Overview of Implementation
The PN Rule requires all PWSs to alert consumers to violations of drinking water standards or other
situations that can pose public health risks, and to tell consumers how to avoid or minimize such risks.
The revised PN Rule, published in the Federal Register on May 4, 2000, modified the minimum
requirements PWSs must meet regarding the form, manner, frequency and content of public notices from
those listed in the former PN Rule. States with primary enforcement responsibility (primacy) were
required to revise their drinking water programs by adopting regulations that were at least as stringent as
the revised public notification requirements as soon as possible, but no later than May 6, 2002.
States should note that in several sections the guidance makes suggestions and offers alternatives that go
beyond the minimum requirements indicated by reading 40 CFR 142.16. EPA does this to provide states
with information and/or suggestions that may be helpful to states' implementation efforts. Such
suggestions may be prefaced by "may" or "can" and are considered to be advisory. They are not required
elements of states' programs.
3.2 Identify Affected Systems and Requirements
Provisions of the PN Rule apply differently to each type of PWSs. For instance, NTNCWSs and
TNCWSs have different delivery method options than CWSs. In addition, NTNCWSs and TNCWSs have
different violations or situations that require public notification (e.g., TNCWSs are not required to test for
organic chemicals).
3.2.1 General Provisions
The PN Rule applies to all PWSs with violations of NPDWRs or other situations posing a public health
risk. Each owner or operator of a PWS must provide a public notice to all persons served when the system
fails to comply with certain drinking water regulations, has been granted a variance or exemption from
the regulations, or is facing other situations posing a potential risk to public health.
In general, public notice is required for any of the following:
• Violations of MCLs or MRDLs.
• Violation of treatment techniques.
• Monitoring and testing procedure violations.
• Reporting and record keeping violations under the Revised Total Coliform Rule.
• Failure to comply with the schedule of a variance or exemption.
Other situations (not violations) which require public notice include:
• Occurrence of a waterborne disease outbreak or other waterborne emergency.
• Fecal indicator-positive ground water source sample.
• Exceedance of the nitrate MCL in NCWSs that have been granted permission by the state to
continue to exceed the nitrate MCL of 10 mg/1 (although they may not exceed 20 mg/1).
• Exceedance of the fluoride SMCL (CWS only).
• Availability of unregulated contaminant monitoring results.
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• Operation under a variance or exemption.
• Special public notice for failure to collect 3 or more Cryptosporidium samples.
• Special public notice for failure to determine bin classification or mean Cryptosporidium level.
States may require notice for other violations and situations.
3.2.2 Public Notice Tiers 1, 2 and 3
[40 CFR 141.202(a)-(b), 141.203(a)-(b), 141.204(a)-(b)]
The PN Rule classifies violations of drinking water standards and other situations into three tiers based
upon the risk of adverse health effects:
• Tier 1 applies to NPDWR violations and situations with significant potential to have serious
adverse effects on human health as a result of short-term exposure. Notice is required within 24
hours after the system learns of the violation or situation.
• Tier 2 applies to other NPDWR violations and situations with the potential to have serious
adverse effects on human health. Notice is required within 30 days after the system learns of the
violation or situation, with the possibility of an extension of up to three months at the discretion
of the state.
• Tier 3 applies to all other NPDWR violations and situations not included in Tier 1 and Tier 2.
Notice is required within 12 months after the system learns of the violation or situation or begins
operating under a variance or exemption.
The tier to which a violation or other situation is assigned determines the form, content and frequency of
the public notice. EPA believes this linkage between the tier and the form, manner and timing will allow
water systems to effectively tailor the public notice to the health risk from each violation.
Table 3-1 below shows the appropriate tiers for NPDWR violations and other situations. A complete list
of contaminants and their appropriate tiers can be found in Appendix A to Subpart 0.
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Table 3-1. Violations and Situations Requiring Public Notice
Tier 1 Violations and Other Situations Requiring Notice Within 24 Hours*
• Violation of the MCLfor E. coli if the system: [141.63(c) and 141.860(a)]
o Has an E. coli-positive REPEAT sample following a total coliform-positive ROUTINE sample,
o Has a total coliform-positive REPEAT sample following an E. coli-positive ROUTINE sample,
o Fails to take all required REPEAT samples following an E. coli-positive ROUTINE sample,
o Fails to test for E. coli when any REPEAT sample tests positive for total coliform.
• Violation of the MCL for nitrate, nitrite, or Total Nitrate + Nitrite.
• When a nitrate or nitrite confirmation sample is not taken within 24 hours of the system's receipt of the first
sample showing exceedance of the nitrate or nitrite MCL.
• Exceedance of the nitrate MCL (10 mg/l) by NCWSs, where permitted to exceed the MCL (up to 20 mg/l) by
the state.
• Violation of the alternate nitrate MCL of 20 mg/L by a noncommunity water system allowed to go up to 20
mg/L [141.23(o)]
• Violation of the MRDLfor chlorine dioxide when one or more of the samples taken in the distribution system
on the day after exceeding the MRDL at the entrance of the distribution system, or when required samples
are not taken in the distribution system.
• Violation of the turbidity MCL of 5 NTU, where the state determines after consultation that a Tier 1 notice is
required or where consultation does not occur in 24 hours after the system learns of violation.
• Violation of the treatment technique requirement resulting from a single exceedance of the maximum
allowable turbidity limit, where the state determines after consultation that a Tier 1 notice is required or
where consultation does not take place in 24 hours after the system learns of violation.
• Occurrence of a waterborne disease outbreak, as defined in 40 CFR 141.2, or other waterborne emergency.
• Detection off. coli, enterococci, or coliphage in a ground water source sample.
• Other violations or situations with significant potential to have serious adverse effects on human health as a
result of short-term exposure, as determined by the state either in its regulations or on a case-by-case basis.
• If the system experiences any of these violations or situations, in addition to issuing public notice, it must
initiate consultation with the state as soon as practical but within 24 hours after learning of the violation or
situation. Note: Initiate consultation means that at a minimum, the system has taken steps to contact the state.
EPA and most states now have voicemail or an emergency hotline, so systems should be able to leave a message.
If the system is not able to reach anyone within the 24-hour period, the system must still issue public notice
within that timeframe. When consultation does occur, the state or EPA will inform the system of any additional
steps they must take as a follow-up to the initial notice.
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Tier 2 Violations and Other Situations Requiring Notice Within 30 Days**
• All violations of MCL, MRDL and TT requirements except where Tier 1 notice is required.
• Violations of monitoring requirements where the state determines that a Tier 2 public notice is required,
taking into account potential health impacts and persistence of the violation.
• Failure to comply with the terms and conditions of any variance or exemption in place.
• For ground water systems providing 4-log treatment for viruses, failure to maintain required treatment for
more than 4 hours.
• Failure to take corrective action within the required timeframe or be in compliance with a state-approved
corrective action plan and schedule for a fecal indicator-positive source sample under the Ground Water
Rule.
• Failure to take corrective action within the required timeframe or be in compliance with a state-approved
corrective action plan and schedule for a significant deficiency under the Ground Water Rule.
• Special public notice for repeated failure to conduct monitoring for Cryptosporidium (40 CFR 141.211).
• Special public notice for failure to determine bin classification or mean Cryptosporidium level (40 CFR
141.211).
** If the system exceeds the maximum allowable turbidity level, as identified in Appendix A to Subpart Q, it must
consult with the state as soon as practical but no later than 24 hours after learning of the violation. Note: Consult
with the state means that the system contacts and has a discussion with the state about the violation. If the
system does not have a consultation with the state within the 24-hour period, a Tier 1 public notice requirement
is automatically triggered and the system must issue a public notice within the next 24-hour period. In contrast to
the term "initiate consultation" for Tier 1 violations or situations, EPA intends that the system actually have a
discussion about the violation or situation.
Tier 3 Violations and Other Situations Requiring Notice Within 1 Year
• Monitoring violations, except where a Tier 1 notice is required or the state determines that the violation
requires a Tier 2 notice.
• Failure to comply with an established testing procedure, except where a Tier 1 notice is required or the
state determines that the violation requires a Tier 2 notice.
• Operation under variance granted under § 1415 or exemption granted under § 1416 of the Safe Drinking
Water Act.
• Availability of unregulated contaminant monitoring results.
• Exceedance of the secondary maximum contaminant level for fluoride (community water systems only).
• Failure to submit a completed assessment form after a system properly conducts an assessment in a timely
manner. [141.860(d)(1)]
• Failure to notify the state following an E. coli-positive ROUTINE OR REPEAT sample in a timely manner.
[141.860(d)(2)]
• Failure by a seasonal NCWS to submit certification of completion of state-approved start-up procedures.
[141.860(d)(3)]
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3.2.3 Content of a Public Notice - Ten Required Elements
[40 CFR 141.205(a)]
With the exception of some special notices as described in Section 3.2.9. all public notices must include a
clear and readily understandable explanation of each violation or situation and must address the following
ten elements:
1) A description of the violation or situation including contaminant(s) of concern and (as applicable)
the contaminant level(s).
2) When the violation or situation occurred (i.e., date the sample was collected or was supposed to
be collected).
3) Any potential adverse health effects from the violation or situation, using standard language for
health effects provided in Appendix B to Subpart 0 or for monitoring or testing procedure
violations provided in 40 CFR 141.205(d)(2). (Refer to Section 3.2.8 of this document).
4) The population at risk, including subpopulations particularly vulnerable if exposed to the
contaminant in their drinking water.
5) Whether alternate water supplies should be used.
6) What actions consumers should take, including when to seek medical help (if known).
7) What the system is doing to correct the violation or situation.
8) When the system expects to return to compliance or resolve the situation.
9) Contact information: name, business address and phone number of the water system owner,
operator, or designee of the PWS that can provide additional information concerning the notice.
10) A statement encouraging notice recipients to distribute the notice to other persons served, where
applicable, using standard language provided in 40 CFR 141.205(d)(3). (Refer to Section 3.2.8 of
this document).
Although required elements may not appear to be applicable to each type of violation, the system must
still address each element in the notice. For example, if there is no "action consumers should take," the
notice should not disregard this requirement but simply state this. EPA believes this is especially
important for Tier 2 notices, where a violation may have been resolved by the time the notice is issued or
may not be an immediate health risk. Systems may consult with their state or a local health department for
the appropriate information for some elements of the notice, such as the actions consumers should take.
The local health department also can help identify other system-specific information, such as populations
at risk (e.g., children or dialysis patients).
If a system does not know when it will return to compliance, EPA expects the notice to give consumers an
idea of how long it will take. For example, it may take a few days to resolve an E. coli MCL violation or a
few months to install corrosion control. Public notice is required for as long as the violation or situation
persists. When the problem is resolved, EPA recommends that a system issue a follow-up notice.
For some situations, such as waterborne emergencies, that may not have mandatory health effects
language, systems will have to develop situation-specific descriptions of potential health effects. A PWS
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may be able to adapt the language from a treatment technique or MCL violation. Figure 3-1 contains an
example showing how all the required content elements fit into a notice for a violation.
Figure 3-1. Required Elements of a Public Notice
2. When the violation
occurred
6. Actions consumers
should take
3. Potential adverse
health effects
7. What is being —
done to correct the
violation or situation
10. Required
distribution language
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Jones¥itle Water System Has Violated a Drinking Water Standard
Our water system recently violated a drinking water standard. Even though
this was not an emergency, as our customers, you have a right to know what
happened and what we are doing to correct the situaiton.
We routinely monitor for the presence of drinking water contaminants. Testing
results from October 2020 to September 2021 show that our system exceeded
the standard, or maximum contaminant level I MCL I, for total trihaiomethanes.
The standard for total trihaiomethanes is 80 parts per billion, averaged at each
sampling location for a year. The level of TTHMs averaged at one location at
our system for a year was 148 parts per billion.
What should I do?
¦ You do not need to boil your water or take other corrective actions. If a
situation arises v/here the water is no longer safe to drink, you will be
notified \\ ithin 24 hours.
« People \ ith severely compromised immune systems, people with an infant,
and some elderly may be at increased risk. These people should seek
advice about dt inking water from their health care providers.
What does this mean?
This is not an emergency. If it had been an emergency, you would have been
notified within 24 hours.
Some people who drink water containing trihaiomethanes in excess of the MCL
over many years may experience problems -.with their liver, kidneys, or central
nervous system, and may have an increased risk of getting cancer.
What is being done?
TTHMs are four volatile organic chemicals which form when disinfectants
react with natural organic matter in the water. We are working to minimize the
formation of TTHMs while ensuring an adequate level of disinfection to protect
customers from exposure to bacteria. We have since taken samples at this
location and throughout the system and had them tested. They show that we
now meet the standards.
For more information, or to learn more about protecting your drinking water
please contact John Jones at (502) 555-1212.
Please share this information with all the other people who drink this water,
especially those who may riot have received this notice directly (for example,
people in apartments, nursing homes, schools, and businesses). You can do
this by posting this notice in a public place or distributing copies by hand or
mail.
This is being sent by the Jonesville Water System.
State Water System ©#1234587. Date Distributed: 10/24/2021
1. Description of the
—-—— violation
5. Should alternate
water supplies be
— used
4. The population at
— risk
8. When the system
expects to return to
compliance
9. Phone number for
— more information
PNRule Implementation Guidance
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3.2.4 Minimum Delivery Requirements for Public Notice
[40 CFR 141.202(c), 141.203(c) and 141.204(c)]
The PN Rule establishes minimum delivery methods for systems to use in distributing public notices for a
Tier 1, 2, or 3 violation or situation. Water systems must select at least one delivery method from the
regulatory list and take steps reasonably calculated to reach others served by the system.
Tier 1
40 CFR 141.202(c) gives systems the flexibility to choose the specific method of delivery to distribute
Tier 1 notices. For Tier 1 notification, a PWS must use, at a minimum, at least one of the following
delivery methods:
• Appropriate broadcast media.
• Posting of the notice in conspicuous locations.
• Hand delivery.
• Another minimum delivery method specified in writing by the state.
The Rule also establishes a performance standard requiring the system to use delivery methods reasonably
calculated to reach all other persons not reached by the primary method within the 24-hour period,
including all residential, transient and nontransient users of the water.
Tiers 2 and 3
Delivery requirements for Tier 2 and 3 notices differ depending on whether a system is a CWS or a
NCWS. The requirements for delivering Tier 2 notices are specified in 40 CFR 141.203(c). Requirements
for Tier 3 notification are specified in 40 CFR 141.204(c). The Rule requires a CWS, at a minimum, to
mail or otherwise directly deliver the notice to each customer receiving a bill and to other service
connections to which water is delivered and to use another method reasonably calculated to reach other
persons regularly served by the system. NCWSs must, at a minimum, post the notice in conspicuous
locations or mail or directly deliver the notice to each customer and service connection (if known) and to
use another method reasonably calculated to reach other persons if they would not normally be reached by
the posted notice. The state may direct the system in writing to provide a delivery method other than the
methods required in 40 CFR 141.203(c) and 40 CFR 141.204(c).
If a public notice is posted, it must remain in place for as long as the violation or situation lasts, but in no
case less than seven days, even if the violation or situation is resolved [40 CFR 141.203(b) and 40 CFR
141.204(b)]. Generally, a violation or situation is considered to be resolved when the system has returned
to compliance as defined by the regulation in question; however systems should contact their state to
determine whether a violation or situation is considered resolved.
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3.2.4.1 Use of Annual Notice to Meet Tier 3 PN Requirements
[40 CFR 141.204(b)(2), 141.204(d)]
The PN Rule allows systems the option of providing an annual notice summarizing all Tier 3 violations
occurring during the year instead of providing individual Tier 3 public notices [40 CFR 141.204(b)(2)],
Given that the majority of violations or situations require a Tier 3 public notice, EPA believes the
advantages of using an annual notice for Tier 3 violations or situations are reduced cost and more
effective communication with consumers.
A community water system (CWS) has the option to use their consumer confidence report (CCR) as a
vehicle for Tier 3 notices (initial and repeat notices). States and systems should be aware that the timing
and content requirements of the PN Rule differ from those of the CCR Rule and any Tier 3 notices
inserted in the CCR must meet the PN requirements. With regard to timing, for example, a CCR
published on July 1, 2020 must include violations or situations that occurred between January 1, 2019 and
December 31, 2019 [40 CFR 141.153(d)(6) and 141.153(f)], However, a CCR published on this date
cannot be used to provide public notification for Tier 3 violations or situations that occurred between
January and June 2019 since the CCR would reach consumers more than a year after they occurred. To
minimize the timing conflict, systems could publish the CCR early (i.e., as soon after the end of the
calendar year as possible) or include a separate public notice for the violations that occurred from January
through June of the current year in the same envelope as the CCR covering the previous calendar year's
violations.
As specified in 40 CFR 141.204(d), if a CWS chooses to use the CCR for public notification, the CWS
must:
1) Provide the CCR to all persons served no later than 12 months after the system learns of the
violation as required in 40 CFR 141.204(b).
2) Meet the PN requirements (include all ten elements) for content of Tier 3 public notices under 40
CFR 141.205.
3) Distribute the CCR following the PN delivery requirements in 40 CFR 141.204(c). Small CWSs
that have a mailing waiver for CCR would not satisfy the PN delivery requirements. In addition,
the CCR must be provided to persons served that are not necessarily only the billing customers
who would receive the CCR. Publication of Tier 3 notices in the electronic version of the CCR is
also acceptable.
a. EPA conducted a retrospective review for CCR to interpret "direct delivery" for
electronic delivery. This means an address that one would type to get to a webpage in one
click, and the customer communication prominently displays the link with a notice
explaining the nature of the link for the CCR. EPA issued a 2013 Delivery Options
memo, https://www.epa.gov/ccr/how-water-utilities-can-electronicallv-deliver-their-ccr.
to allow for CCRs to be delivered electronically in accordance with methods to include
Tier 3 PN. This interpretation for "directly deliver" was limited to the CCR Rule. States
may approve alternate delivery methods for PN in writing if customers are unable to
receive the chosen electronic method. These methods can be found in 40 CFR
141.202(c)(4), 141.203(c), and 141.204(c).
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3.2.5 Who Must be Notified
[40 CFR 141.201(c), 141.206, and 141.210]
Each PWS must provide public notice to persons served by the water system [40 CFR 141.201(c)]. EPA
interprets the obligation of a system to reach persons served to extend beyond bill-paying customers and
service connections to all consumers of the system's drinking water. This means that a PWS must take
steps reasonably calculated to inform people who drink the water if they would not be reached by the
primary delivery methods. For example, if a CWS mails a notice to its billing customers only, people who
do not receive water bills, such as tenants or people who work in the area served by the system but live
elsewhere would not receive a notice. Publishing the notice in the newspaper and/or providing copies of
the notice to landlords to distribute to their tenants would help reach those people. In addition to posting
the notice, a NCWS could deliver multiple copies of the notice to central locations (e.g., community
centers).
The PN Rule also requires inclusion of standard language in the notice to encourage distribution of the
notice, where applicable. This language is included in Section 3.2.8 and is intended to increase public
awareness of the situation. However, use of this language does not relieve systems of their obligation to
notify persons served.
3.2.5.1 Wholesale and Consecutive System Responsibilities
[40 CFR 141.201(c)(1)]
Public water systems that sell or otherwise provide drinking water to other public water systems are
required to give public notice of a violation or situation to the owner or operator of any systems to whom
they sell water. (Selling systems are known as "wholesale" systems; purchasing systems are referred to as
"consecutive" systems.) The wholesale system is not required under the PN Rule to distribute notice to
persons served by the consecutive systems. It is the responsibility of the consecutive system to provide
public notice to the people it serves. For example, if a PWS supplies water to six other systems, the PN
Rule requires the wholesale system to provide public notice to the owner or operator of each of the other
six water systems. Each of the six consecutive systems must, in turn, provide notice to the persons they
serve within the appropriate deadline.
The "clock" for public notification (i.e., the point in time from which the deadline for notification is
determined) begins for each of the consecutive systems when they are notified of the violation or
situation. In a situation where a system purchases water, then sells some of this water to another system,
this could have a "multiplying" effect. In a Tier 1 situation, for example, the notification deadline for the
third system could be up to three days after the violation was originally identified. In such circumstances,
it may be easier and more appropriate for the wholesale system to notify all consumers of consecutive
systems by broadcasting the notice over television or radio or for the systems to issue joint notices. In
general, wholesale systems should send copies of the notice to their consecutive systems prior to
notifying the media, if time permits. Although the legal obligations are clear under the Rule, EPA
recommends that in such cases the wholesale and consecutive systems agree on, and specify in their
contracts, the most effective approach for distributing public notices.
3.2.5.2 Limited Distribution of Notices
[40 CFR 141.201(c)(2)]
In cases where a system has a violation in a portion of the distribution system that is physically or
hydraulically isolated from the rest of the distribution system, the PN Rule provides states with the
flexibility to allow a system to only notify persons served by that portion of the system that is out of
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compliance. The state must provide written permission to the system for limiting distribution of the
notice.
This provision can also apply to wholesale systems and consecutive systems. If a consecutive connection
is in an area of the distribution system that is isolated from other parts of the distribution system, and that
portion of the distribution serving the consecutive system is in compliance, the state can grant the
wholesale system permission, in writing, to only notify those areas of the distribution system that are not
in compliance. Thus, the consecutive system would not be notified of the violation.
