United States Office of Water EPA 816-R-01-010

Environmental Protection (4606) October 2001

Agency

______________________________________________________________________

Final State

Implementation

Guidance 

for the 

Public Notification

(PN) Rule
i

Table of Contents

Acronyms .................................................................. v

Introduction ................................................................ 1

Section I. Rule Requirements ............................................. 3

A. Key Dates ...................................................... 3

B. Key Elements of the Revised Public Notice Regulation .................. 4

B.1. Who Must Give Notice ...................................... 4

B.2. Public Notice Tiers 1, 2, and 3 ................................ 4

B.3. Minimum Delivery Requirements for Public Notice ................ 6

B.4. Who Must be Notified ....................................... 9

B.5. Content of a Public Notice - Ten Required Elements ............. 10

B.6. Variances and Exemptions .................................. 13

B.7. Multilingual Requirements ................................... 13

B.8. Standard Language for Public Notices ........................ 14

B.9. Special Notices for Unregulated Contaminant Monitoring, 

Fluoride, SMCL Exceedances, and Nitrate Exceedances 

Above the MCL by NCWSs ................................. 14

B.10. Formatting Requirements for Public Notices .................... 16

B.11. Certification .............................................. 16

B.12. Changes to Other Rules .................................... 17

C. Use of an Annual Notice to Meet Tier 3 PN Requirements .............. 26

C.1. Annual Notice by Non-Community Water Systems ............... 26

C.2. Annual Notice by Community Water Systems ................... 26

Section II. State Primacy Revision Applications ............................. 27

A. Primacy Revision Time Frame ..................................... 27

A.1 Combining the PN and CCR Rules into One Primacy Revision

Application Package ....................................... 28

B. State Program Revision - Review Process ........................... 29

C. State Program Revision - Extension Procedures ...................... 32

D. Special State Primacy Requirements ............................... 35

E. General State Primacy Requirements ............................... 37

E.1. State Primacy Revision Checklist ............................ 37
ii

E.2. Text of the State’s Regulation ................................ 37

E.3. Primacy Revision Crosswalk ................................ 37

E.4. Checklist of State Reporting and Recordkeeping Policies ......... 37

E.5. Special Primacy Requirements .............................. 37

E.6. Attorney General’s Statement of Enforceability .................. 37

Section III. Special Primacy Requirements of the Public Notification Rule ...... 38

A. §142.16(a)(2)(i) - Requiring Public Notice for Violations or Situations 

Other Than Those Listed in Appendix A of the PN Rule ................. 39

B. §142.16(a)(2)(ii) - Limited Distribution of Public Notice to Persons Served

by the Portion of the Distribution System that is Out of Compliance ....... 39

C. §142.16(a)(2)(iii) - Which Violations or Situations Require a Tier 1 

Public Notice ................................................... 40

D. §142.16(a)(2)(iv) - Requiring Additional Public Notice for Tier 1 

Violations ...................................................... 42

E. §142.16(a)(2)(v) - Different Form, Manner, and Delivery for Tier 1, 2, 

and 3 Public Notices ............................................. 43

F. §142.16(a)(2)(vi) - Requiring Tier 2 Public Notice (Rather Than Tier 3

Notice) for Specific Monitoring or Testing Procedure Violations .......... 43

G. §142.16(a)(2)(vii) - Extending the Initial Tier 2 Public Notice Distribution

Deadline ....................................................... 44

H. §142.16(a)(2)(viii) - Extending the Tier 2 Notice Repeat Frequency ...... 45

I. §142.16(a)(2)(ix) - Requiring a Tier 1 Public Notice (Rather Than Tier 2

Notice) 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 .................................. 45

J. §142.16(a)(2)(x) - Multilingual Notice Requirement .................... 46

Section IV. PN Violation Determination and SDWIS Reporting ................. 48

A. PN Violation Determination ........................................ 48

A.1. What are the PN Violations? ................................ 48

A.2. How is a PN Violation Identified? ............................. 54

A.3. State Enforcement, Compliance Monitoring and Assistance, or

Other Follow-up ........................................... 54

A.4. Return to Compliance ...................................... 59

B. SDWIS Reporting and EPA Follow-up ............................... 59
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Table of Appendices