3.2.5.3 Copy of Notice to State
[40 CFR 141.201(c)(3)]
A copy of the notice and certification that all requirements have been met must be sent to the state, in
accordance with the requirements of 40 CFR 141.31(d). Refer to Section 3.2.11 of this document for more
information.
3.2.5.4 Notice to New Billing Units
[40 CFR 141.206]
The Rule requires community water systems to give a copy of the most recent public notice for any
continuing violation, the existence of a variance or exemption or other ongoing situations requiring a
public notice to all new billing units or new customers prior to or at the time service begins. Non-
community water systems must continuously post the public notice in conspicuous locations to inform
new consumers of any continuing violation, the existence of a variance or exemption or other ongoing
situations requiring public notice.
3.2.5.5 Notice by the State on Behalf of the System
[40 CFR 141.210]
The state at its discretion, may give public notice on behalf of the PWS if all PN requirements are met.
The owner or operator of the PWS remains responsible for ensuring that the PN requirements are met.
3.2.6 Variances and Exemptions
[40 CFR 141.204(b)(1) and 141.205(b)]
Systems operating under a variance or exemption must provide Tier 3 notice to their consumers within
one year of obtaining the variance or exemption and repeat the notice annually for as long as the variance
or exemption exists. In addition, if the notice is posted, it must remain in place for as long as the variance
or exemption exists [40 CFR 141.204(b)(1)]. The notice must include the following [40 CFR 141.205(b)]:
• An explanation of the reasons for the variance or exemption.
• The date on which the variance or exemption was issued.
• Brief report on the steps the system is taking to comply with the terms of the variance or
exemption.
• Notice of any opportunity for public input of the variance and exemption.
A system that violates the conditions of a variance or exemption must issue a Tier 2 public notice
containing the ten elements specified in 40 CFR 141.205(a).
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3.2.7 Multilingual Requirements
[40 CFR 141.205(c)(2)]
The PN Rule establishes minimum multilingual requirements for PWSs to meet. If a large proportion of
the population a system serves does not speak English, the system must provide at least partially
multilingual notices. The notice must, at a minimum, contain information in the appropriate language(s)
regarding the importance of the notice or it must provide a phone number or address where a translated
notice or information or assistance in the appropriate language is available. The state may establish
criteria for what constitutes a large proportion of the population served. The PN Rule also requires a PWS
to comply with the multilingual requirements, where appropriate, even in those cases where the state does
not provide further direction.
To determine the languages spoken in a community, systems should rely on knowledge of their consumer
base or contacts with community representatives. Some state websites provide guidance that can help
systems identify the languages spoken in their community. Another possible source of information on the
languages spoken in a locale is the US Census Bureau's Web site, https://data.census.gov/ccdsci/. which
contains information about local communities. The Census database includes answers to questions about
what languages besides English are spoken at home and the level of English proficiency. By using the
Guided Search function, you can build a simple query that can provide information on the language
spoken in community broken down by many different census reporting geographies.
EPA expects systems to be more proactive in deciding whether to translate PNs than they would for
CCRs because public notices are about violations of drinking water standards or other situations that pose
a health risk, whereas CCRs are more educational in nature. Systems may wish to provide notices in
multiple languages if non-English speaking populations are in the service area, whether or not there are a
large proportion of such people. Although systems are not required to provide full translations of notices,
this is strongly recommended for Tier 1 notices and for other violations that pose a serious health risk.
The CWS and NTNCWS PN Handbook (EPA 816-R-23-002) and the TNCWS PN Handbook (EPA 816-
R-23-001) include Spanish translations for two Tier 1 notices: violation of the nitrate MCL and violation
where E. coli is present. These are posted on EPA's Web site at: https://www.epa.gov/dwreginfo/public-
notification-rule.
3.2.8 Standard Language for Public Notices
[40 CFR 141.205(d)]
The PN Rule contains mandatory health effects language for MCL, MRDL and TT violations, standard
language for monitoring violations and standard language for distribution of the notice to all persons
served.
• Appendix B to Subpart Q specifies health effects language for MCL and MRDL violations, TT
violations and violations of the conditions of a variance or exemption. A PWS must include in
each public notice the health effects language specified in Appendix B to Subpart Q [40 CFR
141.205(d)(1)]. If there is no mandatory language provided for a violation or situation, systems
should describe potential health effects using their own language.
• The following language must be included for all monitoring violations (including testing
procedure violations) [40 CFR 141.205(d)(2)]:
We are required to monitor your drinking water for specific contaminants on a regular
basis. Results of regular monitoring are an indicator ofwhether or not your drinking water
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meets health standards. During [complianceperiod], we ['didnot monitor or test' or 'did
not complete all monitoring or testing'] for [contaminant(s)], and therefore cannot be sure
of the quality of your drinking water during that time.
• The following language to encourage distribution of the notice to all persons served must be
included in all notices, where appropriate [40 CFR 141.205(d)(3)], EPA believes distribution of
the notice to all persons served increases public awareness of the situation. Use of this language
does not relieve systems of their obligation to notify persons served:
Please share this information with all the other people who drink this water, especially
those who may not have received this notice directly (for example, people in apartments,
nursing homes, schools, and businesses). You can do this by posting this notice in a public
place or distributing copies by hand or mail.
There are situations where this may not apply. For example, this language would probably not be
necessary on a posted notice, since posting makes the notice available to everyone who passes by.
It would also not be needed for a notice provided by broadcast and print media.
3.2.9 Special Notices
[40 CFR 141.207,141.208,141.209 and 141.211]
The PN Rule specifies violations and situations that have special conditions of form, manner and/or
content. They are referred to as special notices. Situations that require special notice include the
availability of unregulated contaminant monitoring data, fluoride SMCL exceedances and NCWS nitrate
exceedances above the MCL allowed by the state. Violations that require special notice include repeated
failure to conduct monitoring of the source water for Cryptosporidium and failure to determine bin
classification or mean Cryptosporidium level.
• Unregulated contaminant monitoring [40 CFR 141.207]: If a PWS is required to monitor for
unregulated contaminants under the Unregulated Contaminant Monitoring Rule, it must issue a
public notice stating that the results of the monitoring are available and give a phone number to
call for those results. The ten required elements of a public notice [40 CFR 141.205(a)] do not
need to be included, but the system must follow the Tier 3 schedule to issue a public notice no
later than 12 months after the monitoring results are known. Systems also have the option to
include this information in an annual notice for Tier 3 situations and violations.
• Exceedance of the SMCL for Fluoride [40 CFR 141.208]: CWSs that exceed the SMCL of 2
mg/1 for fluoride in any one sample but do not exceed the MCL of 4 mg/1 must provide public
notice containing the special fluoride language shown below (in italics). Systems do not need to
include the ten required elements of a public notice [40 CFR 141.205(a)], as these are addressed
in the mandatory special language.
This is an alert about your drinking water and a cosmetic dental problem that might affect
children under nine years of age. At low levels, fluoride can help prevent cavities, but
children drinking water containing more than 2 mg/l of fluoride may develop cosmetic
discoloration of their permanent teeth (dental fluorosis). The drinking water provided by
your community water system [name] has a fluoride concentration of [insert value] mg/l.
Dental fluorosis, in its moderate or severe forms, may result in a brown staining and or
pitting of the permanent teeth. This problem occurs only in developing teeth, before they
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erupt from the gums. Children under nine should be provided with alternative sources of
drinking water or water that has been treated to remove the fluoride to avoid the possibility
of staining and pitting of their permanent teeth. You may also want to contact your dentist
about proper use by young children of fluoride-containing products. Older children and
adults may safely drink the water.
Drinking water containing more than 4 mg/l of fluoride (the US Environmental Protection
Agency's drinking water standard) can increase your risk of developing bone disease. Your
drinking water does not contain more than 4 mg/l of fluoride, but we are required to notify
you when we discover that the fluoride levels in your drinking water exceed 2 mg/l because
of this cosmetic dental problem.
For more information, please call [name of water system contact] of [name of community
water system] at [phone number]. Some home water treatment units are also available to
remove fluoride from drinking water. To learn more about available home water treatment
units, you may call NSFInternational at 1-877-8-NSF-HELP.
Public notice must be provided as soon as practical but no later than 12 months from the day the
water system learns of the exceedance. A copy of the notice must also be sent to all new billing
units and new customers at the time service begins as well as to the state public health officer or
state health department. The water system must repeat the notice annually for as long as the
SMCL is exceeded. If the public notice is posted, the notice must remain in place for as long as
the SMCL is exceeded, but in no case less than seven days (even if the exceedance is eliminated)
On a case-by-case basis, the state may require an initial notice sooner than 12 months and repeat
notices more frequently than annually. The form and manner of the public notice (including
repeat notices) must follow the requirements for a Tier 3 public notice specified in 40 CFR
141.204(c), (d)(1) and (d)(3).
• Nitrate exceedances above the MCL by NCWSs [40 CFR 141.209]: The owner or operator of
aNCWS granted permission by the state under 40 CFR 141.11(d) to exceed the nitrate MCL
must provide notice to persons served according to the requirements for a Tier 1 notice under 40
CFR 141.202(a) and (b). The NCWS must provide continuous posting of the fact that nitrate
levels exceed 10 mg/l and the potential health effects of exposure according to the requirements
for Tier 1 notice delivery under 40 CFR 141.202(c) and the content requirements under 40 CFR
141.205 (the 10 required elements). If the nitrate concentration goes above 20 mg/L the NCWS
must issue Tier 1 nitrate MCL violation, as specified in 40 CFR 141.23(o).
• Repeated failure to conduct monitoring of the source water for Cryptosporidium for surface
water systems [40 CFR 141.211]: Surface water systems that incur a violation for failing to
conduct required Cryptosporidium monitoring of their source water for any three months are
required to issue a Tier 2 special notice within 30 days. The notice must meet all the Tier 2 PN
requirements. The notice must also include the following mandatory language as well as a
description of what the system is doing to correct the violation and when the system expects to
return to compliance or resolve the situation:
We are required to monitor the source of your drinking water for Cryptosporidium. Results
of the monitoring are to be used to determine whether (treatment plant name) is sufficient
to adequately treat the water for Cryptosporidium. We are required to complete this
monitoring and make this determination by (required bin determination date). We "did not
monitor or test" or "did not complete all monitoring or testing" on schedule and,
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therefore, we may not be able to determine by the required date what treatment
modifications, if any, must be made. Missing this deadline may, in turn, jeopardize our
ability to have the required treatment modifications, if any, completed by the deadline
required, (date). For more information, please call (name of water system contact) of
(name of water system) at (phone number).
Monitoring the source water for Cryptosporidium is a requirement under LT2ESWTR. The
compliance date for this requirement depends on the schedule the system must follow under
LT2ESWTR.
(Note: systems that fail to collect one or two months of the scheduled Cryptosporidium samples
are required to issue Tier 3 notification. In this case, special notice language does not apply.)
• Failure to determine bin classification or mean Cryptosporidium level [40 CFR 141.211]:
Surface water systems that fail to determine their bin classification or mean Cryptosporidium
level after completing source water monitoring required under LT2ESWTR are required to issue
Tier 2 special notice within 30 days. The notice must meet all the Tier 2 PN requirements. The
notice must also include the following mandatory language as well as a description of what the
system is doing to correct the violation and when the system expects to return to compliance or
resolve the situation:
We are required to monitor the source of your drinking water for Cryptosporidium in order
to determine by (date) whether water treatment at the (treatment plant name) is sufficient
to adequately remove Cryptosporidium from your drinking water. We have not made this
determination by the required date. Our failure to do this may jeopardize our ability to
have the required treatment modifications, if any, completed by the required deadline of
(date). For more information, please call (name of water system contact) of (name of water
system) at (phone number).
The compliance date for this requirement depends on the schedule the system must follow under
LT2ESWTR. The PN is not required if the system is complying with a State-approved schedule
to address the violation.
3.2.10 Formatting Requirements for Public Notices
[40 CFR 141.205(c)(1)]
All public notices must meet certain formatting standards. These requirements help highlight notices in a
newspaper and help ensure that consumers can easily understand the notice.
^ Notices must be displayed in a conspicuous way (where printed or posted).
^ They may not contain overly technical language or very small print.
^ They may not be formatted in a way that defeats the purpose of the notice.
^ They may not contain language which nullifies the purpose of the notice.
3.2.11 Certification
[40 CFR 141.31(d)]
The PN Rule requires a PWS, within 10 days of completing the public notification requirements for the
initial public notice and any repeat notices, to submit a certification to the state that it has fully complied
with the PN regulations along with a copy of each type of notice. A PWS must include with the
certification a copy of each type of notice distributed, published, posted or made available to the persons
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served by the system and to the media (e.g., press release to TV/radio, mail notices). In the CWS and
NTNCWS PN Handbook (EPA 816-R-23-002) and the TNCWS PN Handbook (EPA 816-R-23-001),
EPA includes a sample certification "box" with appropriate language, suitable for checking off required
activities as a PWS completes them. The sample is also provided below in Figure 3-2. The box is not
mandatory (only a statement is); however, it can be a useful tool for systems to track and note required
activities. States may develop their own certification forms specifying content and format.
Figure 3-2. Sample Certification Box
PWS Name: [give system name!
PWS ID #: (provide PWS number]
For Violation: (describe violation or situation!
Occurring on: [insert date! ,
The public water system indicated above hereby affirms that public notice has been provided to
consumers in accordance with the delivery, content, and format requirements and deadlines in
[regulatory citation].
~ Consultation with primacy agency (if required) on [insert date! .
~ Notice distributed by [insert metbodi on [insert date!
~ Notice distributed by [insert method] on [insert datel
~ Content - required elements.
Signature of owner or operator Date
3.2.12 Public Water System Recordkeeping Requirements
[40 CFR 141.33(e)]
The PN Rule requires a PWS to maintain copies of all public notices and certifications made to the state.
The PWS must keep these records for at least 3 years after issuance.
3.3 Communicate PN Rule Requirements to Systems
When a new NPDWR is promulgated the PN Rule requirements are often updated to include new
information that the PWSs will need to provide to consumers. States should communicate the new PN
Rule requirements with PWSs affected by the underlying Rule and prepare them to comply with the
relevant requirements. Systems should be notified of new requirements early enough to ensure their
ability to budget for and schedule their compliance actions.
3.3.1 Requirements and Target Notification Time Frames
States often notify systems of upcoming requirements using a form letter that may or may not be tailored
to some degree. Based on the PN Rule's provisions, states may find it useful to draft and send out
different form letters to different categories of systems (CWS, NTNCWS, or TNCWS). States should
consider categorizing systems early on in their PN Rule communication efforts so that each system is
provided only with the provisions that apply to them.
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3.3.2 Methods of Communication
Written Notice
Providing written notice of rule requirements to PWSs serves two purposes: (1) the recipient system
obtains a formal notice of upcoming regulatory requirements and a timeline for compliance, and (2) the
state has a hard-copy document that it may file and use in subsequent compliance tracking efforts.
Written notification can be in the form of a letter from the state to affected systems. The letter should
include a summary of rule requirements and timeframes and direct the reader to an appropriate contact if
questions arise.
States should consider including a quick reference guide or fact sheet with the letter. EPA documents that
are intended to be distributed to water systems through mailings, training sessions and other educational
forums are available at https://www.epa.gov/dwreginfo/public-notification-rule. These documents provide
overviews of the PN Rule to help systems understand the provisions of the Rule and determine which
provisions apply. The publications also describe the benefits of the Rule.
Although valuable, systems also need to be reminded that these resources do not substitute for official
rule language, and therefore, states should include in the letter the Web site address where their regulatory
language can be accessed.
Guidance Documents
Guidance documents developed for the PN Rule are also useful for explaining rule requirements and
specific aspects of rule implementation to system operators, including monitoring and compliance
determinations. The guidance documents can be used as stand-alone references or as supporting materials
in PN Rule training events. See Section 2 for more information on these references.
3.4 Data Management Systems
Although state data management systems vary to suit state-specific requirements and needs, EPA
recommends that all states ensure that their data management systems are capable of efficiently tracking
affected PWSs, compliance status and other information needed to implement the PN Rule.
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Section 4
State Primacy Revision
Application and
Implementation
Considerations
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40 CFR Part 142 sets out requirements for states to obtain and/or retain primary enforcement
responsibility (primacy) for the Public Water System Supervision (PWSS) program as authorized by
Section 1413 of the SDWA (42 U.S.C. 300g-2). The 1996 SDWA Amendments updated the process for
states to obtain and/or retain primacy. On April 28, 1998, EPA promulgated the Primacy Rule to reflect
these statutory changes (63 FR 23362).
4.1 State Primacy Program Revision
Pursuant to 40 CFR 142.12, complete and final requests for approval of program revisions to adopt new
or revised EPA regulations must be submitted to the EPA Administrator no later than 2 years after
promulgation of the new or revised federal regulations, unless the state requests an extension, and the
Administrator has approved the request. The final date for submission of a complete and final state
request may be extended for up to a two-year period. The PN Rule will need to be modified and the
primacy information updated when new NPDWR are promulgated that modify the PN Rule. Updating
primacy for the PN Rule will need to follow the same schedule that the underlying regulation is following
(e.g., if the new NPDWR primacy package is due December 2023 then any changes to the PN Rule would
be required at the same time).
Note that EPA encourages the state to submit the primacy application or extension requests to the EPA
Regional Administrator and the appropriate Regional Drinking Water Program Office to minimize delay
of review. Since the effective date of a rule is three years after promulgation, there are no implementation
responsibilities for EPA or the state if a state submits a complete primacy package within the required two
years of promulgation. A state receives full implementation and enforcement authority 30 days after
EPA's publication in the Federal Register of the approval of the state's primacy package. The state can
receive full implementation and enforcement authority immediately after a final primacy package is
submitted and deemed complete if the state meets the requirements for interim primacy.
States must submit final program revision packages to EPA Regions, including adopted state regulations,
a regulation crosswalk, 40 CFR 142.10 primacy update checklist, 40 CF 142.14 and 142.15 reporting and
recordkeeping, 40 CFR 142.16 special primacy requirements, and the Attorney General's Statement of
Enforceability. EPA's final review and determination will include an EPA Regional review and a
proposal to approve a State program revision, EPA Headquarters concurrence and waivers, public notice,
opportunity for hearing, and EPA's determination to approve or disapprove the State program.
EPA recognizes the interim primacy process is a negotiated process between many states and Regions,
especially when the eligibility requirements are not met. States that have received approval by EPA for
primacy for all existing NPDWRs and other state-initiated program changes that the state may have made
to their regulations that are subject to review according to 40 CFR 142.17 are eligible for interim primacy
for a new or revised NPDWRs. Pursuant to 40 CFR 142.12(e), a state with an approved primacy program
for each existing NPDWR shall be considered to have interim primacy enforcement authority with respect
to each new or revised NPDWR that it adopts, beginning when the new or revised state regulation
becomes effective or when the complete primacy revision application is submitted to EPA, whichever is
later.
If a state is eligible for interim primacy, full implementation and enforcement authority is granted for the
new or revised rule on the date the final primacy revision is deemed complete by the Region, or the
effective date of the new state regulation (whichever is later). Interim primacy ends 30 days after EPA's
publication in the Federal Register of the approval of the state's primacy package.
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4.1.1 The Revision Process
EPA reviews these legal primacy revision documents to find any differences in the state's regulatory
language (typically conducted by EPA's drinking water program), and to ensure those differences do not
make the state's rules less stringent than the federal rules (typically conducted by EPA's Regions' Office
of Regional Counsel). If requirements and authorities specific to a state are different than the PN Rule
requirements, the state's primacy application materials must include information and documentation that
demonstrates that the state's program is at least as stringent as the federal requirements. EPA
Headquarters oversees the Regions' reviews by co-reviewing at least one package that is submitted to the
Region. Therefore, time should be incorporated into a state's rule adoption process to allow for EPA's
thorough examination of the draft and final primacy application packages.
EPA uses a two-step process for approval of state program revisions. The steps consist of submission of a
draft request (very strongly recommended), followed by submission of a complete and final request for
program approval.
Draft Primacy Application —The state rule adoption process can be very resource intensive and can
typically last between one to two years; sometimes longer. Submitting a draft primacy application for
review by EPA is one of the best time savings measures a state can perform in the process of adopting a
new regulation. It is important to coordinate with EPA to ensure that the draft is submitted with enough
time for EPA to complete its comprehensive review, and for the state to make any necessary changes
prior to final rule adoption. EPA recommends submitting the draft primacy application no later than 18
months after rule promulgation.
Where possible, the state's submission should contain drafts of all required primacy application materials
(with the exception of a draft Attorney General's Statement), with the state's regulatory language and
crosswalk (see Appendix A of this document) being the most important parts to include in the draft
submission. EPA will conduct a comprehension review of the draft application materials to find all the
differences in the state's regulatory language and ensure that those differences do not make the state's
rules less stringent than the federal rules. The state will need to provide EPA with any changes made to
the state's regulations after EPA's review (i.e., based on the state's own review, the state's public
comment process, etc.) to ensure that any changes do not make the state's regulations less stringent than
the federal regulations. EPA will make a tentative determination as to whether the state program meets
the applicable requirements.
Final Primacy Application Package —This submission must be in accordance with 40 CFR
142.12(c)(1) and (2) and include among other things, an Attorney General's statement. The required
components of a complete primacy package are listed in Section 4.3. States eligible for interim primacy
can receive it as soon as EPA makes a determination that the final primacy application package is
complete. Any state that submitted a draft primacy application should document in the final application
package that requested revisions have been made and adopted in the final rule. This will expedite the final
review and better enable EPA to meet the 90-day statutory deadline to publish a determination in the
Federal Register.
States that only submit a final revised primacy application without also submitting a draft are at risk of
not being able to identify and correct any stringency issues that may be found prior to rule adoption which
may force the state to go through the rule adoption process a second time.
EPA recommends that states submit their complete and final revision package within 24 months of rule
promulgation. For states that meet the interim primacy requirements, early submission will ensure receipt
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of interim primacy as early as possible. Early submittals may also help EPA complete its review in a
timely manner, allowing states to receive full primacy sooner.
The state and region should agree to a plan and timetable for submitting the state primacy revision
application as soon as possible after rule promulgation.
4.1.2 The Final Review Process
Once EPA determines that a state application is complete and final, EPA has a legal deadline of 90 days
to review, and approve or disapprove the revised program, and publish a notice of the decision in the
Federal Register. OGWDW will conduct a detailed concurrent review of the first state package from each
region.
To meet the 90-day deadline for packages undergoing review by OGWDW, the review period is equally
split giving the EPA Regions and OGWDW 45 days each to conduct their respective reviews. Regions
should forward copies of the primacy revision applications and their evaluations to the Drinking Water
Capacity & Compliance Assistance Division Director in OGWDW no later than 45 days after state
submittal. The Drinking Water Capacity & Compliance Assistance Division Director takes the lead on the
HQ review process.
When the region has identified all significant issues, OGWDW waives concurrence on all other state
programs in that region, although EPA Headquarters retains the option to review additional state
programs as appropriate. The Office of General Counsel (OGC) has delegated its review and approval to
the Office of Regional Council (ORC).
4.2 State Primacy Program Revision Extensions
4.2.1 The Extension Process
Under 40 CFR 142.12(b), a state must submit to EPA a complete and final primacy revision application
package no later than two years after promulgation of a new rule or revised EPA regulation. Specifically,
if the new rule or regulation changes the PN Rule, a state must reapply for primacy for the PN Rule. If the
state cannot meet this deadline, there is an opportunity for EPA to grant up to two additional years for the
state to submit a complete and final package if the state applies for an extension. The extension request
must be submitted to the EPA Region before the expiration of the two-year deadline [40 CFR
142.12(b)(1)]. The Regional Administrator has been delegated authority to approve extension
applications. Concurrence by EPA Headquarters on extensions is not required.
While the state may request an extension of up to two years, the EPA Region has the discretion to
approve the extension period based on a lesser timeframe. When the EPA Region grants an approval of a
shorter extension period than the full two years, the EPA Region and state can re-evaluate the state's
ability to obtain full primacy of the PN Rule and add any additional remedies required by the state as a
condition of the EPA Region granting a full two-year extension period. It is anticipated that a state would
ask for an extension for submitting the primacy revision extension for the new underlying NPDWR that
requires the PN Rule to be revised and that a separate extension request is not needed for the PN Rule.
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4.2.2 Extension Request Criteria
For an extension to be granted under 40 CFR 142.12(b), the state must demonstrate that it is requesting
the extension because it cannot meet the original deadline for reasons beyond its control and despite a
good faith effort to do so. A critical part of the extension application is the state's proposed schedule for
submission of its complete and final request for approval of a revised primacy program. The application
must also demonstrate at least one of the following:
• That the state currently lacks the legislative or regulatory authority to enforce the new or revised
requirements;
• That the state currently lacks the program capability adequate to implement the new or revised
requirements; or,
• That the state is requesting the extension to group two or more program revisions in a single
legislative or regulatory action.
In addition, the application must demonstrate that during the extension period the state is implementing
federal requirements included in the program revision, taking into account the state's current authority
and capabilities.
4.2.3 Conditions of the Extension
Until states have primacy, EPA is the primary enforcement authority; however, states historically have
played a role in implementation for various reasons—most importantly because states have local
knowledge, expertise and established relationships with their PWSs. Therefore, until the state primacy
revision application has been approved, the state and EPA Region typically share responsibility in
practice. Typically, the state agrees to implement the primary program elements and EPA agrees to carry
out any enforcement activities due to the state not having the authority to enforce until the rule is adopted.
During this time, the state and EPA should be viewed as partners, working towards two very specific
goals. The first goal is to achieve a high level of compliance with the regulation. The second goal is to
facilitate successful implementation of the regulation during the transition period between when EPA has
primacy and when the state is delegated primacy, including interim primacy, for the PN Rule. When an
EPA Region has direct implementation and primary enforcement authorities for the PN Rule, the EPA
Region may use part of the PWSS grant (if funds remain in a state's allotment after the PWSS program
grant has been made to the state or because no grant was made to the state) to support the Federal
government's implementation of the PN Rule in the absence of an acceptable state PWSS program (40
CFR 35.116). EPA has direct implementation and primary enforcement authorities when a state does not
have interim primacy for the PN Rule (i.e., when the state regulations for the PN Rule are not effective or
when a state has not submitted a complete primacy revision application to the EPA Regional
Administrator) [40 CFR 142.12(e)].
In order to accomplish these goals and to ensure proper health protection, education, training and
technical assistance should be provided to water suppliers explaining their responsibilities under the PN
Rule. Water suppliers are also encouraged to refer to the PN Rule guidance materials, reference guide and
fact sheets listed in Section 2.
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EPA has developed materials to assist with the extension agreement process including:
• Table 4-1. which is a state Primacy Revision Extension Checklist that states can use as guidance
for what EPA will expect from a state extension agreement.
• An Example Extension Agreement Letter (see Example 4-1 below) to discuss the
implementation, database and enforcement activities and negotiate who is responsible for each
activity or how the work will be shared.
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Table 4-1. State Primacy Revision Extension Checklist
CFR Reference
Elements
EPA Findings/ Comments
40 CFR 142.12(b)(1)
State provides a final extension request before the
deadline May 6, 2002.
40 CFR 142.12(b)(2)
State demonstrates good faith effort to meet original
deadline.
40 CFR 142.12(b)(2)
State requests an extension due to reasons beyond its
control.
40 CFR 142.12(b)(2)
State's application for extension includes a schedule
with a timeframe for the submission of a final request
for state program revision.1
40 CFR 142.12(b)(2)
State's application for extension includes sufficient
information to demonstrate at least one of the
following:
40 CFR 142.12(b)(2)(i)(A)
State lacks legislative/regulatory authority to enforce
the rule; or
40 CFR 142.12(b)(2)(i)(B)
State lacks the program capability adequate to
implement the rule; or,
40 CFR 142.12(b)(2)(i)(C)
State requests the extension to group two or more
program revisions in a single legislative/regulatory
action.
40 CFR 142.12(b)(2)
40 CFR 142.12(b)(3)(vi)
State's application for extension contains steps and
includes a schedule, during the extension period,
agreed to by EPA and the state, to remedy the
deficiencies related to the state's lack of program
capability to adequately implement the rule.
40 CFR 142.12(b)(2)(ii)
State's application for extension includes sufficient
information to demonstrate state is implementing the
EPA requirements pursuant to 40 CFR 142.12(b)(3)
within the scope of its authority and capabilities.
40 CFR 142.12(b)(2)(ii)
40 CFR 142.12(b)(3)(vi)
State demonstrates implementation of the steps to
remedy the deficiencies related to the state's lack of
program capability to adequately implement the rule.
40 CFR 142.12(b)(2)(ii)
State demonstrates implementation of the PN Rule
pursuant to 40 CFR 142.12(b)(3) within the scope of its
authority and capabilities.
1. While the state may request an extension of up to two years to submit the final request for program revision,
the EPA Region has the discretion to approve the extension period based on a lesser timeframe to allow re-
evaluation of state's progress in meeting the required activities to address program/statutory deficiencies
which prevented the primacy agency from obtaining primacy before May 6, 2002. When the EPA Region
grants an approval for a shorter extension period (i.e., less than the full two years), the EPA Region and state
can re-evaluate the state's ability to obtain full primacy of the PN Rule and add any additional remedies that
must be taken by the state as a condition of the EPA Region granting a full two-year extension period.
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Example 4-1. Example Extension Agreement Letter
(Date}
(Regional Administrator}
Regional Administrator
U.S. EPA Region (Region}
(Street Address}
iCitv. State. Zip}
RE: Request/approval for an Extension Agreement
Dear (Regional Administrator}:
The State/Commonwealth of (State} is requesting an extension to the date that final primacy revisions are
due to EPA for the Public Notification (PN) Rule until (insert date - no later than 2 years after the due date of
the nrimacv revision package}, as allowed by 40 CFR 142.12 and would appreciate your approval. Staff of the
(State Department/Agency} have conferred with your staff and have agreed to the requirements listed below for
this extension. This extension is being requested because the State/Commonwealth of (State}:
~ Is planning to group two or more program revisions into a single legislative or regulatory action.
~ Currently lacks the legislative or regulatory authority to enforce the new or revised requirements.
~ Currently lacks adequate program capability to implement the new or revised requirements.
(State Department/Agency} will be working with EPA to implement the PN Rule within the scope of its current
authority and capability, as outlined in the areas identified in 40 CFR 142.12(b)(3)(i) - (vi):
i) Informing public water systems (PWSs) of the new EPA (and upcoming state) requirements and the fact that
EPA will be overseeing implementation of the requirements until EPA approves the state revision.
State EPA
Provide copies of regulation and guidance to other state agencies, PWSs technical
assistance providers, associations or other interested parties.
Educate and coordinate with state staff, PWSs, the public and other water
associations about the requirements of this regulation.
Notify affected systems of their requirements under the PN Rule.
Other:
ii) Collecting, storing and managing laboratory results, public notices and other compliance and operation data
required by EPA regulations.
State EPA
Devise a tracking system for PWS reporting pursuant to the PN Rule.
Keep PWSs informed of reporting requirements during development and
implementation.
Report PN Rule violation and enforcement information to Safe Drinking Water
Information System (SDWIS) as required.
Other:
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iii) Assisting EPA in the development of the technical aspects of the enforcement actions and conducting informal
follow-up on violations (telephones calls, letters, etc.).
State EPA
Issue notices of violations (NOVs) for treatment technique, maximum contaminant
level (MCL) and monitoring/reporting violations of the PN Rule.
Provide immediate technical assistance to PWSs with treatment technique, MCL
and/or monitoring/reporting violations to try and bring them into compliance.
Refer all violations to EPA for enforcement if they have not been resolved within
60 days of the incident that triggered the violation. Provide information as requested
to conduct and complete any enforcement action referred to EPA.
Other:
iv) Providing technical assistance to PWSs.
State EPA
Conduct training within the state for PWSs on PN Rule requirements.
Provide technical assistance through written and/or verbal correspondence with
PWSs.
Provide on-site technical assistance to PWSs as requested and needed to ensure
compliance with the regulation.
Coordinate with other technical assistance providers and organizations to provide
accurate information and aid in a timely manner.
Other:
v) Providing EPA with all information prescribed by the State Reporting Requirements in 40 CFR 142.15.
State EPA
Report any violations incurred by PWSs for this regulation each quarter.
Report any enforcement actions taken against PWSs for this regulation this quarter.
Report any variances or exemptions granted for PWSs for this regulation each
quarter.
Other:
vi) For states whose request for an extension is based on a current lack of program capability to implement the new
or revised requirements, taking the following steps to remedy the capability deficiency.
State EPA
Acquire additional resources to implement these regulations (list of specific steps
being taken attached a {List A}).
Provide quarterly updates describing the status of acquiring additional resources.
Other:
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I affirm that the (State Denartment/Agencvl will implement provisions of the PN Rule as outlined in this letter and
in the associated enclosures.
(Agency Director or Secretary! (Date}
(Name of State Agencvl
I have consulted with my staff and approve your extension for the aforementioned regulation. I affirm that EPA
Region (Regionl will implement provisions of the PN Rule as outlined in this letter and in the associated
enclosures.
Regional Administrator (Date}
EPA Region (Region}
This Extension Agreement will take effect upon the date of the last signature and will remain in effect until (Insert
date for which the extension agreement is aim roved}
4.3 State Primacy Package
The final Primacy Revision Application package is considered complete when it contains the following
items:
~ State Primacy Revision Checklist
~ Text of the State's Regulations
~ Primacy Revision Crosswalk
a. Including a comparison of any significant differences between the state regulations and
the federal regulations including an explanation of how the state's requirements are "no
less stringent" than the federal regulations. Supporting documentation, if requested by
EPA, must be provided by the state.
~ State Reporting and Recordkeeping Checklist
~ Special Primacy Requirements
a. Including documentation of activities and program changes needed to address these
requirements.
~ Attorney General's Statement of Enforceability
4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(1)]
This section includes a checklist of general primacy requirements, as shown in Table 4-2. In completing
this checklist, the state must identify the program elements that it has revised in response to new federal
requirements. If an element has been revised, the state should indicate a "Yes" answer in the
"Revision to State Program" column provide a description of what was changed, certify that the
revision did not make the state's program less stringent and include any appropriate
documentation. If an element has not been revised, the state should indicate a "No" answer in the
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"Revision to State Program" column. For each element, the state needs to also include the appropriate
state regulatory citation and its date of adoption in the "Revision to State Program" column. During the
application review process, EPA will insert findings and comments in the final column.
The 1996 SDWA Amendments included a new PWS definition and an administrative penalty authority
provision. States must adopt provisions at least as stringent as these SDWA provisions, codified at 40
CFR 142.2 and 40 CFR 142.10. Failure to revise these elements can affect primacy for the PN Rule.
States must have primacy or interim primacy for all existing regulations before they can receive primacy
for the PN Rule. States may bundle the primacy revision packages for multiple rules. If states choose to
bundle requirements, the Attorney General's Statement should reference all of the rules included in the
application.
Table 4-2. State Primacy Revision Checklist
Revision to State
CFR References
Required Program Elements
Program Under
the PN Rule
YES/NO
EPA Findings/Comments
40 CFR 142.10
Primary Enforcement
- Definition of Public Water System1
40 CFR 142.10(a)
Regulations No Less Stringent
40 CFR 142.10(b)(1)
Maintain Inventory
40 CFR 142.10(b)(2)
Sanitary Survey Program
40 CFR 142.10(b)(3)
Laboratory Certification Program
40 CFR 142.10(b)(4)
Laboratory Capability
40 CFR 142.10(b)(5)
Plan Review Program
40 CFR 142.10(b)(6)(i)
Authority to apply regulations
40 CFR 142.10(b)(6)(ii)
Authority to sue in courts of competent
jurisdiction
40 CFR 142.10(b)(6)(iii)
Right of Entry
40 CFR 142.10(b)(6)(iv)
Authority to Require Records
40 CFR 142.10(b)(6)(v)
Authority to Require Public Notification
40 CFR 142.10(b)(6)(vi)
Authority to Assess Civil and Criminal
Penalties
40 CFR 142.10(b)(6)(vii)
Authority to require CWSs to provide
CCRs
40 CFR 142.10(c)
Maintenance of Records
40 CFR 142.10(d)
Variance/Exemption Conditions (if
applicable)2
40 CFR 142.10(e)
Emergency Plans
40 CFR 142.10(f)
Administrative Penalty Authority1
40 CFR 142.10(g)
Electronic Reporting Regulations3
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1. Requirement from the 1996 SDWA Amendments. Regulations published in the April 28, 1998, Federal
Register.
2. Regulations published in the August 14,1998 Federal Register.
3. Regulations published in the October 13, 2005, Federal Register.
4.3.2 Text of the State's Regulation
Each primacy application package should include the appropriate text of the state's regulations or
appropriate citations if the state is incorporating the PN Rule by reference.
4.3.3 Primacy Revision Crosswalk
EPA strongly encourages states to complete and submit with the primacy application the Primacy
Revision Crosswalk, in Appendix A. The Crosswalk captures federal requirements and citations for the
PN Rule and provides a space for the state to include the corresponding state regulatory language and
citation, allowing for a direct comparison. If the state's language differs from the federal language, the
state must explain how the difference is "no less stringent" and provide supporting documentation if
requested by EPA. The explanation should be included in the last column of the crosswalk ["Different
from the Federal Requirements? (Explain on a different sheet)"]. Given the detail of EPA's review, the
process may be accelerated when the state provides the justification upfront with the crosswalk.
If in the state regulatory language a reference is omitted or changed, the state needs to include an
explanation as to why leaving out or changing the reference is not less stringent. For example:
• If a federal citation is to a very specific monitoring requirement but the state regulatory language
more generally references all of the monitoring requirements, the state should explain in the
crosswalk that the more general requirement was included to ensure that the state had all related
authority to ensure compliance. In EPA's review, since the more general cite includes the more
specific site, the state program would not be considered less stringent for this change.
• If the state omits a citation but includes the regulatory language instead, the state should explain
that the language was included to make it easier for the reader by reducing how many times the
reader has to flip to another section of the regulation. In EPA's review, since the regulatory
language is the same, the state program would not be considered less stringent for this change.
• If the state omits a citation and does not provide an explanation, EPA will ask the state for an
explanation.
4.3.4 State Recordkeeping Requirements [40 CFR 142.14(f)]
Under the PN Rule, each state that has primary enforcement responsibility must maintain for 3 years:
records of certifications of compliance, copies of public notices received from the PWSs and any state
determinations establishing alternative PN requirements for the water systems.
4.3.5 State Reporting Requirements [40 CFR 142.15(a)]
Under the PN Rule, states must report whether there is a violation of the PN Rule (initial or repeat notice,
certification, etc.). In addition, the state needs to provide:
• Date of the PN violation.
• Link to the underlying NPDWR violation.
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• When the system has returned to compliance for the PN violation.
• If the state brought formal enforcement action, the type of action, the date it was initiated and the
date the violation was resolved.
The states are requires to report the information specified above within 45 days after the quarter in which
the PN violation occurred or in which the system returned to compliance. Additional information on state
reporting is in Section 5 of this document.
4.3.6 Special Primacy Requirements [40 CFR 142.16]
Special primacy conditions pertain to specific provisions, where implementation of the PN Rule involves
activities beyond general primacy provisions. States must include these rule-distinct provisions in an
application for approval or revision of their program. 40 CFR 142.16(a)(1) requires states to submit
complete and final requests for approval of program revisions to adopt the revised PN requirements. In
addition, it allows states to establish alternative PN requirements with respect to the form and content of
the public notice. Alternative requirements for form and content must be designed to provide the same
type and amount of information as is required under Subpart Q. 40 CFR 142.16(a) provides flexibility for
delivery options, which is outlined in Section 4.4 of this document. The Special Primacy Requirements
section of the crosswalk is where the state has the opportunity to describe how it will satisfy these
provisions. Section 4.4 provides guidance on how states may choose to meet the Special Primacy
Requirements of the PN Rule.
4.3.7 Attorney General's Statement of Enforceability [40 CFR 142.12(c)(2)]
The complete and final primacy revision application must include an Attorney General's Statement
certifying that the state regulations were duly adopted and are enforceable (unless EPA has waived this
requirement by letter to the state). The Attorney General's Statement should also certify that the state
does not have any audit privilege or immunity laws or, if it has such laws, that these laws do not prevent
the state from meeting the requirements of the SDWA. If a state has submitted this certification with a
previous revision package, then the state should indicate the date of submittal and the Attorney General
need only certify that the status of the audit laws has not changed since the prior submittal. An example of
an Attorney General's Statement is presented in Example 4-2Example 4-1.
Example 4-1. Example of Attorney General's Statement
Model Language
I herein cerlif\. pursiKinl in m\ aullionis as (J_) and in accordance w illi llie Sale Drinking Water Acl as
amended, and {2). llial in m\ opinion llie laws of the |Slale ( ommonweallh of (2_)| |or inlxil ordinances of
(4)1 locany oul llie program sel forth in llie "Program Description"' sulmiilled b\ llic i5j. hii\ c Iven dul\
adopled and are enforceable The specific authorities pro\ ided are contained in slalules or regulations llial
are lawfulK adopted al llie lime llus Slalemenl is approved and signed and will lie I'ulK effecli\e h> llie
lime llie program is approved
I. I'or Slales w illi \o Audil I'm ilege and or lniniunil\ l.aws
I'uillieiniore. I cerlif\ llial |Slale Commonwealth of(2l| has not enacted an\ en\ironmenlal audit
pn\ilege and or ininiunil\ laws
II. I'or Slales w illi Audit I'm ilege and or lniniunil\ l.aws thai do \ol Appl\ to llie Stale Agenc\
Administering llie Safe Drinking Water Acl
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l-'urlhermorc. I cerlifx lluil the an ironmenlal |andiI pri\ iIcyc cind or immunilx laws| ofihe
| Stale ( 'ommonweallh oI'LllI do a 11 ccl the ahi 111\ of(2l In meet enforcement and information
Lialhcriiil: requirements under the Sale Drinking Water Act because llie |andil pri\ ilege and or immunilx
laws| do nol appl> lo llie program set lorlh in the "Program Description " The Sale Drinking Water Acl
program sel lorlh in the "Program Description"' is administered h\ (5J.. llie |andil pri\ iIclio and or
immiimlN laws| do nol al'lccl programs implemented h\ (5). thus the program set forth in the "Program
Description" is unaffected h\ the pro\ isioiis of | Stale Commonwealth of [2)1 |and11 pri\ ilege and or
immiinil\ laws|
III I'or Slates w ilh Audit Prix ilege and or Immunilx Laws thai W orked with LPA lo Salisfx
Requirements for I'ederalK Authorized. Delegated or Approved I jix ironmenlal Programs
1'iirlhermore. I cerlil\ thai the en\ ironmenlal |and11 pri\ ileye and or immunilx laws| of the
| Slate (ommonweallh oI'LllI d" l1l,l a flccl the ahi 111\ of CDivk-el enforcement and information
gathering requirements under the Safe Drinking Water Acl because |Slate Commonwealth of(2l| has
enacted slalulorx rex isioiis and or issued a claril\ ing Allornex General's Slalemenl lo salisfx
ret|inremeiils for federalK aiilhori/.ed. delegaled orapproxed enx ironmenlal programs.