Appendix A

State Primacy Revision Application Package for the PN Rule - 

Example Format ..................................................... A-1

State Primacy Revision Checklist ................................. A-3

Text of State’s Regulation ........................................ A-4

Primacy Revision Crosswalk ..................................... A-5

State Reporting and Recordkeeping Checklist ...................... A-41

Special Primacy Requirements .................................. A-42

Attorney General’s Statement of Enforceability ..................... A-45

Revised Appendix A to Subpart O ................................ A-47

Appendix B

State Primacy Revision Application Package for the PN and CCR Rules -

Example Format ..................................................... B-1

State Primacy Revision Checklist ................................. B-3

Text of State’s Regulation ........................................ B-4

Primacy Revision Crosswalk ..................................... B-5

State Reporting and Recordkeeping Checklist ...................... B-29

Special Primacy Requirements .................................. B-30

Attorney General’s Statement of Enforceability ..................... B-31

Appendix C

SDWIS Reporting (Draft Final Version) ................................. C-1

Appendix D

PN Rule Appendices .................................................. D-1

Appendix A to Subpart Q of Part 141 - 

NPDWR Violations/Other Situations Requiring Public Notice ........... D-1

Appendix B to Subpart Q of Part 141- 

 Standard Health Effects Language for Public Notification ........... D-10
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List of Tables

Table 1 - Violations and Situations Requiring Public Notice ....................... 5

Table 2- Requirements for Issuing Public Notice ............................... 8

Table 3 - Summary of Changes to the CCR Rule: Appendix A - Regulated

Contaminants ................................................... 18

Table 4 - Summary of Other Changes to CFR to Be Consistent With The Final

Public Notification Rule (Part 141, Subpart Q) ........................ 20

Table 5 - State Program Revision Extension Procedures ....................... 33

Table 6 - Extension Request Checklist ...................................... 34

Table 7 - PN Violations ................................................... 52

Table 8 - Proposed Federal Reporting for the PN Rule ......................... 60

List of Figures

Figure 1 - The Required Elements of a Public Notice ............................... 12

Figure 2 - Review Process for State Request for Approval of Program Revisions

 for the PN Rule .................................................... 31

Flowchart 1 - Tier 1 Violations - Timeline for PWS Actions .......................... 49

Flowchart 2 - Tier 2 Violations - Timeline for PWS Actions .......................... 50

Flowchart 3 - Tier 3 Violations - Timeline for PWS Actions .......................... 51

Flowchart 4 - Tier 1 Violations - Timeline for State Actions .......................... 56

Flowchart 5 - Tier 2 Violations - Timeline for State Actions .......................... 57

Flowchart 6 - Tier 3 Violations - Timeline for State Actions .......................... 58
v

Acronyms

CCR Consumer Confidence Report

CWS Community Water System

DBP Disinfection Byproduct

EPA Environmental Protection Agency

GAO General Accounting Office

HPC Heterotrophic Plate Count

IESWTR Interim Enhanced Surface Water Treatment Rule

IOC Inorganic Chemical

LCR Lead and Copper Rule

MCL Maximum Contaminant Level

MCLG Maximum Contaminant Level Goal

MRDL Maximum Residual Disinfectant Level

MRDLG Maximum Residual Disinfectant Level Goal

NCWS Non-Community Water System

NPDWR National Primary Drinking Water Regulation

NTNCWS Non-Transient Non-Community Water System

NTU Nephelometric Turbidity Unit

OGWDW Office of Ground Water and Drinking Water

OW Office of Water

PN Public Notification

PWS Public Water System

RTC Return to Compliance

SDWASafe Drinking Water Act

SDWIS Safe Drinking Water Information System

SMCL Secondary Maximum Contaminant Level

SOC Synthetic Organic Chemical

SWTRSurface Water Treatment Rule

TCR Total Coliform Rule

TT Treatment Technique

TNCWS Transient Non-Community Water System

VOC Volatile Organic Chemical
1

Introduction

T

he Public Notification (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, published

in the Federal Register on May 4, 2000, modifies the minimum requirements PWSs must

meet regarding the form, manner, frequency, and content of public notices. States with

primary enforcement responsibility (primacy) must 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 two years after promulgation of the

final rule (by May 6, 2002). This guidance is designed to assist States in applying for

primacy revision for the Public Notification Rule. Information on the primacy revision

process—the procedures, timeframes, and content for submission of a State primacy

revision application package—are outlined in this document. This guidance is also

intended for use by EPA Regions as they review State primacy revision application

packages.