Seal of Office
Signature
Name and Title
Dale
( I) Stale Allornex (ieneral orallornex for the primacx agencx if it has independent legal counsel.
(2) 4<)(T'R 142.1 l(a)(^)(i) for initial primacx applications or 4<) ( IR 142 12(c)( I)(in) for primacx
program rexision applications
(3) Name of stale or commonwealth
(4) Name of irilv
(5) Name of primacx agencx
4.3.7.1 Guidance for States on Audit Privilege and/or Immunity Laws
In order for EPA to properly evaluate the state's request for approval, the State Attorney General or
independent legal counsel should certify that the state's environmental audit immunity and/or privilege
and immunity law does not affect its ability to meet enforcement and information gathering requirements
under SDWA. This certification should be reasonably consistent with the wording of the state audit laws
and should demonstrate how state program approval criteria are satisfied.
EPA will apply the criteria outlined in its "Statement of Principles" memo issued on February 14, 1997,
(https://www.epa.gov/sites/production/files/2016-Q3/documents/audit.pdf) to determine whether states
with audit laws have retained adequate enforcement authority for any authorized federal programs. The
principles articulated in the guidance are based on the requirements of federal law, specifically the
enforcement and compliance and state program approval provisions of environmental statutes and their
corresponding regulations. The Principles provide that if provisions of state law are ambiguous, it will be
important to obtain opinions from the State Attorney General or independent legal counsel, interpreting
the law as meeting specific federal requirements. If the law cannot be so interpreted, changes to state laws
may be necessary to obtain federal program approval. Before submitting a package for approval, states
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with audit privilege and/or immunity laws should initiate communications with appropriate EPA regional
offices to identify and discuss the issues raised by the state's audit privilege and/or immunity law.
4.4 Guidance for the Special Primacy Requirements of the PN
In addition to adopting basic primacy requirements specified in 40 CFR 142, states are required to adopt
primacy provisions pertaining to specific regulations where implementation of the Rule involves activities
beyond general primacy provisions. The purpose of these provisions is to allow state flexibility in
implementing a regulation that: (1) applies to specific system configurations within the particular state;
and, (2) can be integrated with a state's existing PWSS Program. States must include these rule-distinct
provisions in their complete and final primacy revision application.
This Section contains information and guidance that states can use when addressing the Special Primacy
Requirements of the PN Rule. Section 142.16(a) requires a state's application for primacy for 40 CFR
141, Subpart Q to include a written description for each provision included in 40 CFR 142.16(a). The
Guidance addresses Special Primacy Conditions in the same order that they occur in the Rule.
In the state primacy revision application package, the state must explain, among other things, how it
intends to accomplish the requirements of 40 CFR 142.16. States that adopt the PN Rule by reference can
make this demonstration by showing they have adopted the federal rule by reference (i.e., 40 CFR 141,
Subpart Q). For those not adopting by reference, the Special Primacy Requirements may be satisfied by
including a description of the statutes, rules and policies the state will use to ensure compliance with the
PN Rule and a description of any program changes the state will make to implement these authorities. The
appropriate section(s) of each source of authority must be cited and copies of the written documents must
be included in the revision application. In addition, states must describe their authority to take
administrative or legal actions and assess penalties.
Section 142.16(a)(2) requires states to establish enforceable requirements and procedures when a state
opts to add to or change the minimum requirements under:
1) Table 1 to 40 CFR 141.201(a) (Item 3v) - To require public water systems to give a public notice
for violations or situations other than those listed in Appendix A to Subpart O of the Rule.
2) 40 CFR 141.201(c)(2) - To allow public water systems, underthe specific circumstances listed in
40 CFR 141.201(c)(2), to limit the distribution of the public notice to persons served by the
portion of the distribution system that is out of compliance.
3) Table 1 of 40 CFR 141.202(a) (Items 5, 6 and 9) - To require public water systems to give a Tier
1 public notice (rather than a Tier 2 or Tier 3 notice) for violations or situations listed in
Appendix A of Subpart Q of the Rule.
4) 40 CFR 141.202(b)(3) - To require public water systems to comply with additional Tier 1 public
notification requirements set by the state subsequent to the initial 24-hour Tier 1 notice, as a
result of their consultation with the state required under 40 CFR 141.202(b)(2).
5) 40 CFR 141.202(c), 141.203(c) and 141.204(c) - To require a different form and manner of
delivery for Tier 1, 2 and 3 public notices.
6) Table 1 to 40 CFR 141.203(a) (Item 2) - To require the public water systems to provide a Tier 2
public notice (rather than Tier 3) for monitoring or testing procedure violations specified by the
state.
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7) 40 CFR 141.203(b)(1) - To grant public water systems an extension of up to three months for
distributing the Tier 2 public notice in appropriate circumstances (other than those specifically
excluded in the Rule).
8) 40 CFR 141.203(b)(2) - To grant a different repeat notice frequency for the Tier 2 public notice
in appropriate circumstances (other than those specifically excluded in the Rule), but no less
frequently than once per year.
9) 40 CFR 141.203(b)(3) - To respond within 24 hours to a request for consultation by the public
water system to determine whether a Tier 1 (rather than a Tier 2) notice is required for a turbidity
MCL violation under 40 CFR 141.13(b) or a Surface Water Treatment Rule (SWTR)/Interim
Enhanced SWTR (IESWTR)/treatment technique (TT) violation due to a single exceedance of the
maximum allowable turbidity limit.
10) 40 CFR 141.205(c)(2) - To determine the specific multilingual requirement for a public water
system, including defining a "large proportion of non-English-speaking consumers."
Note: States may assign the responsibility for the multilingual requirement determination
to the water system. If a state chooses not to set its own criteria, systems must meet the
general requirement set in the rule, which is to provide such information when appropriate.
The following sections contain guidance states can use when addressing the 10 special primacy
requirements listed above and in 40 CFR 142.16(a)(2). As part of a state's revised primacy program, the
state must establish enforceable requirements and procedures to meet each special primacy requirement
identified in 40 CFR 142.16(a)(2) which the state chooses to adopt.
Six of the 10 special primacy requirements listed in 40 CFR 142.16(a)(2) describe scenarios under which
states may elect to be more stringent than the Federal Rule. For those provisions, EPA requires states to
provide a general explanation of how the state will address the provision. EPA is not asking states to
provide specific and detailed justification for the scenarios in which they elect to be more stringent than
the Federal Rule. States are free to establish requirements that are more stringent than the EPA program
without including them in their approved primacy program. For the areas of state flexibility listed in 40
CFR 142.16(a)(2) which a state chooses to adopt, a state has the option of: 1) identifying in the crosswalk
modifications to the Federal Rule consistent with 40 CFR 142.16(a); or 2) describing in its primacy
revision application the criteria it will use to make allowed modifications on a case-by-case basis.
4.4.1 Special Primacy for Requiring Public Notice for Violations or Situations
Other Than Those Listed in Appendix A to Subpart Q
For 40 CFR 141.201(a) (Table 1, Item 3v), a state must provide additional information if
they require public water systems to give a public notice for violations or situations other
than those listed in Appendix A to Subpart Q [40 CFR 142.16(a) (2) (i)J.
The PN Rule allows states to determine if there are violations or other situations not listed in Appendix A
to Subpart O that should require public notice due to the potential for serious adverse effects on human
health. EPA expects that states will wish to use this flexibility to tailor their programs to respond to their
unique public notification policies and situations.
A state has the option of identifying in its rules the other violations and situations that may require notice.
For example, a state may specify in its rules that a public notice must be issued if the state determines that
circumstances exist which may present a potential danger to drinking water consumers, based on
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information from the water system or other sources. Circumstances could include but are not limited to
source contamination, spills, accidents, natural disasters, conditions found during an inspection or
sanitary survey or breakdowns in treatment. A state may also choose to make such determinations on a
case-by-case basis. In that circumstance, the state may explain in their primacy revision application either
the conditions or process by which the state would require notice. The explanation could be a general
statement of the states' intention to require water systems to issue a Tier 1 public notice for other
violation or situations, not listed in Appendix A to Subpart Q. with significant potential to have serious
adverse health effects from short-term exposure. Evaluation of any violation or situations would be
conducted by the state on a case-by-case basis, using the potential danger to drinking water consumers as
one criterion.
4.4.2 Special Primacy Requirements Regarding Limited Distribution of Public
Notice to Persons Served by the Portion of the Distribution System that is Out
of Compliance
A state must provide additional information if they allow public water systems, under the
specific circumstances listed in 40 CFR 141.201(c)(2), to limit the distribution of the public
notice to persons served by the portion of the distribution system that is out of compliance
[40 CFR 142.16(a)(2)(H)],
The PN Rule requires systems to provide public notice to persons served system-wide within a specified
timeframe. However, the PN Rule allows states to grant exceptions to the system-wide notice obligation
where the violation is clearly contained within a portion of the distribution system that is either physically
or hydraulically isolated from the rest of the distribution system. In those two specific circumstances,
states have the flexibility to allow systems to limit the distribution of the public notice to persons served
by the portion of the system that is out of compliance. Unless states provide systems with this
determination in writing, systems must distribute the notice to persons served by the entire system.
If a state chooses to exercise this flexibility, the state should explain in their primacy revision application
how the determination to grant exceptions to the system-wide distribution requirement will be made. For
example, if a state opts to make this determination on a case-by-case basis then it should explain that each
case will be evaluated on the two regulatory criteria specified in the PN Rule. In order to meet the
criterion for physical isolation, a system must show that the affected portion of the distribution system is
separated from other parts of the distribution system with no interconnections. Because of the physical
separation, elevated contaminant levels contained in only that portion of the system would have no
bearing on contaminant levels in a separate area of the system. To meet EPA's criterion for hydraulic
isolation, a system must show that design of the distribution system and/or system operation created a
situation where water in the affected portion is effectively isolated from the water in all other parts of the
distribution system because of projected water flow patterns and water pressure zones. If the system has
shown these attributes that lead to physical and hydraulic isolation, the state has the flexibility to grant
this exception.
When limiting the distribution of a public notice, the state should consider other aspects of the water
system, such as the condition of any valves and pipes used to maintain the hydraulic or physical isolation,
and whether the source water and/or treatment for the portions of the PWS are the same. Positive samples,
and the situations requiring PN, can be caused by problems with the source water and treatment, as well
as distribution system issues. Permission to limit the distribution of a notice must be granted in writing by
the state, in accordance with other rule requirements. The state drinking water agency and PWS should
have clear and sufficient evidence that the area of the water system is physically or hydraulically isolated
PN Rule Implementation Guidance
50
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and that limiting the distribution of the PN is warranted considering the potential health severity of
exposure to waterborne contaminants, risk of exposure and tier.
4.4.3 Special Primacy Requirements Regarding Which Violations or Situations
Require a Tier 1 Public Notice
For 141.202(a) (Items 5, 6, and 9 of Table 1), a state must provide additional information
if they require public water systems to give a Tier 1 public notice (rather than a Tier 2 or
Tier 3 notice) for violations or situations listed in Appendix A of Subpart Q [40 CFR
142.16(a)(2)(iii)J.
This special primacy requirement addresses state flexibility to require systems to give a Tier 1 public
notice (rather than a Tier 2 or Tier 3 notice) for violations or situations not explicitly listed by EPA in
Appendix A to Subpart Q as requiring Tier 1 notice. EPA authorized and expects states to elevate either
violations or situations when necessary to protect public health. State flexibility to elevate the status of a
violation to Tier 1, EPA believes, is critical to the successful implementation of the PN Rule. Therefore,
EPA anticipates that most states will respond to this special primacy requirement in their primacy revision
applications.
The PN Rule identified the following three situations where states may exercise flexibility to require a
Tier 1 notice:
1) Violation of the turbidity MCL, under 40 CFR 141.13(b), where the state determines after
consultation whether a Tier 1 notice is required or where consultation does not take place within
24 hours after the system learns of the violation [141.202(a)-Item 5 of Table 1].
2) Violation of the SWTR, IESWTR or LT1ESWTR treatment technique requirements resulting
from a single exceedance of the maximum allowable turbidity limit (as identified in Appendix A
to Subpart Q) [141.202(a)-Item 6 ofTable 1].
3) Other violations or situations with significant potential to have serious adverse effects on human
health as a result of short-term exposure [141.202(a)-Item 9 ofTable 1].
Although EPA recognizes that the majority of situations are best determined on a case-by-case basis, the
Agency believes there are certain situations that should be elevated to Tier 1 status. All Tier 2 violations
with significant potential to cause serious adverse health effects as a result of short-term exposure should
be elevated to Tier 1 status. For example, EPA believes violations of the maximum turbidity level are
serious situations requiring immediate consultation to determine the best course of action. In some cases,
violation of the maximum turbidity level, combined with other site-specific information, might indicate
that pathogens may have passed through to the finished water. In those situations, the public needs to be
alerted quickly to the high potential for short-term health risk. However, EPA does not believe that all
maximum turbidity excursions will require a Tier 1 notice and expects states to evaluate the merits of
each case during the consultation.
Since turbidity exceedance by itself, without other supporting information, has not been shown to date to
be a predictable indicator of pathogen levels in the finished water, EPA expects most turbidity
exceedances will require a Tier 2 notice. EPA classified all turbidity violations as Tier 2, but added the
new requirement that PWSs consult with the state within 24 hours when exceedances of the maximum
allowable turbidity limit occur. After consultation with the system, a state could direct the system to issue
a Tier 1 notice. EPA believes the requirement for immediate consultation for these situations will ensure
PN Rule Implementation Guidance
51
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that Tier 1 notices will be required when supported by the evidence. If a system cannot consult with the
state within the 24Hiour time period, the Rule requires an automatic Tier 1 notice.
In addition to violations of the maximum allowable turbidity limit, EPA recognizes that there may be
other violations or situations where elevation to a Tier 1 notice may be required. For example, a SWTR
violation may create a significant and immediate health risk. In those situations, a Tier 1, 24-hour public
notice is necessary to immediately alert consumers to the potential risk rather than a Tier 2 notice.
A state can identify in its rules the violations or other situations not listed in Appendix A to Subpart 0
that would require Tier 1 notice or describe the criteria it will use to make that determination on a case-
by-case basis in its primacy revision application. EPA is not asking states to provide specific and detailed
justification for the scenarios in which the state elects to be more stringent than the Federal Rule. Rather,
a general description of either the conditions or process by which the state would make the determination
to elevate to Tier 1 status is sufficient. For example, a state may explain that the determination to elevate
to Tier 1 will be made on a case-by-case basis because the potential health risk associated with some
violations or situations are dependent on a combination of factors. Some factors that might play into the
decision-making process to elevate a turbidity violation include but are not limited to: if turbidity is
significantly higher than the limit; if turbidity if above the limit for multiple measurements; what type of
treatment occurs after the turbidity measuring point; and whether the source water quality is good. In
addition the type of system, limits the system is subject to and the type of filtration need to be considered.
4.4.4 Special Primacy for Requiring Additional Public Notice for Tier 1 Violations
A state must provide additional information if they require public water systems to comply
with additional Tier 1 public notification requirements set by the state subsequent to the
initial 24-hour Tier 1 notice, as a result of the water system's consultation with the state
required under 40 CFR 141.202(b)(3) [40 CFR 142.16(a)(2)(iv)J.
EPA believes Tier 1 violations have a significant potential to cause serious adverse health effects from
short-term exposure and has mandated consultation between the water system and the state. Systems have
24 hours after learning of the violation to initiate consultation with the state and determine if the state will
establish subsequent PN requirements. Systems must comply with any additional PN requirements
established during that consultation. This special primacy requirement addresses state flexibility to
determine under what circumstances additional public notice should be given by the system to make sure
all persons served are informed of the seriousness of the violation.
EPA encourages states to require additional notice in situations where: 1) there was inadequate delivery
of the initial notice, 2) special populations need to be informed and 3) the system returned to compliance.
For example, if the methods used to deliver Tier 1 public notice were insufficient, inadequate or
inappropriate, additional notices may be necessary to reach other persons served who may not have seen
the initial notice and to emphasize the seriousness of the public health risk from drinking the water.
Additional notices may also be needed if new information becomes available or to target special
populations such as hospitals, schools, day-care facilities and/or other healthcare professionals. A
supplemental notice announcing that the violation has been resolved and the risk from the drinking water
has been abated can bring closure to the emergency situation. Although the final Rule does not require
systems to send such notice, EPA believes it is a good idea.
Additional notice requirements may also address the timing, manner, frequency and content of repeat
notices as well as other actions designed to reach all persons served. EPA expects states to use this
authority to ensure effective, enforceable follow-up to the initial Tier 1 notice. In order to satisfy this
PN Rule Implementation Guidance
52
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special primacy requirement, a state has the option of identifying in its rules specific situations where
additional notice would be required. If states wish to address this on a case-by-case basis, states should
explain how they would establish procedures to determine when additional notice is needed and to require
systems to comply with the additional notification requirements in their primacy revision applications.
4.4.5 Special Primacy Requirements Regarding Different Form, Manner and
Delivery for Tier 1, 2 and 3 Public Notices
For 40 CFR 141.202(c), 141.203(c), & 141.204(c), a state must provide additional
information if they allow systems to use a different form and manner of delivery for Tier 1,
2 and 3 public notices not already listed in EPA's rule [40 CFR 142.16(a) (2) (v)J.
In accordance with the PN Rule, a PWS must use at a minimum, one of the delivery methods specified for
the appropriate Tier and any additional methods "reasonably calculated" to reach all persons served. This
means that water systems have a responsibility to use any method reasonably calculated to reach other
persons served by the system if they would not be reached by minimum methods specified in the Rule.
This special primacy requirement addresses state flexibility to approve in writing the use of a substitute
delivery method not already listed in the PN Rule. EPA recognizes the need to tailor any additional
methods of delivery used to the specific situation and believes states will make this determination on a
case-by-case basis. For example, the list of required delivery methods (broadcast media, posting and hand
delivery) may be too limiting and inappropriate for some Tier 1 situations. Additional methods a state
may wish to substitute include newspaper, postal patron mailings, e-mail or priority mail.
A state has the option of identifying in its rules any alternate PN form and manner requirements or
describing, in its primacy revision application, the criteria it will use to make these case-by-case
determinations.
4.4.6 Special Primacy for Requiring Tier 2 Public Notice (Rather Than Tier 3
Notice) for Specific Monitoring or Testing Procedure Violations
For 40 CFR 141.203(a), a state must provide additional information if they plan to require
public water systems to provide a Tier 2 public notice (rather than Tier 3) for monitoring
or testing procedure violations specified by the state [40 CFR 142.16(a)(2)(vi)J.
In accordance with the PN Rule, states can determine that a Tier 2 public notice (rather than a Tier 3
notice) is required for certain violations of monitoring and testing procedure requirements. This special
primacy requirement gives states the flexibility to address cases where persistent monitoring violations
could disguise potentially serious drinking water quality violations and the lack of a timely notice may
pose a risk to public health.
A state has the option of identifying in its rules, the specific monitoring and testing procedure violations
listed in Appendix A to Subpart 0 that require Tier 2 notice or describing the criteria it will use to make
these case-by-case determinations in its primacy revision application. Criteria may include but are not
limited to potential health impacts and the persistence of the violation.
EPA expects states to build this additional authority into their approved programs to ensure that notices
for monitoring violations posing potential serious adverse health effects are delivered within 30 days.
EPA is not asking states to provide specific and detailed justification for the scenarios in which the state
elects to be more stringent than the Federal Rule. Rather a general description of either the conditions or
process by which the state would make the determination to elevate to Tier 2 status is sufficient.
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53
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4.4.7 Special Primacy Requirements Regarding Extending the Initial Tier 2 Public
Notice Distribution Deadline
For 40 CFR 141.203(b)(l), a state must provide additional information if they plan to grant
public water systems an extension up to three months for distributing the Tier 2 public
notice in appropriate circumstances (other than those specifically excluded in the Rule)
[40 CFR 142.16(a)(2)(vii)J.
The PN Rule allows states, in appropriate circumstances, to extend the time period of the Tier 2 initial
notice from 30 days to up to three months. This special primacy requirement addresses state flexibility to
determine when deviations from the minimum required timeframe for Tier 2 notices are warranted. These
determinations must be made in writing.
Circumstances that may warrant an extension include but are not limited to, coordination with billing
cycles and return to compliance. An extension for up to three months may allow a system to include the
initial notice in the same mailing as the quarterly bill. For violations that were quickly resolved and no
longer pose any risk to persons served, an extension may be appropriate so the system can also report a
return to compliance.
Although there may be a number of reasons to grant an extension, there are two circumstances where
EPA believes extending the Tier 2 deadline is inappropriate: 1) extensions for unresolved violations; and,
2) "across-the-board" or "blanket" extensions for all violations of a certain type (e.g., all volatile organic
contaminant (VOC) MCL violations). EPA strongly believes that in order to meet the public health
objectives of the PN Rule, the Tier 2 deadline of 30 days is sufficient for water systems to notify their
consumers of unresolved violations with potential for serious risk. EPA does not intend for extensions to
be automatic, but to be reviewed on a case-by-case basis. Therefore, EPA views "blanket" extensions as
contrary to the goals of the Rule.
Note: This special primacy requirement applies only to extensions of the Tier 2 notice
deadline. The Rule gives states broad flexibility to deviate from the required timeframe of
30 days. This includes being more stringent than the Rule. For example, it is acceptable
for a state to shorten the deadline for issuing PN for a monthly coliform violation to 14
days. The state does not need to submit documentation when shortening a timeframe.
A state may identify in its rules the appropriate circumstances under which the Tier 2 notice distribution
deadline may be extended or describe the criteria it will use to make that determination on a case-by-case
basis in its primacy revision application.
4.4.8 Special Primacy Requirements Regarding Extending the Tier 2 Notice Repeat
Frequency
For 40 CFR 141.203 (b)(2), a state must provide additional information if they grant a
different repeat notice frequency for the Tier 2 public notice in appropriate circumstances
(other than those specifically excluded in the rule), but no less frequently than once per
year [40 CFR 142.16(a)(2)(viii)J.
The PN Rule gives states the flexibility to allow a less frequent repeat notice than the PN Rule's
requirement of every three months. Notices must be issued no less than once per year for unresolved Tier
2 violations. However, the PN Rule specifically disallows less frequent repeat notices for unresolved
violations posing potential risk from short-term exposure (e.g., treatment technique violations under the
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54
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SWTR, IESWTR or LT1ESWTR) or for all unresolved violations of a certain violation type. The state
can require a different repeat notice frequency for the Tier 2 public notice (to be no less frequent than
once per year), for appropriate circumstances defined in the state's primacy program. Similar to extending
the Tier 2 initial notice distribution deadline, a state may identify in its rules the circumstances under
which extensions may be given or describe the criteria it will use to make these case-by-case
determinations in its primacy revision application.
4.4.9 Special Primacy for Requiring a Tier 1 Public Notice (Rather Than Tier 2
Notice) for a Turbidity MCL Violation under 40 CFR 141.13(b) or a
SWTR/IESWTR/LT1ESWTR TT Violation Due to a Single Exceedance of
the Maximum Allowable Turbidity Limit
For 40 CFR 141.203(b)(3), a state must provide information on any process developed to
respond within 24 hours to a request for consultation by the public water system to
determine whether a Tier 1 (rather than a Tier 2) notice is required for a turbidity MCL
violation under 40 CFR 141.13(b) or a SWTR/1ESWTR/LTIESWTR TT violation due to a
single exceedance of the maximum allowable turbidity limit [40 CFR 142.16(a)(2)(ix)J.
This special primacy requirement addresses the ability of the state to respond within 24-hours to a request
for consultation by a PWS to determine whether a Tier 1 notice is required for a turbidity violation under
40 CFR 141.13(b) or a SWTR/IESWTR/LT1ESWTRTT violation due to single exceedance of the
maximum allowable turbidity limit. If a system cannot consult with the state within the 24-hour time
period, the Rule requires an automatic Tier 1 notice. EPA believes the ability of a state to respond to a
system's request for consultation is critical to the successful implementation of the PN Rule. EPA expects
states to establish a process that would lead to determination within the 24-hour window to avoid a "no
action" default to a Tier 1 notice on every turbidity single exceedance violation. As discussed for special
primacy requirement 40 CFR 142.16(a)(2)(iii), EPA believes violations of the maximum turbidity level
are serious situations requiring immediate consultation to determine the best course of action. EPA does
not believe that all turbidity excursions will require a Tier 1 notice and expects states to evaluate the
potential health risks of each case during the consultation.
In order to address this special primacy requirement, a state should describe the process it has developed
to respond within the 24-hour time frame to a PWS's request for consultation. Some states already have
emergency hotlines for systems to use.
4.4.10 Special Primacy Requirements Regarding Multilingual Notice Requirement
For 40 CFR 141.205(c), a state must provide additional information if they determine the
specific multilingual requirement for a public water system, including defining "large
proportion of non-English-speaking consumers " [40 CFR 142.16(a) (2) (x)J.
The PN Rule requires systems serving a large proportion of non-English speaking consumers, as
determined by the state, to include in their notices, in the appropriate languages, information on the
importance of the notice or a telephone number or address where persons served may contact the water
system to obtain a translated copy of the notice or to request assistance in the appropriate languages. This
special primacy requirement addresses state flexibility to determine the specific multilingual requirement
for systems, including defining a large proportion of non-English speaking populations. States can set
their own criteria for determining whether there is a large proportion of non-English speaking consumers.
For example, a state could specify a population threshold such as 10 percent, so that when over 10 percent
of the population served uses a language or languages other than English as their first language,
PN Rule Implementation Guidance
55
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multilingual information must be included in the notice. If a state chooses not to set its own criteria, water
systems must meet the general requirement set in the federal Rule, which is providing such information
when appropriate. Information on whether there is a significant non-English speaking population in a
community can be found through the US Census Bureau's Web site at factfinder.census.gov.
EPA strongly encourages the use of multilingual notification if non-English speaking populations are in
the system's service area, whether or not there is a large proportion of non-English speaking people,
because public notification of drinking water violations and other situations is an important means of
protecting public health. Although full translations of notices are not required, EPA strongly encourages
systems to go beyond the minimum multilingual requirements in the Rule, particularly for Tier 1 notices
and other situations that pose a serious health risk and provide a translated copy of the notice on request
or offer telephone assistance in the appropriate language. The CWS and NTNCWS PN Handbook (EPA
816-R-23-002) and the TNCWS PN Handbook (EPA 816-R-23-001) contain additional hints on
implementing this requirement.
A state has the option of identifying in its rules the more specific multilingual requirements or describing
the criteria it will use to make such case-by-case determinations in its primacy revision application.
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Section 5
Violation Determination and
Safe Drinking Water
Information System (SDWIS)
Reporting
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This Page Intentionally Left Blank
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5.1 Determining Violations of the PN Rule
One of the important factors to making the public notification process work is the timely and complete
reporting of violations of the PN Rule by the states. A 1992 review of the public notification process by
the General Accounting Office (GAO) provided strong evidence that the program was not working as
intended. Problems cited included: high rates of non-compliance, even when contaminants pose a health
risk; limited non-compliance tracking by both EPA and the states; and the complexity of the Rule. In
order to address those problems, EPA revised the PN requirements to be less complex, more clear and
self-implementable. EPA believes these streamlined requirements encourage more water systems to
comply with the Rule and are less burdensome than the previous Rule for state tracking and reporting of
violations. However, the program will not succeed without compliance monitoring and follow-up actions
by the state and EPA.
Flowcharts 5-1, 5-2 and 5-3 starting on the next page provide timelines for actions PWSs must take under
the PN Rule, once a system learns of a Tier 1, 2 or 3 violation or situation.
5.1.1 What constitutes a violation of the PN Rule?
The trigger point for public notification is when a system learns that a violation or other situation posing a
health risk exists. From that point on, the Rule prescribes specific time lines a PWS must meet to: 1)
distribute the notice to persons served; 2) provide the state with a representative copy of the initial and
any repeat notices; and 3) certify to the state that all applicable PN requirements were met. The Rule also
prescribes the form, manner and frequency of the public notices.
A system can incur a violation of the PN Rule for failing to:
• Prepare and deliver public notice to consumers in accordance with the Rule.
• Submit to the state within 10 days of completing the public notification requirements, a
certification that it has fully complied with the PN Rule and a representative copy of the notice.
Systems can incur violations of the PN Rule based on other action or lack of action.
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59
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Flowchart 5-1. Tier 1 Public Notices - Timeline for PWS Actions
PWS Learns of Tier 1 Violation or Situation
Tier I Violations and Other Situations Reqiiiring Public Notice' Within
24 Horn's Include:
• Distribution system sample MCL violation when fecal colifonn or
E. coll are present; failure to test for fecal colifonn or E. coli after
initial total coliform distribution system sample tests positive.
* Violation of the MCL for nitrate= nitrite., or total nitrate and nitrite
or failure to take a confirmation sample within 24 hours of the
system's receipt of the first sample showing an exceedance of the
t oi" nitrite MCL.
Special notice for noncomrmioity water systems (NCWSs) with
nitrate exceedances between 10 mg/L and 20 mg/Lr where system
is allowed to exceed 10 mgL by primacy agency.
Violation of the MRDL for chlorine dioxide when one or more
samples taken in the distribution system exceeded the MRDL or are
not taken.
Violation of the turbidity MCL of 5 NHL where the state
determines aftei consultation that a Tier 1 notice is required or
where consultation does not take place within 24 hours after the
system learnt, of the notation.
Violation of the SWTR, IESWTR, or LT1ESWTR treatment
technique resulting from a single exceedance of the maximum
allowable turbidity limit where the state determines after
consultation that a Tier 1 notice is required or where consultation
does not take place within 24 hours after the system learns of the
violation.
Occurrence of a waterborne disease outbreak or other waterbome
emergency.
Detection of E. colt enterococcL or coliphage in source water
sample
Other violations or situations with significant potential to have
serious adverse effects on human health as a result of short-term
exposure, as determined by the state either in its regulations or on a
case-by-case basis.
Clock Starts
24 hour-; after
PWS learns of
violation or
situation
10 days after
completing
initial PN
requirements
10 days after
completing
subsequent PN
requirements
Within 24 hours after
PWS learns of the
violation or situation the
PWS must provide notice
to customers.
PWS must use at minimum
one or more of the following
methods: broadcast media.,
posting, hand deli\ en or
another state appro-* e i
method
W ithin 24 hours after
PWS learns of the
violation or situation the
PWS must initiate
consultation with the state
Purpose: To determine if
there are any additional PN
requirements to meet
Within 10 days
completing initial PN
requirements PWS
must send to the
state:
- A. copy of the
notice.
- Certification
State decides if PWS
should meet additional
PN requirements.
Such as: repeat notices,
direction on duration of
posted notices, or other
actions required to reach
all persons served.
PWS must
comply with
additional PN
requirements
Within 10 days
completing subsequent
PN requirements, PW S
must send to the state:
- A copy of the notice.
- Certification
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Flowchart 5-2. Tier 2 Public Notices - Timeline for PWS Actions
PWS Learns of Tier 2 Violation or Situation
Tier 2 Violations and Other Situations Requiring Public Notice
Within 30 Days Include:
• All violations of the MCL, MRDL, and treatment technique
requirements, except where a Tier 1 notice is required.
» Violations of monitoring and testing procedure requirements,
where the state determines that a Tier 2 rather than a Tier 3
public notice is required.
» Failure to comply with the terms and conditions of any variance
or exemption in place.
• For ground water systems providing 4-log treatment for viruses,
failure to maintain required treatment for more than 4 hours.
• Failuie to take coirective actioi v ithin the required timeframe
or be m compliance with a state-appro* ed corrective action plan
and schedule for a fecal indicator poaitr e source sample under
the Ground Water Rule.
» Failure to take required corrective action within the required
timeframe oi he in compliance with a state-approved corrective
action plan and schedule foi a significant deficiency under the
Ground Water Rule.
• Special public notice for repeated failure to conduct monitoring
for Cryptosporidium (40 CFR 141.211).
Turbidity consultation is required v hen a PWS lias a treatment
technique violation resulting from a single exceedance of the
maximum allowable turbidity limit oi an MCL violation resulting
from an exceedance of the 2-da\ turbidity limit. The PWS must
consult their primacy agency v.ithia 24 hours, otherwise violations
are automatically elevated to require Tier 1 PN.
Note: In appropriate circumstances the state may allow additional
time for distribution of the initial Tier 2 notice of up to 3 months
from the date the system learns of the violation.. The state also has
the discretion to allow a different Tier 2 repeat notice frequency.
However, in no circumstance is the repeat notice to he given less
frequently than once per year.
Clock Starts
30 days PWS
learns of
violation or
situation
10 days
completing
initial PN
requirements
3 months after
PWS learns of
violation
10 days after
completing
subsequent PN
requirements
As soon as practical but no later than
30 days after the PWS learns of the
violation or situation the PWS must
provide public notice to consumers.
CWS must use:
- Mail or other direct delivery to each
customer receiving a bill and to other
service connections:
AND
- Any other method reasonably
calculated to reach other persons
regularly served by the system if
they would not normally be reached
by the first method
NCWS must use:
- Posting, or mail or direct delivery to
each customer and service
connection (where known);
AND
- Any other method reasonably
calculated to reach other persons
served by the system but not
normally reached by the first method
Within 10 days
completing initial
PN requirements
PWS must send to
tie state:
- A copy of the
notice.
- Certification
Mm&m
violation exists,
the PWS must
send a repeat
notice to
consumers
every 3 months.
Within 10 days
completing subsequent
PN requirements, PWS
must send to the state;
- A copy of the notice.
- Certification
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Flowchart 5-3. Tier 3 Public Notices - Timeline for PWS Actions
PWS Learns of Tier 3 Violation or Situation
Tier 3 Violations and Other Situations Requiring Public
Notice Within 1 Year Include:
• All monitoring or testing procedure violations,
unless primacy agency elevates to Tier 2, including
failure to conduct benchmarking and profiling
(surface water systems) and failure to develop a
monitoring plan (disinfecting systems).
* Operation under a variance panted under Section
1415 or an exemption granted under Section 1416
of the Safe Drinking Water Act.
* Availability of unregulated contaminant monitoring
results.
• Exceedance of the secondary maximum
contaminant level (SMCL) for fluoride (community
water systems only).
Note- Instead of individual Tier 3 public notices a PWS
m3\ use an annual report to detail all violations and
situation^ that occurred during the previous 12 months,
as long as the timing requirements of 40 CFR
141 2b4ibK1 are met
Clock Starts
12 months
PWS learns of
violation or
situation
10 days
completing
initial PN
requirements
12 months after
PWS sends initial
notice
10 days after
completing
subsequent PN
requirements
Within 12 months after the PWS
learns of the violation or situation the
PWS must provide public notice to
consumers,
PWS must use:
- Mail or other direct delivery to each
customer receiving a bill and to other
service connections:
AND
- Any other method reasonably
calculated to reach other persons
regularly served by the system if
they would not normally be reached
by the first method.
PWS must Uhe:
- Pos>tirg or mail or direct delivery to
each customer and service
c onuection (where known):
AND
- Any other method reasonably
calculated to reach other persons
served by the system but not
normally reached by the first method
Within 10 days
completing initial
PN requirements
PWS must send to
the state:
- A copy of the
notice.
- Certification
As long, as
violation exists,
the PWS must
send a repeat
notice to
consumers every
12 i
Within 10 days
completing subsequent
PN requirements, PWS
must send to the state:
- A copy of the notice.
- Certification
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5.1.2 How is a Violation of the PN Rule Identified?
EPA anticipates that states will primarily rely on the certification (or lack thereof) to track whether a PWS
has met all applicable PN requirements, unless the state chooses to use additional tracking methods or
believes that the certification is not reliable. 40 CFR 141.31(d) requires water systems to submit a copy of
the notice and a certification to the state within 10 days of completing the PN requirements for the initial
public notice and any repeat notices. If a state has not received a copy of the notices and a certification
from a PWS within the 10-day time frame, states should assume notice was not given and record a
violation of the PN Rule for that PWS in its own tracking system, and in its quarterly reporting to EPA.
States should also record a violation of the PN Rule, if after state review, the state determines the notice
was inadequate.
States are expected to record a violation of the PN Rule for a PWS if:
• The state did not receive copies of the notices and certifications.
• The state received any notice or certification late.
• After review, the state concluded that the form, delivery or content of an initial or repeat notice
was inadequate or otherwise determined the timing or distribution requirements were not met
(despite the certification).
5.1.3 State Enforcement, Compliance Monitoring and Assistance or Other Follow-
up
Primacy states will have statutory or regulatory enforcement authority adequate to compel compliance
with the PN requirements that conforms to the requirements in 40 CFR 142.10(b)(6). When violations of
the PN Rule occur, in addition to an underlying violation for which the state brings an enforcement
action, the state should include the violations of the PN Rule as part of the enforcement action for the
underlying violation. For situations where there is no underlying violation, the state should enforce PN
requirements independently from enforcement of underlying violations and should enforce the PN
requirements. State and EPA compliance monitoring and tracking programs, as well as the linkages in
their databases between the public notice violations and underlying violations, will help states and EPA to
identify, address and ensure the correction of violations of the PN Rule. States should take any informal
or formal measures necessary to return a PWS to compliance with the PN Rule as quickly as possible.
EPA encourages states to develop compliance assistance programs in order to help PWSs comply with the
PN Rule and, in the event of a violation of the PN Rule, to return to compliance with the Rule. For
example, when a state learns of an NPDWR violation or other situation, the state may remind the PWS of
its obligation to provide public notice and may inform the PWS of the public notice form, manner and
content and delivery requirements. The state may also choose to give notice to the public on behalf of the
PWS, in accordance with 40 CFR 141.210. However, the owner or operator of the PWS remains legally
responsible for ensuring that the PN requirements are met. As part of its compliance assistance efforts, a
state may provide the PWS with guidance documents, templates, and other resources. See Section 2 for a
list of these resources.
Flowcharts 5-4, 5-5 and 5-6 provide timelines for state actions, once a state learns of a Tier 1, 2, or 3
violation or situation.
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5.1.4 Return to Compliance
Generally, a PWS that has violated the PN Rule returns to compliance with the Rule when it performs the
action required under the Rule. The following provides some examples of what a PWS should do to
return to compliance. These examples may not include all return to compliance situations:
• If the system did not prepare and distribute the public notice in accordance with the Rule, the
system has subsequently prepared and distributed the notice, as well as provided a copy of the
notice and a certification to the state.
• If the system did not submit either a copy of the notice or the certification by the required
deadline, the system has subsequently sent the state the required documents.
• If the system prepared an inadequate notice, the system has subsequently prepared a notice that
addresses all deficiencies identified by the state, delivered it to the state with a certification and
distributed it to persons served in accordance with the Rule.
Return to compliance with the PN Rule does not relieve the PWS from liability for public notice or
NPDWR violations.
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Flowchart 5-4. Tier 1 Public Notices - Timeline for State Actions
Clock Starts
CD
24 hours after
the PWS learns
of the dotation
or situation
10 days after
completing
initial PIS"
requirements
10 days after
completing
subsequent PN
requirements
45 days after the
quarter in which
dotation ofthePN
rule occurs
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Flowchart 5-5. Tier 2 Public Notices -
Timeline for State Actions
The state also has the discretion to allo'.v a different Tier I
repeat notice frequency However, in no circumstance is the
repeat notice to be oven less frequently than once per year.
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Flowchart 5-6. Tier 3 Public Notices - Timeline for State Actions
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5.2 SDWIS Reporting and EPA Follow-up
The state and EPA compliance monitoring and tracking systems help the states and EPA to identify,
address and ensure the correction of violations of the PN Rule. Under the PN Rule, states must maintain
copies of public notices and records of PN violations for 3 years [40 CFR 142.14(f)]. States must also
report to EPA's SDWIS/FED database system, on a quarterly basis, information about PN violations in
the state during the previous quarter and new enforcement actions taken by the state during the previous
quarter against PWSs for PN violations.
In order to help states and EPA to track violations of the PN Rule and to ensure that those violations are
included in enforcement actions for the underlying SDWA violations or otherwise, SDWIS/FED has a
mechanism to link the record for the public notification violation to the record for the underlying
NPDWR violation. The underlying NPDWR violation drives the severity of the public health risk and is
the basis for the new requirement to link the PN violation to the related NPDWR violation.
EPA expects that violations of PN requirements will be included as part of enforcement action for the
underlying NPDWR violation. EPA also anticipates there will be enforcement of public notice
requirements independent from enforcement of underlying violations and for situations where there is no
underlying violation.
When the state records a PN violation in its database, the state should also report the PN violation to
SDWIS/FED. Under the revised PN Rule, states will have to report the following information to
SDWIS/FED:
1) Whether there is a PN violation for the public notice (initial or repeat notice, certification, etc.).
2) Date of the PN violation.
3) Link to the underlying NPDWR violation.
4) When the system has returned to compliance for the PN violation.
5) If the state brought formal enforcement action, the type of action, the date it was initiated and the
date the violation was resolved.
The PN Rule requires states to report the information specified above to SDWIS/FED within 45 days
after the quarter in which the PN violation occurred, or in which the system returned to compliance.
EPA will use this information on violations of the PN Rule to track PWS compliance with the PN Rule
and to review the adequacy of state implementation, compliance monitoring and enforcement of the PN
requirements. Based upon a review of this information, EPA may provide compliance assistance
suggestions and additional guidance to the state or directly to the PWS. When appropriate, EPA may also
decide to pursue federal enforcement. Table 5-1 summarizes the SDWIS reporting requirements for the
PN Rule.