Public notification of drinking water violations 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

notice can also help consumers understand rate increases and support increased funding

for drinking water treatment and protection. EPA believes the new requirements make

it easier for systems to provide consumers with more accurate and timely information on

violations and the seriousness of any potential adverse health effects. 

To aid water systems in implementing the revised regulation, EPA and the

Association of State Drinking Water Administrators (ASDWA) developed a Public

Notification Handbook (EPA 816-R-00-010). The Handbook contains templates for notices

and other aids to help water systems develop notices for violations and other situations.

By explaining the revised PN Rule and providing specific examples of notices in the

Handbook, EPA hopes to streamline the public notification process and enhance water

systems’ ability to comply with Federal and State requirements. EPA also encourages

States to incorporate the Handbook into their public notification program. 

EPA encourages States, where possible, to adopt and implement the PN Rule

together with the Consumer Confidence Report (CCR) rule since these two rules are

interrelated public right-to-know provisions. EPA believes that consumers have a right to

know what is in their drinking water and where it comes from before they turn on the tap.

The PN and CCR Rules provide mechanisms to transmit this information to consumers.

The CCR Rule requires community water systems (CWSs) to provide customers with
2

annual reports explaining the source of their drinking water and the steps taken by the

system to deliver safe drinking water to their homes. This includes information on

compliance with existing Federal and State standards, likely sources of detected

contaminants, and potential health effects of violations. The PN Rule gives water systems

the option of providing an annual notice listing all Tier 3 violations occurring during the

previous year, as long as the notice is distributed no later than one year after the earliest

of the included violations. In some cases, a CWS may be able to use its CCR as the

annual report to give the initial public notice for less serious violations identified as Tier

3. 

This document provides guidance to EPA Regions and States exercising primary

enforcement responsibility under the Safe Drinking Water Act (SDWA) concerning how

EPA interprets the Public Notification Rule under 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. 

The SDWA provisions and EPA regulations described in this document contain

legally binding requirements. This document does not substitute for those provisions or

regulations, nor is it a regulation itself. Thus 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 decisionmakers 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, and EPA will consider whether or not the recommendations or

interpretations in the guidance are appropriate in that situation. EPA may change this

guidance in the future.
3

Section I. Rule Requirements

A. Key Dates

Public notice of drinking water violations and other situations provides a means to

protect public health. Public notification regulations were first issued in 1976 and revised

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 existing public notification provisions to better target

notices for serious violations posing a short-term exposure risk to health and to make the

existing notification process less burdensome and more effective. 

EPA published final regulations to revise the minimum requirements PWSs must

meet regarding the form, manner, frequency, and content of public notices in the Federal

Register on May 4, 2000 (65 FR 25981). The new regulations under Part 141, Subpart

Q apply to public water systems in jurisdictions where EPA directly implements the

program as of October 31, 2000. The provisions under Subpart Q will not apply to public

water systems in States with primacy for the public water system supervision (PWSS)

program until May 6, 2002 or until the State-adopted rule becomes effective, whichever

is sooner. Until the new regulations under Part 141, Subpart Q apply, public water

systems must continue to comply with the public notification requirements under §141.32.

The revised PN Rule amended the CCR Rule as well as various provisions in 40

CFR Part 141, to make these rules consistent with the final PN Rule. Changes to the

CCR Rule became effective on June 5, 2000, the date the PN Rule became effective.

Three content changes made to better align the CCR Rule with the PN Rule are:

< The three Appendices to Subpart O, which contain various pieces of information

about the contaminants that EPA regulates, are deleted and the information is

combined into a new, comprehensive Appendix A to Subpart O. As a result of this

change, a number of references in the CCR Rule to the three appendices are

revised to reflect the new Appendix A. As new rules are promulgated that change

the information in Appendix A, EPA will maintain an updated version of Appendix

A on its website at www.epa.gov/safewater/tables.html. This will eliminate the

need to republish the entire appendix in each final rule that changes the

information it contains. 

< The new Appendix A to Subpart O contains regulatory and health effects

information on each of the disinfectants and disinfection byproducts regulated in

the Stage 1 D/DBP rule that EPA published in December 1998. Although systems

will not be required to include information on these contaminants in their CCRs

until after the effective date of the new Stage 1 D/DBP regulations, some systems

may choose to do so earlier. 

< The standard health effects language for fluoride in the current CCR regulations

is revised to be identical to the health effects language required for violation of the

fluoride maximum contaminant level (MCL) in the PN Rule.
4

B. Key Elements of the Revised Public Notice Regulation

B.1. Who Must Give Notice

[40 CFR 141.201]

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 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. 

B.2. Public Notice Tiers 1, 2, and 3

[40 CFR 141.202(a) & (b), 141.203(a) & (b), and 141.204(a) & (b)]

The PN Rule assigns violations of drinking water standards and other situations

into three tiers based upon the risk of adverse health effects:

• Tier 1, for NPDWR violations and situations with significant potential to have

serious adverse effects on human health as a result of short-term exposure.

Notice is required within 24 hours of the violation or situation.

• Tier 2, for other NPDWR violations and situations with potential to have

serious adverse effects on human health. Notice is required within 30 days

of the violation or situation, with an extension of up to three months at the

discretion of the primacy agency.

• Tier 3, for all other NPDWR violations and situations requiring a public

notice not included in Tier 1 and Tier 2. Notice is required within 12 months

of the violation or situation.

The tier to which a violation or other situation is assigned determines the form,

content, and frequency of the public notice. EPA believes this linkage will allow water

systems to effectively tailor the public notice to the health risk from each violation. 

In general, public notice is required for any of the following violations:

• Exceedances of MCLs or maximum residual disinfectant levels (MRDLs);

• Violation of treatment techniques;

• Monitoring and testing procedure violations; and 

• Failure to comply with the schedule of a variance or exemption. 
5

Other situations (not violations) which require public notice include:

• Operation under a variance or exemption; 

• Occurrence of a waterborne disease outbreak or other waterborne

emergency;

• Exceedance of the fluoride secondary MCL (SMCL);

• Availability of unregulated contaminant monitoring results; and

• Exceedance of the nitrate MCL in non-community water systems (NCWSs)

that have been granted permission by the State to continue to exceed the

nitrate MCL of 10 mg/l (although they may not exceed 20 mg/l).

Primacy agencies may require notice for other violations and situations. Table 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 of the PN

Rule.

Table 1 - Violations and Situations Requiring Public Notice

Tier 1 Violations and Other Situations Requiring Notice Within 24 Hours*

1. Violation of the MCL for total coliform, when fecal coliform or E. coli are present in the water distribution system, or

failure to test for fecal coliform or E. coli when any repeat sample tests positive for coliform;

2. Violation of the MCL for nitrate, nitrite, or total nitrate and nitrite; or when a confirmation sample is not taken

within 24 hours of the system’s receipt of the first sample showing exceedance of the nitrate or nitrite MCL;

3. Exceedance of the nitrate MCL (10 mg/l) by non-community water systems, where permitted to exceed the MCL (up

to 20 mg/l) by the primacy agency;

4. Violation of the MRDL for chlorine dioxide, when one or more of the samples taken in the distribution system on

the day after exceeding the MRDL at the entrance of the distribution system, or when required samples are not taken

in the distribution system;

5. Violation of the turbidity MCL of 5 NTU, where the primacy agency 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;

6. Violation of the treatment technique requirement resulting from a single exceedance of the maximum allowable

turbidity limit, where the primacy agency 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;

7. Occurrence of a waterborne disease outbreak, as defined in 40 CFR 141.2, or other waterborne emergency; and

8. 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. 