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Table 5-1. Federal Reporting for the PN Rule
Violation
Code*
Rule Code
PN Section Reference
Description
75
7500
40 CFR 141.201
40 CFR 141.202
40 CFR 141.203
40 CFR 141.204
40 CFR 141.207
40 CFR 141.208
40 CFR 141.209
40 CFR 141.211
Appendix A to Subpart
Q of Part 141
PN Violation for a NPDWR Violation
(e.g., failure to notify public via initial or repeat notice,
failure to provide required documents [initial or repeat
notice or certification] to state)
76
7500
40 CFR 141.202
40 CFR 141.203
40 CFR 141.204
40 CFR 141.207
40 CFR 141.208
40 CFR 141.209
Other Potential Health Risk Situations/Violations
(i.e., for those situations where there is no underlying
NPDWR violation such as waterborne disease
outbreak/other waterborne emergency; variance or
exemption; availability of unregulated contaminant
monitoring data; fluoride SMCL exceedance; and
nitrate exceedances above the MCL by NCWS, where
granted permission by the state)
* States must report only when violations occur.
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Appendix A
Primacy Revision
Crosswalk
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Summary of Federal Requirement
Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Pari 141
-National Primary Drinking Water Regulations
Subpart B—Maximum Contaminant Levels
§ 141.11 Maximum contaminant levels for inorganic chemicals.
The non-community water system is meeting the public
notification requirements under §141.209, including
continuous posting of the fact that nitrate levels exceed
10 mg/1 and the potential health effects of exposure;
§ 141.11(d)(2)
Subpart C—Monitoring and Analytical Requirements
§ 141.23 Inorganic chemical sampling and analytical requirements.
Where nitrate or nitrite sampling results indicate an
exceedance of the maximum contaminant level, the
system shall take a confirmation sample within 24 hours
of the system's receipt of notification of the analytical
results of the first sample. Systems unable to comply
with the 24-hour sampling requirement must
immediately notify persons served by the public water
system in accordance with §141.202 and meet other
Tier 1 public notification requirements under Subpart Q
of this part. Systems exercising this option must take
and analyze a confirmation sample within two weeks of
notification of the analytical results of the first sample.
§ 141.23(f)(2)
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Summary of Federal Requirement
Si itr\ui 1)—Ki I'oui i\<. \m> Ki < okDM i mm.
Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
§141.31 Reporting requirements.
The public water system, within 10 days of completing
the public notification requirements under Subpart Q of
this part for the initial public notice and any repeat
notices, must submit to the primacy agency a
certification that it has fully complied with the public
notification regulations. The public water system must
include with this certification a representative copy of
each type of notice distributed, published, posted, and
made available to the persons served by the system and
to the media.
§ 141.31(d)
§141.33 Record maintenance.
Copies of public notices issued pursuant to Subpart Q
of this part and certifications made to the primacy
agency pursuant to § 141.31 must be kept for three years
after issuance.
Si Itl'Vkl II—I'll IKMION Wl) l)IS|\| |.( ||()\
§ 141.33(e)
§ 141.75 Reporting AND RECORDKEEPING REQUIREMENTS.
If at any time the turbidity exceeds 5 NTU, the system
must consult with the primacy agency as soon as
practical, but no later than 24 hours after the
exceedance is known, in accordance with the public
notification requirements under §141.203(b)(3).
§ 141.75(a)(5)(ii)
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40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
If at any time the turbidity exceeds 5 NTU, the system
must consult with the primacy agency as soon as
practical, but no later than 24 hours after the
exceedance is known, in accordance with the public
notification requirements under §141.203(b)(3).
§ 141.75(b)(3)(ii)
Subpart O—Consumer Confidence Reports
§141.153 Content of the reports.
A report that contains data on contaminants that EPA
regulates using any of the following terms must include
the applicable definitions:
§ 141.153(c)(3)
Maximum residual disinfectant level goal or MRDLG:
The level of a drinking water disinfectant below which
there is no known or expected risk to health. MRDLGs
do not reflect the benefits of the use of disinfectants to
control microbial contaminants.
§ 141.153(c)(iii)
Maximum residual disinfectant level orMRDL: The
highest level of a disinfectant allowed in drinking water.
There is convincing evidence that addition of a
disinfectant is necessary for control of microbial
contaminants.
§ 141.153(c)(iv)
Information on detected contaminants:
This sub-section specifies the requirements for
information to be included in each report for
contaminants subject to mandatory monitoring (except
Cryptosporidium ), it applies to; contaminants subject to
a MCL, action level, maximum residual disinfectant
level, or treatment technique (regulated contaminants).
§ 141.153(d)(l)(i)
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40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
The likely source(s) of detected contaminants to the
best of the operator's knowledge. Specific information
regarding contaminants may be available in sanitary
surveys and source water assessments, and should be
used when available to the operator. If the operator
lacks specific information on the likely source, the
report must include one or more of the typical sources
for that contaminant listed in Appendix A to this
subpart that is most applicable to the system.
§ 141.153(d)(4)(ix)
The table(s) must clearly identify any data indicating
violations of MCLs, MRDLs, or treatment techniques,
and the report must contain a clear and readily
understandable explanation of the violation including:
the length of the violation, the potential adverse health
effects, and actions taken by the system to address the
violation. To describe the potential health effects, the
system must use the relevant language of Appendix A
to this subpart.
§ 141.153(d)(6)
Lead and copper control requirements prescribed by
subpart I of this part. For systems that fail to take one or
more actions prescribed by §§141.80(d), 141.81,
141.82, 141.83 or 141.84, the report must include the
applicable language of Appendix A to this subpart for
lead, copper, or both.
§ 141.153(f)(3)
Treatment techniques for Acrylamide and
Epichlorohydrin prescribed by subpart K of this part.
For systems that violate the requirements of subpart K
of this part, the report must include the relevant
language from Appendix A to this subpart.
§ 141.153(f)(4)
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Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
§ 141.154 Required additional health information.
Community water systems that detect TTHM above
0.080 mg/1, but below the MCL in §141.12, as an
annual average, monitored and calculated under the
provisions of §141.30, must include health effects
language for TTHMs prescribed by Appendix A.
§ 141.154(e)
§ 141.155 Report delivery and recordkeeping.
Any system subject to this subpart must retain copies of
its Consumer Confidence Report for no less than 3
years.
§ 141.155(h)
Subpart Q- Public Notification of Drinking Water Regulations
§ 141.201 General public notification requirements.
Public water systems in States with primacy for the
public water system supervision (PWSS) program must
comply with the requirements in this subpart no later
than May 6, 2002 or on the date the State-adopted rule
becomes effective, whichever comes first. Public water
systems in jurisdictions where EPA directly implements
the PWSS program must comply with the requirements
in this subpart on October 31, 2000. Prior to these dates,
public water systems must continue to comply with the
public notice requirements in §141.32 of this part. The
term "primacy agency" is used in this subpart to refer to
either EPA or the State or the Tribe in cases where EPA,
the State, or the Tribe exercises primary enforcement
responsibility for this subpart.
§ 141.201
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Summary of Federal Requirement
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40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
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Who must give public notice? Each owner or operator
of a public water system (community water systems,
non-transient non-community water systems, and
transient non-community water systems) must give
notice for all violations of national primary drinking
water regulations (NPDWR) and for other situations, as
listed in Table 1. The term "NPDWR violations" is used
in this subpart to include violations of the maximum
contaminant level (MCL), maximum residual
disinfection level (MRDL), treatment technique (TT),
monitoring requirements, and testing procedures in this
part 141. Appendix A to this subpart identifies the tier
assignment for each specific violation or situation
requiring a public notice.
§ 141.201(a)
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Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
TABLE 1 TO §141.201—VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A PUBLIC NOTICE
(1) NPDWR violations:
(i) Failure to comply with an applicable maximum contaminant level (MCL) or maximum residual disinfectant level (MRDL).
(ii) Failure to comply with a prescribed treatment technique (TT).
(iii) Failure to perform water quality monitoring, as required by the drinking water regulations.
(iv) Failure to comply with testing procedures as prescribed by a drinking water regulation.
2) Variance and exemptions under sections 1415 and 1416 of SDWA:
(i) Operation under a variance or an exemption.
(ii) Failure to comply with the requirements of any schedule that has been set under a variance or exemption.
3) Special public notices:
(i) Occurrence of a waterborne disease outbreak or other waterborne emergency.
(ii) Exceedance of the nitrate MCL by non-community water systems (NCWS), where granted permission by the primacy agency under 141.11(d) of this
part.
(iii) Exceedance of the secondary maximum contaminant level (SMCL) for fluoride.
(iv) Availability of unregulated contaminant monitoring data.
(v) Other violations and situations determined by the primacy agency to require a public notice under this subpart, not already listed in Appendix A.
What type of public notice is required for each violation
or situation? Public notice requirements are divided into
three tiers, to take into account the seriousness of the
violation or situation and of any potential adverse health
effects that may be involved. The public notice
requirements for each violation or situation listed in
Table 1 of this section are determined by the tier to
which it is assigned. Table 2 of this section provides the
definition of each tier. Appendix A of this part identifies
the tier assignment for each specific violation or
situation.
§ 141.201(b)
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Summary of Federal Requirement
Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Table 2 to §141.201—Definition of Public Notice Tiers
(1) Tier 1 public notice —required for NPDWR violations and situations with significant potential to have serious adverse effects on human health as a result of
short-term exposure.
(2) Tier 2 public notice —required for all other NPDWR violations and situations with potential to have serious adverse effects on human health.
(3) Tier 3 public notice —required for all other NPDWR violations and situations not included in Tier 1 and Tier 2.
Who must be notified?
Each public water system must provide public notice to
persons served by the water system, in accordance with
this subpart. Public water systems that sell or otherwise
provide drinking water to other public water systems
(i.e. , to consecutive systems) are required to give public
notice to the owner or operator of the consecutive
system; the consecutive system is responsible for
providing public notice to the persons it serves.
§ 141.201(c)(1)
If a public water system has a violation in a portion of
the distribution system that is physically or
hydraulically isolated from other parts of the
distribution system, the primacy agency may allow the
system to limit distribution of the public notice to only
persons served by that portion of the system which is
out of compliance. Permission by the primacy agency
for limiting distribution of the notice must be granted in
writing.
§ 141.201(2)
A copy of the notice must also be sent to the primacy
agency, in accordance with the requirements under
§141.31(d).
§ 141.201(3)
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Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
§ 141.202 Tier 1 Public Notice—Form, manner, and frequency of notice.
Which violations or situations require a Tier 1 public
notice? Table 1 of this section lists the violation
categories and other situations requiring a Tier 1 public
notice. Appendix A to this subpart identifies the tier
assignment for each specific violation or situation.
§ 141.202(a)
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Summary of Federal Requirement
Federal Citation
40 CFR
State Citation (document
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Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Table 1 to §141.202—Violation Categories and Other Situations Requiring a Tier 1 Public Notice
(1) Violation of the MCL for total coliforms when fecal coliform orE. coli are present in the water distribution system (as specified in §141.63(b)), or when
the water system fails to test for fecal coliforms orE. coli when any repeat sample tests positive for coliform (as specified in §141.21(e)); Violation of the
MCL for E. coli (as specified in § 141.63(c));
(2) Violation of the MCL for nitrate, nitrite, or total nitrate and nitrite, as defined in § 141.62, or when the water system fails to take a confirmation sample
within 24 hours of the system's receipt of the first sample showing an exceedance of the nitrate or nitrite MCL, as specified in §141.23(f)(2);
(3) Exceedance of the nitrate MCL by non-community water systems, where permitted to exceed the MCL by the primacy agency under §141.11(d), as
required under §141.209;
(4) Violation of the MRDL for chlorine dioxide, as defined in §141.65(a), when one or more samples taken in the distribution system the day following an
exceedance of the MRDL at the entrance of the distribution system exceed the MRDL, or when the water system does not take the required samples in the
distribution system, as specified in §141.133(c)(2)(i);
(5) Violation of the turbidity MCL under §141.13(b), where the primacy agency determines after consultation that a Tier 1 notice is required or where
consultation does not take place within 24 hours after the system learns of the violation;
(6) Violation of the Surface Water Treatment Rule (SWTR), Interim Enhanced Surface Water Treatment Rule (IESWTR) or Long Term 1 Enhanced Surface
Water Treatment Rule (LT1ESWTR) treatment technique requirement resulting from a single exceedance of the maximum allowable turbidity limit (as
identified in Appendix A), where the primacy agency determines after consultation that a Tier 1 notice is required or where consultation does not take place
within 24 hours after the system learns of the violation;
(7) Occurrence of a waterborne disease outbreak, as defined in § 141.2, or other waterborne emergency (such as a failure or significant interruption in key
water treatment processes, a natural disaster that disrupts the water supply or distribution system, or a chemical spill or unexpected loading of possible
pathogens into the source water that significantly increases the potential for drinking water contamination);
(8) Detection of E. coli, enterococci, or coliphage in source water samples as specified in §141.402(a) and §141.402(b); and,
(9) Other violations or situations with significant potential to have serious adverse effects on human health as a result of short-term exposure, as determined by
the primacy agency either in its regulations or on a case-by-case basis.
When is the Tier 1 public notice to be provided? What
additional steps are required? Public water systems
must:
§ 141.202(b)
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40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Provide a public notice as soon as practical but no later
than 24 hours after the system learns of the violation;
§ 141.202(b)(1)
Initiate consultation with the primacy agency as soon as
practical, but no later than 24 hours after the public
water system learns of the violation or situation, to
determine additional public notice requirements; and
§ 141.202(b)(2)
Comply with any additional public notification
requirements (including any repeat notices or direction
on the duration of the posted notices) that are
established as a result of the consultation with the
primacy agency. Such requirements may include the
timing, form, manner, frequency, and content of repeat
notices (if any) and other actions designed to reach all
persons served.
§ 141.202(b)(3)
What is the form and manner of the public notice?
Public water systems must provide the notice within 24
hours in a form and manner reasonably calculated to
reach all persons served. The form and manner used by
the public water system are to fit the specific situation,
but must be designed to reach residential, transient, and
non-transient users of the water system. In order to
reach all persons served, water systems are to use, at a
minimum, one or more of the following forms of
delivery:
§ 141.202(c)
Appropriate broadcast media (such as radio and
television);
§ 141.202(c)(1)
Posting of the notice in conspicuous locations
throughout the area served by the water system;
§ 141.202(c)(2)
Hand delivery of the notice to persons served by the
water system; or
§ 141.202(c)(3)
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Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
Another delivery method approved in writing by the
primacy agency.
§ 141.202(c)(4)
§ 141.203 Tier 2 Public Notice—Form, manner, and frequency of notice.
Which violations or situations require a Tier 2 public
notice? Table 1 of this section lists the violation
categories and other situations requiring a Tier 2 public
notice. Appendix A to this subpart identifies the tier
assignment for each specific violation or situation.
§ 141.203(a)
Table 1 to §141.203—Violation Categories and Other Situations Requiring a Tier 2 Public Notice
(1) All violations of the MCL, MRDL, and treatment technique requirements, except where a Tier 1 notice is required under §141.202(a) or where the primacy
agency determines that a Tier 1 notice is required;
(2) Violations of the monitoring and testing procedure requirements, where the primacy agency determines that a Tier 2 rather than a Tier 3 public notice is
required, taking into account potential health impacts and persistence of the violation; and
(3) Failure to comply with the terms and conditions of any variance or exemption in place.
(4) Failure to take corrective action or failure to maintain at least 4-log treatment of viruses (using inactivation, removal, or a State-approved combination of 4-
log virus inactivation and removal) before or at the first customer under §141.403(a).
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40 CFR
State Citation (document
TITLE, PAGE NUMBER,
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Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
When is the Tier 2 public notice to be provided?
§ 141.203(b)
Public water systems must provide the public notice as
soon as practical, but no later than 30 days after the
system learns of the violation. If the public notice is
posted, the notice must remain in place for as long as
the violation or situation persists, but in no case for less
than seven days, even if the violation or situation is
resolved. The primacy agency may, in appropriate
circumstances, allow additional time for the initial
notice of up to three months from the date the system
learns of the violation. It is not appropriate for the
primacy agency to grant an extension to the 30-day
deadline for any unresolved violation or to allow across-
the-board extensions by rule or policy for other
violations or situations requiring a Tier 2 public notice.
Extensions granted by the primacy agency must be in
writing.
§ 141.203(b)(1)
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REQUIREMENT? (EXPLAIN ON
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The public water system must repeat the notice every
three months as long as the violation or situation
persists, unless the primacy agency determines that
appropriate circumstances warrant a different repeat
notice frequency. In no circumstance may the repeat
notice be given less frequently than once per year. It is
not appropriate for the primacy agency to allow less
frequent repeat notice for an MCL violation under the
Total Coliform Rule or subpart Y of this part or a
treatment technique violation under the Surface Water
Treatment Rule or Interim Enhanced Surface Water
Treatment Rule. It is also not appropriate for the
primacy agency to allow through its rules or policies
across-the-board reductions in the repeat notice
frequency for other ongoing violations requiring a Tier
2 repeat notice. Primacy agency determinations
allowing repeat notices to be given less frequently than
once every three months must be in writing.
§ 141.203(b)(2)
For the turbidity violations specified in this paragraph,
public water systems must consult with the primacy
agency as soon as practical but no later than 24 hours
after the public water system learns of the violation, to
determine whether a Tier 1 public notice under
§141.202(a) is required to protect public health. When
consultation does not take place within the 24-hour
period, the water system must distribute a Tier 1 notice
of the violation within the next 24 hours (i.e., no later
than 48 hours after the system learns of the violation),
following the requirements under §141.202(b) and (c).
Consultation with the primacy agency is required for:
§ 141.203(b)(3)
Violation of the turbidity MCL under §141.13(b); or
§ 141.203(b)(3)(i)
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REQUIREMENT? (EXPLAIN ON
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Violation of the SWTR, IESWTR or LT1ESWTR
treatment technique requirement resulting from a single
exceedance of the maximum allowable turbidity limit.
§ 141.203(b)(3)(ii)
What is the form and manner of the Tier 2 public
notice? Public water systems must provide the initial
public notice and any repeat notices in a form and
manner that is reasonably calculated to reach persons
served in the required time period. The form and
manner of the public notice may vary based on the
specific situation and type of water system, but it must
at a minimum meet the following requirements:
§ 141.203(c)
Unless directed otherwise by the primacy agency in
writing, community water systems must provide notice
by:
§ 141.203(c)(1)
Mail or other direct delivery to each customer receiving
a bill and to other service connections to which water is
delivered by the public water system; and
§ 141.203(c)(1)®
Any other method reasonably calculated to reach other
persons regularly served by the system, if they would
not normally be reached by the notice required in
paragraph (c)(l)(i) of this section. Such persons may
include those who do not pay water bills or do not have
service connection addresses (e.g., house renters,
apartment dwellers, university students, nursing home
patients, prison inmates, etc.). Other methods may
include: Publication in a local newspaper; delivery of
multiple copies for distribution by customers that
provide their drinking water to others (e.g., apartment
building owners or large private employers); posting in
public places served by the system or on the Internet; or
delivery to community organizations.
§ 141.203(c)(l)(ii)
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REQUIREMENT? (EXPLAIN ON
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Unless directed otherwise by the primacy agency in
writing, non-community water systems must provide
notice by:
§ 141.203(c)(2)
Posting the notice in conspicuous locations throughout
the distribution system frequented by persons served by
the system, or by mail or direct delivery to each
customer and service connection (where known); and
§ 141.203(c)(2)®
Any other method reasonably calculated to reach other
persons served by the system if they would not normally
be reached by the notice required in paragraph (c)(2)(i)
of this section. Such persons may include those served
who may not see a posted notice because the posted
notice is not in a location they routinely pass by. Other
methods may include: Publication in a local newspaper
or newsletter distributed to customers; use of E-mail to
notify employees or students; or, delivery of multiple
copies in central locations (e.g., community centers).
§ 141.203 (c)(2)(ii)
§ 141.204 Tier 3 Public Notice—Form, manner, and frequency of notice.
Which violations or situations require a Tier 3 public
notice? Table 1 of this section lists the violation
categories and other situations requiring a Tier 3 public
notice. Appendix A to this subpart identifies the tier
assignment for each specific violation or situation.
§ 141.204(a)
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REQUIREMENT? (EXPLAIN ON
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Table 1 to §141.204—Violation Categories and Other Situations Requiring a Tier 3 Public Notice
(1) Monitoring violations under 40 CFRpart 141, except where a Tier 1 notice is required under §141.202(a) or where the primacy agency determines that a
Tier 2 notice is required;
(2) Failure to comply with a testing procedure established in 40 CFRpart 141, except where a Tier 1 notice is required under §141.202(a)) or where the primacy
agency determines that a Tier 2 notice is required;
(3) Operation under a variance granted under Section 1415 or an exemption granted under Section 1416 of the Safe Drinking Water Act;
(4) Availability of unregulated contaminant monitoring results, as required under §141.207; and
(5) Exceedance of the fluoride secondary maximum contaminant level (SMCL), as required under §141.208.
(6) Reporting and Recordkeeping violations under subpart Y of 40 CFR part 141.