* If the system has any of these violations or situations, in addition to issuing public notice, it must initiate

consultation with the primacy agency 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 primacy agency. EPA and

most States now have voice mail 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. 
Table 1 - Violations and Situations Requiring Public Notice

6

Tier 2 Violations Requiring Notice Within 30 Days**

1. All violations of MCL, MRDL, and treatment technique requirements except where Tier 1 notice is required;

2. Violations of the monitoring requirements where the primacy agency determines that a Tier 2 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.

** If the system exceeds the maximum allowable turbidity level, as identified in Appendix A of the PN Rule, it must

consult with the primacy agency as soon as practical but no later than 24 hours after learning of the violation. 

 

Note: Consult with the primacy agency means that the system has a discussion with the primacy agency about the

violation. If the system does not have a consultation with the primacy agency 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

1. Monitoring violations, except where a Tier 1 notice is required or the primacy agency determines that the violation

requires a Tier 2 notice;

2. Failure to comply with an established testing procedure, except where a Tier 1 notice is required or the primacy

agency determines that the violation requires a Tier 2 notice;

3. Operation under variance granted under §1415 or exemption granted under §1416 of the Safe Drinking Water Act;

4. Availability of unregulated contaminant monitoring results; and

5. Exceedance of the secondary maximum contaminant level for fluoride.

B.3. Minimum Delivery Requirements for Public Notice

[40 CFR 141.202(c), 141.203(c), and 141.204(c)]

The revised 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. 

Section 141.202(c) of the final rule 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, or another minimum

delivery method specified in writing by the primacy agency. 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 minimum method within the 24-

hour period, including all residential, transient, and non-transient users of the water. The

added flexibility is a change from the existing rule which required systems to provide an

initial notice in all cases by electronic media and subsequent notices were to be delivered

first by newspaper and later on by mail.
7

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

at §141.203(c); requirements for Tier 3 notification are at §141.204(c). The final 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.

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).

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 [§141.203(b) and §141.204(b)]. Generally, a violation or situation is considered

to be resolved when the system has returned to compliance as defined by the regulation

in question; however systems may wish to contact their primacy agency to determine

whether a violation or situation is resolved. 

For both CWSs and NCWSs, there may be a few cases where a system may be

able to reach all persons served with the first method chosen. For example, at a gas

station posting would be sufficient to reach all persons served. In such cases, the system

may not need to use additional methods. Additionally, community water systems must

notify every new billing unit or new customer of any ongoing violations for which notice

has previously been issued. Section 141.206(b) of the final rule deals specifically with

non-community systems, and requires them to post public notices for as long as the

violation or situation lasts in order to reach new consumers. 

Table 2 on the next page summarizes the minimum delivery requirements

prescribed for Tier 1, 2, and 3 notices.
8

Table 2 - Requirements for Issuing Public Notice

Violation Requirements

Tier 1 

Deadline for Notice: 24 Hours *

Delivery Methods: PWSs are required to use, at a minimum, one or more

of the following methods:

1) Appropriate broadcast media (radio or television), 

2) Posting, 

3) Hand delivery, or 

4) Another delivery method approved in writing by the primacy agency.

Tier 2 

Deadline for Notice: 30 Days ** 

Delivery Methods: Unless directed by the State in writing, a PWS must

provide notice by the following methods: 

CWS: 1) Mail or other direct delivery (i.e., hand), and

2) Any other method reasonably calculated to reach

other persons regularly served, if they would not 

normally be reached by the method above.

NCWS: 1) Posting, or mail, or direct delivery, and

2) Any other method reasonably calculated to reach

other persons regularly served, if they would not

normally be reached by the method above.

Tier 3 

Deadline for Notice: 1 Year *** 

Delivery Methods: Unless directed by the State in writing, a PWS must

provide notice by the following methods: 

CWS: 1) Mail or other direct delivery (i.e., hand), and

2) Any other method reasonably calculated to reach

other persons regularly served, if they would not 

normally be reached by the method above.