When is the Tier 3 public notice to be provided?
§ 141.204(b)
Public water systems must provide the public notice not
later than one year after the public water system learns
of the violation or situation or begins operating under a
variance or exemption. Following the initial notice, the
public water system must repeat the notice annually for
as long as the violation, variance, exemption, or other
situation persists. If the public notice is posted, the
notice must remain in place for as long as the violation,
variance, exemption, or other situation persists, but in
no case less than seven days (even if the violation or
situation is resolved).
§ 141.204(b)(1)
Instead of individual Tier 3 public notices, a public
water system may use an annual report detailing all
violations and situations that occurred during the
previous twelve months, as long as the timing
requirements of paragraph (b)(1) of this section are met.
§ 141.204(b)(2)
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REQUIREMENT? (EXPLAIN ON
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What is the form and manner of the Tier 3 public
notice? Public water systems must provide the initial
notice and any repeat notices in a form and manner that
is reasonably calculated to reach persons served in the
required time period. The form and manner of the public
notice may vary based on the specific situation and type
of water system, but it must at a minimum meet the
following requirements:
§ 141.204(c)
Unless directed otherwise by the primacy agency in
writing, community water systems must provide notice
by:
§ 141.204(c)(1)
Mail or other direct delivery to each customer receiving
a bill and to other service connections to which water is
delivered by the public water system; and
§ 141.204(c)(1)®
Any other method reasonably calculated to reach other
persons regularly served by the system, if they would
not normally be reached by the notice required in
paragraph (c)(l)(i) of this section. Such persons may
include those who do not pay water bills or do not have
service connection addresses (e.g., house renters,
apartment dwellers, university students, nursing home
patients, prison inmates, etc.). Other methods may
include: Publication in a local newspaper; delivery of
multiple copies for distribution by customers that
provide their drinking water to others (e.g., apartment
building owners or large private employers); posting in
public places or on the Internet; or delivery to
community organizations.
§ 141.204(c)(l)(ii)
Unless directed otherwise by the primacy agency in
writing, non-community water systems must provide
notice by:
§ 141.204(c)(2)
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REQUIREMENT? (EXPLAIN ON
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Posting the notice in conspicuous locations throughout
the distribution system frequented by persons served by
the system, or by mail or direct delivery to each
customer and service connection (where known); and
§ 141.204(c)(2)®
Any other method reasonably calculated to reach other
persons served by the system, if they would not
normally be reached by the notice required in paragraph
(c)(2)(i) of this section. Such persons may include those
who may not see a posted notice because the notice is
not in a location they routinely pass by. Other methods
may include: Publication in a local newspaper or
newsletter distributed to customers; use of E-mail to
notify employees or students; or, delivery of multiple
copies in central locations (e.g., community centers).
§ 141.204(c)(2)(h)
In what situations may the Consumer Confidence
Report be used to meet the Tier 3 public notice
requirements? For community water systems, the
Consumer Confidence Report (CCR) required under
Subpart 0 of this part may be used as a vehicle for the
initial Tier 3 public notice and all required repeat
notices, as long as:
§ 141.204(d)
The CCR is provided to persons served no later than 12
months after the system learns of the violation or
situation as required under §141.204(b);
§ 141.204(d)(1)
The Tier 3 notice contained in the CCR follows the
content requirements under §141.205; and
§ 141.204(d)(2)
The CCR is distributed following the delivery
requirements under §141.204(c).
§ 141.204(d)(3)
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REQUIREMENT? (EXPLAIN ON
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§ 141.205 Content of the public notice.
What elements must be included in the public notice for
violations of National Primary Drinking Water
Regulations (NPDWR) or other situations requiring a
public notice? When a public water system violates a
NPDWR or has a situation requiring public notification,
each public notice must include the following elements:
§ 141.205(a)
A description of the violation or situation, including the
contaminant(s) of concern, and (as applicable) the
contaminant level(s);
§ 141.205(a)(1)
When the violation or situation occurred;
§ 141.205(a)(2)
Any potential adverse health effects from the violation
or situation, including the standard language under
paragraph (d)(1) or (d)(2) of this section, whichever is
applicable;
§ 141.205(a)(3)
The population at risk, including subpopulations
particularly vulnerable if exposed to the contaminant in
their drinking water;
§ 141.205(a)(4)
Whether alternative water supplies should be used;
§ 141.205(a)(5)
What actions consumers should take, including when
they should seek medical help, if known;
§ 141.205(a)(6)
What the system is doing to correct the violation or
situation;
§ 141.205(a)(7)
When the water system expects to return to compliance
or resolve the situation;
§ 141.205(a)(8)
The name, business address, and phone number of the
water system owner, operator, or designee of the public
water system as a source of additional information
concerning the notice; and
§ 141.205(a)(9)
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REQUIREMENT? (EXPLAIN ON
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A statement to encourage the notice recipient to
distribute the public notice to other persons served,
using the standard language under paragraph (d)(3) of
this section, where applicable.
§ 141.205(a)(10)
What elements must be included in the public notice for
public water systems operating under a variance or
exemption?
§ 141.205(b)
If a public water system has been granted a variance or
an exemption, the public notice must contain:
§ 141.205(b)(1)
An explanation of the reasons for the variance or
exemption;
§ 141.205(b)(1)®
The date on which the variance or exemption was
issued;
§ 141.205(b)(l)(ii)
A brief status report on the steps the system is taking to
install treatment, find alternative sources of water, or
otherwise comply with the terms and schedules of the
variance or exemption; and
§ 141.205(b)(l)(iii)
A notice of any opportunity for public input in the
review of the variance or exemption.
§ 141.205(b)(l)(iv)
If a public water system violates the conditions of a
variance or exemption, the public notice must contain
the ten elements listed in paragraph (a) of this section.
§ 141.205(b)(2)
How is the public notice to be presented?
§ 141.205(c)
Each public notice required by this section:
§ 141.205(c)(1)
Must be displayed in a conspicuous way when printed
or posted;
§ 141.205(c)(1)®
Must not contain overly technical language or very
small print;
§ 141.205(c)(l)(ii)
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Must not be formatted in a way that defeats the purpose
of the notice;
§ 141.205(c)(l)(iii)
Must not contain language which nullifies the purpose
of the notice.
§ 141.205(c)(l)(iv)
Each public notice required by this section must comply
with multilingual requirements, as follows:
§ 141.205(c)(2)
For public water systems serving a large proportion of
non-English speaking consumers, as determined by the
primacy agency, the public notice must contain
information in the appropriate language(s) regarding the
importance of the notice or contain a telephone number
or address where persons served may contact the water
system to obtain a translated copy of the notice or to
request assistance in the appropriate language.
§ 141.205(c) (2)(i)
In cases where the primacy agency has not determined
what constitutes a large proportion of non-English
speaking consumers, the public water system must
include in the public notice the same information as in
paragraph (c)(2)(i) of this section, where appropriate to
reach a large proportion of non-English speaking
persons served by the water system.
§ 141.205(c)(2)(h)
What standard language must public water systems
include in their public notice? Public water systems are
required to include the following standard language in
their public notice:
§ 141.205(d)
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REQUIREMENT? (EXPLAIN ON
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Standard health effects language for MCL or MRDL
violations, treatment technique violations, and
violations of the condition of a variance or exemption.
Public water systems must include in each public notice
the health effects language specified in Appendix B to
this subpart corresponding to each MCL, MRDL, and
treatment technique violation listed in Appendix A to
this subpart, and for each violation of a condition of a
variance or exemption.
§ 141.205(d)(1)
Standard language for monitoring and testing procedure
violations. Public water systems must include the
following language in their notice, including the
language necessary to fill in the blanks, for all
monitoring and testing procedure violations listed in
Appendix A to this subpart:
We are required to monitor your drinking water for
specific contaminants on a regular basis. Results of
regular monitoring are an indicator of whether or not
your drinking water meets health standards. During
[compliance period], we "did not monitor or test" or
"did not complete all monitoring or testing" for
[contaminant(s)], and therefore cannot be sure of the
quality of your drinking water during that time.
§ 141.205(d)(2)
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REQUIREMENT? (EXPLAIN ON
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Standard language to encourage the distribution of the
public notice to all persons served. Public water systems
must include in their notice the following language
(where applicable):
Please share this information with all the other people
who drink this water, especially those who may not
have received this notice directly (for example, people
in apartments, nursing homes, schools, and businesses).
You can do this by posting this notice in a public place
or distributing copies by hand or mail.
§ 141.205(d)(3)
§ 141.206 Notice to new billing units or new customers.
What is the requirement for community water systems?
Community water systems must give a copy of the most
recent public notice for any continuing violation, the
existence of a variance or exemption, or other ongoing
situations requiring a public notice to all new billing
units or new customers prior to or at the time service
begins.
§ 141.206(a)
What is the requirement for non-community water
systems? Non-community water systems must
continuously post the public notice in conspicuous
locations in order to inform new consumers of any
continuing violation, variance or exemption, or other
situation requiring a public notice for as long as the
violation, variance, exemption, or other situation
persists.
§ 141.206(b)
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REQUIREMENT? (EXPLAIN ON
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§ 141.207 Special notice of the availability of unregulated contaminant monitoring results.
When is the special notice to be given? The owner or
operator of a community water system or non-transient,
non-community water system required to monitor under
§141.40 must notify persons served by the system of the
availability of the results of such sampling no later than
12 months after the monitoring results are known.
§ 141.207(a)
What is the form and manner of the special notice? The
form and manner of the public notice must follow the
requirements for a Tier 3 public notice prescribed in
§§141.204(c), (d)(1), and (d)(3). The notice must also
identify a person and provide the telephone number to
contact for information on the monitoring results.
§ 141.207(b)
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§ 141.208 Special notice for exceedance of the SMCL for fluoride.
When is the special notice to be given? Community
water systems that exceed the fluoride secondary
maximum contaminant level (SMCL) of 2 mg/1 as
specified in §143.3 (determinedby the last single
sample taken in accordance with §141.23), but do not
exceed the maximum contaminant level (MCL) of 4
mg/1 forfluoride (as specified in §141.62), must provide
the public notice in paragraph (c) of this section to
persons served. Public notice must be provided as soon
as practical but no later than 12 months from the day the
water system learns of the exceedance. A copy of the
notice must also be sent to all new billing units and new
customers at the time service begins and to the State
public health officer. The public water system must
repeat the notice at least annually for as long as the
SMCL is exceeded. If the public notice is posted, the
notice must remain in place for as long as the SMCL is
exceeded, but in no case less than seven days (even if
the exceedance is eliminated). On a case-by-case basis,
the primacy agency may require an initial notice sooner
than 12 months and repeat notices more frequently than
annually.
§ 141.208(a)
What is the form and manner of the special notice? The
form and manner of the public notice (including repeat
notices) must follow the requirements for a Tier 3
public notice in §141.204(c) and (d)(1) and (d)(3).
§ 141.208(b)
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REQUIREMENT? (EXPLAIN ON
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What mandatory language must be contained in the
special notice? The notice must contain the following
language, including the language necessary to fill in the
blanks:
This is an alert about your drinking water and a
cosmetic dental problem that might affect children
under nine years of age. At low levels, fluoride can help
prevent cavities, but children drinking water containing
more than 2 milligrams per liter (mg/1) of fluoride may
develop cosmetic discoloration of their permanent teeth
(dental fluorosis). The drinking water provided by your
community water system [ name ] has a fluoride
concentration of [ insert value ] mg/1. Dental fluorosis,
in its moderate or severe forms, may result in a brown
staining and/or pitting of the permanent teeth. This
problem occurs only in developing teeth, before they
erupt from the gums. Children under nine should be
provided with alternative sources of drinking water or
water that has been treated to remove the fluoride to
avoid the possibility of staining and pitting of their
permanent teeth. You may also want to contact your
dentist about proper use by young children of fluoride-
containing products. Older children and adults may
safely drink the water. Drinking water containing more
than 4 mg/L of fluoride (the U.S. Environmental
Protection Agency's drinking water standard) can
increase your risk of developing bone disease. Your
drinking water does not contain more than 4 mg/1 of
fluoride, but we're required to notify you when we
discover that the fluoride levels in your drinking water
exceed 2 mg/1 because of this cosmetic dental problem.
§ 141.208(c)
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REQUIREMENT? (EXPLAIN ON
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For more information, please call [name of water
system contact] of [name of community water system]
at [phone number]. Some home water treatment units
are also available to remove fluoride from drinking
water. To learn more about available home water
treatment units, you may call NSF International at 1-
877-8-N SF-HF.T ,P."
§ 141.209 Special notice for nitrate exceedances above MCL by non-community water systems (NCWS), where granted permission by the
PRIMACY AGENCY UNDER §141.11(D).
When is the special notice to be given? The owner or
operator of a non-community water system granted
permission by the primacy agency under §141.11(d) to
exceed the nitrate MCL must provide notice to persons
served according to the requirements for a Tier 1 notice
under §141.202(a) and (b).
§ 141.209(a)
What is the form and manner of the special notice?
Non-community water systems granted permission by
the primacy agency to exceed the nitrate MCL under
§141.11(d) must provide continuous posting of the fact
that nitrate levels exceed 10 mg/1 and the potential
health effects of exposure, according to the
requirements for Tier 1 notice delivery under
§141.202(c) and the content requirements under
§141.205.
§ 141.209(b)
§ 141.210 Notice by primacy agency on behalf of the public water system.
May the primacy agency give the notice on behalf of the
public water system? The primacy agency may give the
notice required by this subpart on behalf of the owner
and operator of the public water system if the primacy
agency complies with the requirements of this subpart.
§ 141.210(a)
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REQUIREMENT? (EXPLAIN ON
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What is the responsibility of the public water system
when notice is given by the primacy agency? The owner
or operator of the public water system remains
responsible for ensuring that the requirements of this
subpart are met.
§ 141.210(b)
§ 141.211 Special notice for repeated failure to conduct monitoring of the source water for Cryptosporidium and for failure to
DETERMINE BIN CLASSIFICATION OR MEAN CRYPTOSPORIDIUM LEVEL.
When is the special notice for repeated failure to
monitor to be given? The owner or operator of a
community or non-community water system that is
required to monitor source water under §141.701 must
notify persons served by the water system that
monitoring has not been completed as specified no later
than 30 days after the system has failed to collect any 3
months of monitoring as specified in §141.701(c). The
notice must be repeated as specified in §141.203(b).
§ 141.211(a)
When is the special notice for failure to determine bin
classification or mean Cryptosporidium level to be
given? The owner or operator of a community or non-
community water system that is required to determine a
bin classification under §141.710, or to determine mean
Cryptosporidium level under §141.712, must notify
persons served by the water system that the
determination has not been made as required no later
than 30 days after the system has failed report the
determination as specified in §141.710(e) or
§141.712(a), respectively. The notice must be repeated
as specified in §141.203(b). The notice is not required if
the system is complying with a State-approved schedule
to address the violation.
§ 141.211(b)
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REQUIREMENT? (EXPLAIN ON
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What is the form and manner of the special notice? The
form and manner of the public notice must follow the
requirements for a Tier 2 public notice prescribed in
§141.203(c). The public notice must be presented as
required in §141.205(c).
§ 141.211(c)
What mandatory language must be contained in the
special notice? The notice must contain the following
language, including the language necessary to fill in the
blanks.
§ 141.211(d)
The special notice for repeated failure to conduct
monitoring must contain the following language:
We are required to monitor the source of your drinking
water for Cryptosporidium. Results of the monitoring
are to be used to determine whether water treatment at
the (treatment plant name) is sufficient to adequately
remove Cryptosporidium from your drinking water. We
are required to complete this monitoring and make this
determination by (required bin determination date). We
"did not monitor or test" or "did not complete all
monitoring or testing" on schedule and, therefore, we
may not be able to determine by the required date what
treatment modifications, if any, must be made to ensure
adequate Cryptosporidium removal. Missing this
deadline may, in turn, jeopardize our ability to have the
required treatment modifications, if any, completed by
the deadline required, (date). For more information,
please call (name of water system contact) of (name of
water system) at (phone number).
§ 141.211(d)(1)
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REQUIREMENT? (EXPLAIN ON
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The special notice for failure to determine bin
classification or mean Cryptosporidium level must
contain the following language:
§ 141.211(d)(2)
We are required to monitor the source of your drinking
water for Cryptosporidium in order to determine by
(date) whether water treatment at the (treatment plant
name) is sufficient to adequately remove
Cryptosporidium from your drinking water. We have
not made this determination by the required date. Our
failure to do this may jeopardize our ability to have the
required treatment modifications, if any, completed by
the required deadline of (date). For more information,
please call (name of water system contact) of (name of
water system) at (phone number).
Each special notice must also include a description of
what the system is doing to correct the violation and
when the system expects to return to compliance or
resolve the situation.
§ 141.211(d)(3)
Appendix A to Subpart Q
Appendix A to Subpart Q
Appendix B to Subpart Q
Appendix B to Subpart Q
Appendix C to Subpart Q
Appendix C to Subpart Q
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Pari 142-National Primary Drinking Water Regulations Implementation
SUBPART B-PRIMARY ENFORCEMENT RESPONSIBILITY
§ 142.10 Requirements for a determination of primary enforcement responsibility.
Authority to require public water systems to give public
notice that is no less stringent than the EPA
requirements in Subpart Q of Part 141 of this chapter
and §142.16(a).
§ 142.10(b)(6)(v)
Authority to assess civil or criminal penalties for
violation of the State's primary drinking water
regulations and public notification requirements,
including the authority to assess daily penalties or
multiple penalties when a violation continues;
§ 142.10(b)(6)(vi)
§ 142.14 Records kept by States.
Public notification records under Subpart Q of Part 141
of this chapter received from public water systems
(including certifications of compliance and copies of
public notices) and any state determinations
establishing alternative public notification requirements
for the water systems must be retained for three years.
§ 142.14(f)
§142.15 Reports by States.
Each State which has primary enforcement
responsibility shall submit quarterly reports to the
Administrator on a schedule and in a format prescribed
by the Administrator, consisting of the following
information:
§ 142.15(a)
PNRule Implementation Guidance
A-34
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Summary of Federal Requirement
Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
(1) New violations by public water systems in the State
during the previous quarter of State regulations adopted
to incorporate the requirements of national primary
drinking water regulations, including violations of the
public notification requirements under Subpart Q of
Part 141 of this chapter.
§ 142.15(a)(1)
§ 142.16 Special primacy requirements.
State public notification requirements
§ 142.16(a)
Each State that has primary enforcement authority
under this part must submit complete and final requests
for approval of program revisions to adopt the
requirements of Subpart Q of Part 141 of this chapter,
using the procedures in §142.12(b) through (d). At its
option, a State may, by rule, and after notice and
comment, establish alternative public notification
requirements with respect to the form and content of the
public notice required under Subpart Q of Part 141 of
this chapter. The alternative requirements must provide
the same type and amount of information required
under Subpart Q and must meet the primacy
requirements under §142.10.
§ 142.16(a)(1)
As part of the revised primacy program, a State must
also establish enforceable requirements and procedures
when the State adds to or changes the requirements
under:
§ 142.16(a)(2)
Table 1 to 40 CFR 141.201 (a)(Item (3)(v)) —To require
public water systems to give a public notice for
violations or situations other than those listed in
Appendix A of Subpart Q of Part 141 of this chapter;
§ 142.16(a)(2)(i)
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A-35
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Summary of Federal Requirement
Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
40 CFR 141.201(c)(2) —To allow public water
systems, under the specific circumstances listed in
§141.201(c)(2), to limit the distribution of the public
notice to persons served by the portion of the
distribution system that is out of compliance;
§ 142.16(a)(2)(ii)
Table 1 of 40 CFR 141.202(a) (Items (5), (6), and (9))
—To require public water systems to give a Tier 1
public notice (rather than a Tier 2 or Tier 3 notice) for
violations or situations listed in Appendix A of Subpart
Q of Part 141 of this chapter;
§ 142.16(a)(2)(iii)
40 CFR 141.202(b)(3) —To require public water
systems to comply with additional Tier 1 public
notification requirements set by the State subsequent to
the initial 24-hour Tier 1 notice, as a result of their
consultation with the State required under
§§141.202(b)(2);
§ 142.16(a)(2)(iv)
40 CFR 141.202(c), 141.203(c) and 141.204(c) —To
require a different form and manner of delivery for Tier
1, 2 and 3 public notices.
§ 142.16(a)(2)(v)
Table 1 to 40 CFR 141.203(a) (Item (2)) —To require
the public water systems to provide a Tier 2 public
notice (rather than Tier (3)) for monitoring or testing
procedure violations specified by the State;
§ 142.16(a)(2)(vi)
40 CFR 141.203(b)(1) —To grant public water systems
an extension up to three months for distributing the Tier
2 public notice in appropriate circumstances (other than
those specifically excluded in the rule);
§ 142.16(a)(2)(vii)
40 CFR 141.203(b)(2) —To grant a different repeat
notice frequency for the Tier 2 public notice in
appropriate circumstances (other than those specifically
excluded in the rule), but no less frequently than once
per year;
§ 142.16(a)(2)(viii)
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A-36
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Summary of Federal Requirement
Federal Citation
40 CFR
State Citation (document
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
Different from Fed.