NCWS: 1) Posting, or mail, or direct delivery, and

2) Any other method reasonably calculated to reach

other persons regularly served, if they would not

normally be reached by the method above.

* Systems must initiate consultation with the primacy agency during this period.

** Systems with turbidity MCL violations based on the average of samples over two days or with

turbidity single exceedance treatment technique violations must consult with the primacy

agency within 24 hours after learning of the violation.

*** EPA recommends consolidating all Tier 3 violations and situations occurring within a given year

into an annual notice.
9

B.4. 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

[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 minimum 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 providing copies of the notice to landlords to distribute to their tenants

would help reach those people. In addition to hand delivery of notices to consumers, a

NCWS could post public notices to reach visitors or newcomers who were not present

when the initial notices were distributed. 

The rule also requires inclusion of standard language in the notice to encourage

those receiving the notice to distribute it to other persons who may drink the water

[141.205(d)(2)]. 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.”

Consecutive Systems [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 “parent”

systems; purchasing systems are referred to as “consecutive” systems.) The parent

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 parent 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 it serves 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 it is notified

of the violation or situation. This could have a “multiplying” effect, for instance, where a

system purchases water, then sells some of this water to another system—in a Tier 1

situation, 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 parent system to notify all consumers of consecutive systems by
10

broadcasting the notice over television or radio, or for the systems to issue joint notices.

In general, parent 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 parent and consecutive systems agree

on, and specify in their contracts, the most effective approach for distributing public

notices. 

Limited Distribution of Notices [141.201(c)(2)]

The PN Rule provides States with the flexibility to allow a water system to limit

distribution of the public notice to only persons served by that portion of the system which

is out of compliance in cases where the 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 State must provide permission for limiting distribution of the

notice in writing.

Copy of Notice to Primacy Agency [141.201(c)(3)]

A copy of the notice must also be sent to the primacy agency, in accordance with

the requirements under 141.31(d).

Notice to New Billing Units [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.

Notice by the Primacy Agency on Behalf of the System [141.210]

The primacy agency may give public notice on behalf of the PWS if all public

notification requirements are met. The owner or operator of the PWS remains responsible

for ensuring that the public notification requirements are met.

B.5. Content of a Public Notice - Ten Required Elements 

[40 CFR 141.205(a)]

With the exception of special notices described in Section B.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) Description of the violation or situation including contaminant(s) of concern

and (as applicable) the contaminant level(s);
11

2) When the violation or situation occurred;

3) Any potential adverse health effects from the violation or situation, using

standard language provided in the rule;

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; and

10) A statement encouraging notice recipients to distribute the notice to other

persons served using standard language from the rule, where applicable.

Some required elements may not be applicable to a violation; however, the system

must still address these elements in the notice. For example, if it is unnecessary for

consumers to boil their water or drink bottled water, the system should tell them they do

not need to do so. 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 primacy agency 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 the population at risk (e.g., children, 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, a few days for an E. coli

violation or months for failure to install corrosion control. Public notice is required for as

long as the violation or other situation persists. When the problem is resolved, EPA

recommends that a system issue a follow-up notice.

Some situations, such as waterborne emergencies, may not have mandatory health

effects language, but systems must still describe potential health effects. A PWS may

be able to adapt the language from a treatment technique or MCL violation. Figure 1

contains an example showing how all the required content elements fit into a notice for

a violation. 
12

IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER

Tests Showed Presence of Coliform Bacteria

Our water system recently violated a drinking water standard. Although this

incident was not an emergency, as our customers, you have a right to know

what happened and what we did to correct this situation.

The Jonesville Mobile Home Park routinely monitors for drinking water

contaminants. In July, we took a total of 20 samples to test for the presence

of coliform bacteria. Three (3) of our samples tested positive. The standard

is that no more than one (1) sample per month may test positive.

What should I do?

•You do not need to boil your water or take other corrective actions.

However, if you have specific health concerns, consult your doctor.

People with severely compromised immune systems, infants, and some

elderly may be at increased risk. These people should seek advice about

drinking water from their health care providers. General guidelines on ways

to lessen the risk of infection by microbes are available from EPA’s Safe

Drinking Water Hotline at 1 (800) 426-4791.

What does this mean?

This is not an emergency. If it had been, you would have been notified

immediately. Coliform bacteria are generally not harmful themselves.

Coliforms are bacteria which are naturally present in the environment and

are used as an indicator that other, potentially-harmful, bacteria may be

present. Coliforms were found in more samples than allowed and this was a

warning of potential problems.

Usually, coliforms are a sign that there could be a problem with our

treatment or distribution system (pipes). Whenever we detect coliform

bacteria in any sample, we do follow-up testing to see if other bacteria of

greater concern, such as fecal coliform or E. coli, are present. We did not

find any of these bacteria in our subsequent testing, and further testing

shows that this problem has been resolved.

What happened? What was done?

We took additional samples for coliform bacteria which all came back

negative. As an added precaution, we chlorinated and flushed the pipes in

the distribution system to make sure bacteria were eliminated. This situation

is now resolved.

For more information, please contact John Jones of the Jonesville Mobile

Home Park at 555-1212 or the manager’s office or write to 1200 Jonesville

Rd., Jonesville, ST 12345.

Please share this information with all the other people who drink this water,

especially those who may not have received this notice directly (for example,

people in apartments, nursing homes, schools, and businesses). You can do

this by posting this notice in a public place or distributing copies by hand or

mail.

This notice is being sent to you by the Jonesville Mobile Home Park

State Water System ID# 12345. Sent: 8/8/99.

Figure 1

The Required Elements of a Public Notice

1) Description

of the

violation or

situation

2) When the

violation or

situation

occurred

3) Potential

health

effects

6) Actions

consumers

should take

7) What is

being done

to correct

the

violation or

situation

10) Standard

distribution

language

5) Whether

alternate

water

supplies

should

be used

4) The

population

at risk

8) When the

system

expects to

return to

compliance

9) Name,

number,

and

business

address for

more

information
13

B.6. Variances and Exemptions

[40 CFR 141.204(b)(1) and 141.205(b)]

Systems operating under a variance or exemption must notify their consumers

within one year of obtaining a 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:

(i) an explanation of the reasons for the variance or exemption,

(ii) the date on which the variance or exemption was issued, 

(iii) brief report on the steps the system is taking to comply with the terms of the

variance or exemption, and 

(iv) 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 public

notice containing the ten elements specified in §141.205(a) of the PN Rule [40 CFR

141.205(b)].

B.7. Multilingual Requirements

[40 CFR 141.205(c)(2)]

The PN Rule also established 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 are available. The primacy agency

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.

EPA expects systems to rely on knowledge of their consumer base or contacts with

community representatives. As a guideline in making such a determination, some states

have used a threshold of ten percent of the population or 1,000 people, whichever is less,

for providing multilingual information in their CCRs. A possible source of information on

the languages spoken in a locale is the U.S. Census Bureau’s website,

factfinder.census.gov, 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.

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 educational.

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
14

strongly recommended for Tier 1 notices and for other violations that pose a serious

health risk.

B.8. Standard Language for Public Notices

[40 CFR 141.205(d)]

The PN Rule contains mandatory health effects language for MCL and treatment

technique violations and standard language for monitoring violations and distribution of

the notice to all persons served.

• Appendix B of the PN Rule specifies health effects language for MCL and

MRDL violations, treatment technique 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. Systems should

also describe potential health effects for other situations, if any, even if there

is no mandatory language [141.205(d)(1)].

• The following language must be included for all monitoring violations

(including testing procedure violations) [141.205(d)(2)]:

“We are required to monitor your drinking water for specific contaminants

on a regular basis. Results of regular monitoring are an indicator of

whether or not your drinking water meets health standards. During

[compliance period], we [‘did not monitor or test’ or ‘did not complete all

monitoring or testing’] for [contaminant(s)], and therefore cannot be sure

of the quality of your drinking water during that time.” 

• The following language to encourage distribution of the notice to all persons

served must be included in all notices, where appropriate [141.205(d)(3)]:

“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.”