REQUIREMENT? (EXPLAIN ON
SEPARATE SHEET)
40 CFR 141.203(b)(3) —To respond within 24 hours to
a request for consultation by the public water system to
determine whether a Tier 1 (rather than a Tier 2) notice
is required for a turbidity MCL violation under
§141.13(b) or a SWTR/IESWTR TT violation due to a
single exceedance of the maximum allowable turbidity
limit;
§ 142.16(a)(2)(ix)
40 CFR 141.205(c) —To determine the specific
multilingual requirement for a public water system,
including defining "large proportion of non-English-
speaking consumers."
§ 142.16(a)(2)(x)
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A-37
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Appendix B
Flowcharts
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Flowchart 1. Tier 1 Public Notices -
Timeline for PWS Actions
PWS Learns of Tier 1 Violation or Situation
Tier I Violations and Other Situations Reqiiiring Public Notice' Within
24 Horn's Include:
• Distribution system sample MCL violation when fecal colifonn or
E. coll are present; failure to test for fecal colifonn or E. coli after
initial total coliform distribution system sample tests positive.
* Violation of the MCL for nitrate= nitrite., or total nitrate and nitrite
or failure to take a confirmation sample within 24 hours of the
system's receipt of the first sample showing an exceedance of the
t oi" nitrite MCL.
Special notice for noncommuoity water systems (NCWSs) with
nitrate exceedances between 10 mg/L and 20 mg/Lr where system
is allowed to exceed 10 mgL by primacy agency.
Violation of the MRDL for chlorine dioxide when one or more
samples taken in the distribution system exceeded the MRDL or are
not taken.
Violation of the turbidity MCL of 5 NHL where the state
determines aftei consultation that a Tier 1 notice is required or
where consultation does not take place within 24 hours after the
system learnt, of the notation.
Violation of the SWTR, IESWTR, or LT1ESWTR treatment
technique resulting from a single exceedance of the maximum
allowable turbidity limit where the state determines after
consultation that a Tier 1 notice is required or where consultation
does not take place within 24 hours after the system learns of the
violation.
Occurrence of a waterborne disease outbreak or other waterbome
emergency.
Detection of E. colt enterococcL or coliphage in source water
sample
Other violations or situations with significant potential to have
serious adverse effects on human health as a result of short-term
exposure, as determined by the state either in its regulations or on a
case-by-case basis.
Clock Starts
24 hours after
PWS learns of
violation or
situation
10 days after
completing
initial PN
requirements
10 days after
completing
subsequent P.V
requirements
Within 24 hours after
PWS learns of the
violation or situation the
PWS must provide notice
to customers.
PWS must use at minimum
one or more of the following
methods: broadcast media.,
posting, hand deli\ en or
another state appro-* e i
method
W ithin 24 hours after
PWS learns of the
violation or situation the
PWS must initiate
consultation with the state
Purpose: To determine if
there are any additional PN
requirements to meet
Within 10 days
completing initial PN
requirements PWS
must send to the
state:
- A. copy of the
notice.
- Certification
State decides if PWS
should meet additional
PN requirements.
Such as: repeat notices,
direction on duration of
posted notices, or other
actions required to reach
all persons served.
PWS must
comply with
additional PN
requirements
Within 10 days
completing subsequent
PN requirements, PW S
must send to the state:
- A copy of the notice.
- Certification
PN Rule Implementation Guidance
B- 3
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Flowchart 2. Tier 2 Public Notices - Timeline for PWS Actions
PWS Learns of Tier 2 Violation or Situation
Tier 2 Violations and Other Situations Requiring Public Notice
Within 30 Days Include:
• All violations of the MCL, MRDL, and treatment technique
requirements, except where a Tier 1 notice is required.
» Violations of monitoring and testing procedure requirements,
where the state determines that a Tier 2 rather than a Tier 3
public notice is required.
» Failure to comply with the terms and conditions of any variance
or exemption in place.
• For ground water systems providing 4-log treatment for viruses,
failure to maintain required treatment for more than 4 hours.
• Failuie to take coirective actioi v ithin the required timeframe
or be m compliance with a state-appro* ed corrective action plan
and schedule for a fecal indicator poaitr e source sample under
the Ground Water Rule.
» Failure to take required corrective action within the required
timeframe oi he in compliance with a state-approved corrective
action plan and schedule foi a significant deficiency under the
Ground Water Rule.
• Special public notice for repeated failure to conduct monitoring
for Cryptosporidium (40 CFR 141.211).
Turbidity consultation is required v hen a PWS lias a treatment
technique violation resulting from a single exceedance of the
maximum allowable turbidity limit oi an MCL violation resulting
from an exceedance of the 2-da\ turbidity limit. The PWS must
consult their primacy agency v.ithia 24 hours, otherwise violations
are automatically elevated to require Tier 1 PN.
Note: In appropriate circumstances the state may allow additional
time for distribution of the initial Tier 2 notice of up to 3 months
from the date the system learns of the violation.. The state also has
the discretion to allow a different Tier 2 repeat notice frequency.
However, in no circumstance is the repeat notice to he given less
frequently than once per year.
Clock Starts
30 days PWS
learns of
violation or
situation
10 days
completing
initial PN
requirements
3 months after
PWS learns of
violation
10 days after
completing
subsequent PN
requirements
As soon as practical but no later than
30 days after the PWS learns of the
violation or situation the PWS must
provide public notice to consumers.
CWS must use:
- Mail or other direct delivery to each
customer receiving a bill and to other
service connections:
AND
- Any other method reasonably
calculated to reach other persons
regularly served by the system if
they would not normally be reached
by the first method
NCWS must use:
- Posting, or mail or direct delivery to
each customer and service
connection (where known);
AND
- Any other method reasonably
calculated to reach other persons
served by the system but not
normally reached by the first method
Within 10 days
completing initial
PN requirements
PWS must send to
the state:
- A copy of the
notice.
- Certification
Mm&m
violation exists,
the PWS must
send a repeat
notice to
consumers
every 3 months.
Within 10 days
completing subsequent
PN requirements, PWS
must send to the state;
- A copy of the notice.
- Certification
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B-4
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Flowchart 3. Tier 3 Public Notices - Timeline for PWS Actions
PWS Learns of Tier 3 Violation or Situation
Tier 3 Violations and Other Situations Requiring Public
Notice Within 1 Year Include:
• All monitoring or testing procedure violations,
unless primacy agency elevates to Tier 2, including
failure to conduct benchmarking and profiling
(surface water systems) and failure to develop a
monitoring plan (disinfecting systems).
* Operation under a variance panted under Section
1415 or an exemption granted under Section 1416
of the Safe Drinking Water Act.
* Availability of unregulated contaminant monitoring
results.
• Exceedance of the secondary maximum
contaminant level (SMCL) for fluoride (community
water systems only).
Note- Instead of individual Tier 3 public notices a PWS
m3\ use an annual report to detail all violations and
situation^ that occurred during the previous 12 months,
as long as the timing requirements of 40 CFR
141 2b4ibK1 are met
Clock Starts
12 months
PWS learns of
violation or
situation
10 days
completing
initial PN
requirements
12 months after
PWS sends initial
notice
10 days after
completing
subsequent PN
requirements
Within 12 months after the PWS
learns of the violation or situation the
PWS must provide public notice to
consumers,
PWS must use:
- Mail or other direct delivery to each
customer receiving a bill and to other
service connections:
AND
- Any other method reasonably
calculated to reach other persons
regularly served by the system if
they would not normally be reached
by the first method.
PWS must Uhe:
- Pos>tirg or mail or direct delivery to
each customer and service
c onuection (where known):
AND
- Any other method reasonably
calculated to reach other persons
served by the system but not
normally reached by the first method
Within 10 days
completing initial
PN requirements
PWS must send to
the state:
- A copy of the
notice.
- Certification
As long, as
violation exists,
the PWS must
send a repeat
notice to
consumers every
12 i
Within 10 days
completing subsequent
PN requirements, PWS
must send to the state:
- A copy of the notice.
- Certification
PN Rule Implementation Guidance
B-5
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Flowchart 4. Tier 1 Public Notices - Timeline for State Actions
PN Rule Implementation Guidance
6
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Flowchart 5. Tier 2 Public Notices - Timeline for State Actions
repeat notice to be given less frequently than once per year.
PN Rule Implementation Guidance
1
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Flowchart 6. Tier 3 Public Notices - Timeline for State Actions
PN Rule Implementation Guidance
8
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Appendix C
Example Forms, Letters and
Checklists
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State Primacy Revision Checklist
PN Rule Implementation Guidance
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PN Rule Implementation Guidance C-4
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Revision to State
CFR References
Required Program Elements
Program Under
the PN Rule
YES/NO
EPA Findings/Comments
40CFR 142.10
Primary Enforcement
- Definition of Public Water System1
40 CFR 142.10(a)
Regulations No Less Stringent
40 CFR 142.10(b)(1)
Maintain Inventory
40 CFR 142.10(b)(2)
Sanitary Survey Program
40 CFR 142.10(b)(3)
Laboratory Certification Program
40 CFR 142.10(b)(4)
Laboratory Capability
40 CFR 142.10(b)(5)
Plan Review Program
40 CFR 142.10(b)(6)(i)
Authority to apply regulations
40 CFR 142.10(b)(6)(ii)
Authority to sue in courts of competent
jurisdiction
40 CFR 142.10(b)(6)(iii)
Right of Entry
40 CFR 142.10(b)(6)(iv)
Authority to Require Records
40 CFR 142.10(b)(6)(v)
Authority to Require Public Notification
40 CFR 142.10(b)(6)(vi)
Authority to Assess Civil and Criminal
Penalties
40 CFR 142.10(b)(6)(vii)
Authority to require CWSs to provide
CCRs
40 CFR 142.10(c)
Maintenance of Records
40 CFR 142.10(d)
Variance/Exemption Conditions (if
applicable)2
40 CFR 142.10(e)
Emergency Plans
40 CFR 142.10(f)
Administrative Penalty Authority1
40 CFR 142.10(g)
Electronic Reporting Regulations3
1. Requirement from the 1996 SDWA Amendments. Regulations published in the April 28,1998, Federal Register.
2. Regulations published in the August 14,1998 Federal Register.
3. Regulations published in the October 13, 2005, Federal Register.
PN Rule Implementation Guidance
C-5
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PN Rule Implementation Guidance C-6
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State Primacy Revision Extension Checklist
PN Rule Implementation Guidance
C-7
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PN Rule Implementation Guidance C-8
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CFR Reference
Elements
EPA Findings/ Comments
40CFR 142.12(b)(1)
State provides a final extension request before the
deadline May 6, 2002.
40 CFR 142.12(b)(2)
State demonstrates good faith effort to meet original
deadline.
40 CFR 142.12(b)(2)
State requests an extension due to reasons beyond its
control.
40 CFR 142.12(b)(2)
State's application for extension includes a schedule
with a timeframe for the submission of a final request
for state program revision.1
40 CFR 142.12(b)(2)
State's application for extension includes sufficient
information to demonstrate at least one of the
following:
40 CFR 142.12(b)(2)(i)(A)
State lacks legislative/regulatory authority to enforce
the rule; or
40 CFR 142.12(b)(2)(i)(B)
State lacks the program capability adequate to
implement the rule; or,
40 CFR 142.12(b)(2)(i)(C)
State requests the extension to group two or more
program revisions in a single legislative/regulatory
action.
40 CFR 142.12(b)(2)
40 CFR 142.12(b)(3)(vi)
State's application for extension contains steps and
includes a schedule, during the extension period,
agreed to by EPA and the state, to remedy the
deficiencies related to the state's lack of program
capability to adequately implement the rule.
40 CFR 142.12(b)(2)(ii)
State's application for extension includes sufficient
information to demonstrate state is implementing the
EPA requirements pursuant to 40 CFR 142.12(b)(3)
within the scope of its authority and capabilities.
40 CFR 142.12(b)(2)(ii)
40 CFR 142.12(b)(3)(vi)
State demonstrates implementation of the steps to
remedy the deficiencies related to the state's lack of
program capability to adequately implement the rule.
40 CFR 142.12(b)(2)(ii)
State demonstrates implementation of the PN Rule
pursuant to 40 CFR 142.12(b)(3) within the scope of its
authority and capabilities.
1. While the state may request an extension of up to two years to submit the final request for program revision, the EPA
Region has the discretion to approve the extension period based on a lesser timeframe to allow re-evaluation of
state's progress in meeting the required activities to address program/statutory deficiencies which prevented the
primacy agency from obtaining primacy before May 6, 2002. When the EPA Region grants an approval for a shorter
extension period (i.e., less than the full two years), the EPA Region and state can re-evaluate the state's ability to
obtain full primacy of the PN Rule and add any additional remedies that must be taken by the state as a condition of
the EPA Region granting a full two-year extension period.
PN Rule Implementation Guidance
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PN Rule Implementation Guidance C-10
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Example Extension Agreement Letter
PN Rule Implementation Guidance
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PN Rule Implementation Guidance C-12
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! Dale!
! Ui ;>i(iii:il Ailminisl r:ilor!
keuiou;il Xdnuuisiniior
I S I P \ ke-jion {Uc;»ion,'
{Si reel Aihlressj
!C'il\. Sialic, /in!
I re\ isioiis ;ire
due In IP \ lor l lie hihlie \olifie;itioii (l'\i Rule iinlil {inscil ilailc - no lailcr Ihiin 2 \cairs ail'lcr Ihc due iliilc of
I lie nrim;ic\ rc\ision Hiick;i;»c ! ;is allowed In 40 (Ik 142.12 ;uid would ;ippreei;ite >our;ippro\;il. Sl;iff of the
{Sialic l)cp;irlmcnl/A;»cnc\} li.ne conferred w nil > mil' sl;ilT;md h;i\e;mreed In I he requirements lisied helow for
llns eMeusiou This eMeusiou is heiuu requested hee;iuse llie Si;iie Coniniouwe;illh of {Sialic}.
Is phiniiiim to uroup two or iiK>re proumni re\ iskhis into ;i sumle leuisl;iii\e or reuiil;iu>i"> ;ictiou.
( iirrenll\ kicks ihe leuisl;m\e or rcuul;itoi'\ ;iuthorii\ to enforce llie new or re\ ised re(|iiiremeiils
(urrcuiK kicks ;idcqu;iie prounini c;ip;ihilit\ to iniplenieiil llie new orre\ised requirements
{Sialic l)cp;irlmcnl/A;»ciic\} w ill he workum w 1111 I PA in implement the l'\ kule w illiiu llie scope of lis eurreiil
;iulhoril\ ;md c;ip;ihihl\. ;is mil lined 111 llie ;ire;is identified in 4m (Ik 142 12(h)( ^ n i) - ( \ i).
i) lufornium public w;iters\stems iPWSsi of the new IPX ciud upconium st;iici requirements ;md llie fuel lh;il
IP \ will he o\erseeiiiu implementation of llie requirements iiuiil IP \ ;ippro\es llie si;ile re\ isiou
Si;iie IPX
ho\ ide copies of rcmiLiiiou ;md miidmicc to oilier sinle nuclides. PWSs ieehuie;il
;issisi;mee pro\ iders. ;issoei;ilious or oilier interested parties.
I idiieiite ;iud eoordiii;ite w itli st;ite st;iff. I'W'Ss. the puhlie ;md other w;iter
;issoei;ilions jihout the requirements of this reuuhiiioii
\olil\ ;iffeeted s\ stems of their requirements under the lJ\ kule
Other
in ('ollcctum. storum ;iud ni;iu;imim l;ihor;ilor\ results, puhlie uoliees ;uid other eomph;iiiee ;uid operation d;it;i
required In I PA reuiihitious.
Suite IPX
l)e\ ise ;i li.iekiuu s\siem for lJ\\ S reportum pursiuut to the l'\ kule
Keep lJ\\'Ss iufornied of reportum requirements durum de\ elopnieni ;iud
implementation
keport l'\ kule \ lokitiou ;uid enforeenieiit iulorni;itioii to S;ife Driukiim W'nler
Information Svsieni iSDWISi ;is required
Other
PN Rule Implementation Guidance
C-13
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iii) Assisting EPA in the development of the technical aspects of the enforcement actions and conducting informal
follow-up on violations (telephones calls, letters, etc.).
State EPA
Issue notices of violations (NOVs) for treatment technique, maximum contaminant
level (MCL) and monitoring/reporting violations of the PN Rule.
Provide immediate technical assistance to PWSs with treatment technique, MCL
and/or monitoring/reporting violations to try and bring them into compliance.
Refer all violations to EPA for enforcement if they have not been resolved within
60 days of the incident that triggered the violation. Provide information as requested
to conduct and complete any enforcement action referred to EPA.
Other:
iv) Providing technical assistance to PWSs.
State EPA
Conduct training within the state for PWSs on PN Rule requirements.
Provide technical assistance through written and/or verbal correspondence with
PWSs.
Provide on-site technical assistance to PWSs as requested and needed to ensure
compliance with the regulation.
Coordinate with other technical assistance providers and organizations to provide
accurate information and aid in a timely manner.
Other:
v) Providing EPA with all information prescribed by the State Reporting Requirements in 40 CFR 142.15.
State EPA
Report any violations incurred by PWSs for this regulation each quarter.
Report any enforcement actions taken against PWSs for this regulation this quarter.
Report any variances or exemptions granted for PWSs for this regulation each
quarter.
Other:
vi) For states whose request for an extension is based on a current lack of program capability to implement the new
or revised requirements, taking the following steps to remedy the capability deficiency.
State EPA
Acquire additional resources to implement these regulations (list of specific steps
being taken attached a {List A}).
Provide quarterly updates describing the status of acquiring additional resources.
Other:
PN Rule Implementation Guidance
C-14
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I ;ill II 111 lliiil I lie {Siiiu* I)i|):iiIiihiii/A;>iih\ } w ill implement pin\ isions ol'ilie l'\ Rule ;is ouiliiied in llns Idler ;ind
mi llie ;issoei;iled enclosures
!.\l»ciio Diivclor or Sccrcliin! I l);ilo!
!N;iiih' ol' Mailt* A«»ciic\ !
I li;i\ e consul led w nil m\ s|;il'l';uid ;ippro\ e \ our cMeiisiou lor I lie ;il'orcnieiil loued reuukilioii I ;il'firni lh;il IPX
kemoii ! Uc;»ion! w ill i iiiplenieiil pro\ isions of llie l'\ Rule ;is ouiliiied in lliis leller ;ind in I lie ;issoci;iled
enclosures
keuioii;il \dniiiiisiniior
I P \ kemoii ',Uc;»ioii,'
This l!\iensioii \urccnieiii will l;ikeeHecl upon ilie d;ile ol'ilie l;isi siun;iliire ;md will reiii;nii iiiclfccl mini jlnscri
tl;ilc lor which llie extension ;il»iti-iik-iii is ;ii)nro\i-(l!
PN Rule Implementation Guidance
C-15
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PN Rule Implementation Guidance C-16
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Example of Attorney General's Statement
PN Rule Implementation Guidance
C-17
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PN Rule Implementation Guidance C-18
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Model Language
I hereby certify, pursuant to my authority as £1} and in accordance with the Safe Drinking Water Act as
amended, and £2}, that in my opinion the laws of the [State/Commonwealth of (3)| [or tribal ordinances of
(4)1 to carry out the program set forth in the "Program Description" submitted by the £5] have been duly
adopted and are enforceable. The specific authorities provided are contained in statutes or regulations that
are lawfully adopted at the time this Statement is approved and signed and will be fully effective by the
time the program is approved.
I. For States with No Audit Privilege and/or Immunity Laws
Furthermore, I certify that [State/Commonwealth of £3)| has not enacted any environmental audit
privilege and/or immunity laws.
II. For States with Audit Privilege and/or Immunity Laws that do Not Apply to the State Agency
Administering the Safe Drinking Water Act
Furthermore, I certify that the environmental [audit privilege and/or immunity laws] of the
[State/Commonwealth of (3)1 do not affect the ability of £3) to meet enforcement and information
gathering requirements under the Safe Drinking Water Act because the [audit privilege and/or immunity
laws] do not apply to the program set forth in the "Program Description/' The Safe Drinking Water Act
program set forth in the "Program Description'' is administered by (5): the [audit privilege and/or
immunity laws] do not affect programs implemented by (5). thus the program set forth in the "Program
Description" is unaffected by the provisions of [State/Commonwealth of (3)1 [audit privilege and/or
immunity laws].
III. For States with Audit Privilege and/or Immunity Laws that Worked with EPA to Satisfy
Requirements for Federally Authorized, Delegated or Approved Environmental Programs
Furthermore, I certify that the environmental [audit privilege and/or immunity laws] of the
[State/Commonwealth of (3)1 do not affect the ability of £3] to meet enforcement and information
gathering requirements under the Safe Drinking Water Act because [State/Commonwealth of (3)1 has
enacted statutory revisions and/or issued a clarifying Attorney General's Statement to satisfy
requirements for federally authorized, delegated or approved environmental programs.
Seal of Office
Signature
Name and Title
Date
(1) State Attorney General or attorney for the primacy agency if it has independent legal counsel.
(2) 40 CFR 142.1 l(a)(6)(i) for initial primacy applications or 40 CFR 142.12(c)(l)(iii) for primacy
program revision applications.
(3) Name of state or commonwealth.
(4) Name of tribe.
(5) Name of primacy agency.
PN Rule Implementation Guidance
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