B.9. Special Notices for Unregulated Contaminant Monitoring,

Fluoride SMCL Exceedances, and Nitrate Exceedances

Above the MCL by NCWSs

[40 CFR 141.207, 141.208, and 141.209]

The PN Rule specifies different content requirements for public notices of the

availability of unregulated contaminant monitoring data, for fluoride SMCL exceedances,

and for nitrate exceedances above the MCL by NCWSs.

C Unregulated contaminant monitoring [§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
15

monitoring are available and give a phone number to call for those results. The ten

elements of a public notice 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.

C Fluoride [§141.208]: CWSs that exceed the SMCL of 2 mg/l for fluoride but do not

exceed the MCL of 4 mg/l must provide public notice containing the special fluoride

language shown below. Systems do not need to include the ten elements

identified in Section B.5 of this guidance, as these are addressed in the language.

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. 

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/l) of fluoride may develop cosmetic discoloration of their permanent teeth

(dental fluorosis). The drinking water provided by your community water system

[name] has a fluoride concentration of [insert value] mg/l.

Dental fluorosis, in its moderate or severe forms, may result in a brown staining

and or pitting of the permanent teeth. This problem occurs only in developing teeth,

before they erupt from the gums. Children under nine should be provided with

alternative sources of drinking water or water that has been treated to remove the

fluoride to avoid the possibility of staining and pitting of their permanent teeth. You

may also want to contact your dentist about proper use by young children of

fluoride-containing products. Older children and adults may safely drink the water.

Drinking water containing more than 4 mg/l of fluoride (the 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/l of fluoride,

but we’re 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 NSF International at 1-877-8-

NSF-HELP.

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 primacy

agency 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 §141.204(c) and (d)(1) and (d)(3) of the rule. 
16

• Nitrate exceedances above the MCL by NCWSs [§141.209]: The owner or

operator of a NCWS granted permission by the State 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). 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 141.202(c) and the content requirements under §141.205.

B.10. Formatting Requirements for Public Notices

[40 CFR 141.205(c)(1)]

All public notices must meet certain formatting standards. These requirements

help prevent the notice from being buried in a newspaper and help ensure that

consumers can easily understand the notice. Notices must: 

T Be displayed in a conspicuous way (where printed or posted);

T Not contain overly technical language or very small print;

T Not be formatted in a way that defeats the purpose of the notice; and

T Not contain language which nullifies the purpose of the notice.

B.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 to the State a

certification that it has fully complied with the public notification regulations. A PWS must

include with the certification a representative copy of each type of notice distributed,

published, posted, or made available to the persons served by the system and to the

media (e.g., press release to TV/radio, mail notices). A sample certification “box” with

appropriate language, suitable for checking off required activities as a PWS completes

them is provided on the next page. The box is not mandatory (only a statement is);

however, it is a useful tool for tracking and noting required activities. 
17

PWS Name: [system name] 

PWS-ID #: [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].

G Consultation with primacy agency (if required) on [insert date] .

 

G Notice distributed by [insert method] on [date] .

 

G Notice distributed by [insert method] on [date] .

G Content - 10 elements

Signature of owner or operator_____________________________________

Date ____________________

B.12. Changes to Other Rules

The revised PN Rule amended the CCR Rule as well as various provisions in 40

CFR Part 141, to make these rules consistent with the final PN Rule.

Changes to the CCR Rule

Changes to the CCR Rule became effective June 5, 2000. Four changes made to

better align the CCR Rule with the PN Rule are:

< Appendices A, B, and C to Subpart O, which contain various pieces

of information about the contaminants that EPA regulates, are

deleted and the information is combined into a new, comprehensive

Appendix A to Subpart O. As new rules are promulgated that

change the information in Appendix A, EPA will maintain an updated

version of Appendix A on its website at

www.epa.gov/safewater/tables.html. This will eliminate the need to

republish the entire appendix in each final rule that changes the

information it contains.

< The new Appendix A to Subpart O contains regulatory and health

effects information on each of the disinfectants and disinfection

byproducts regulated in the Stage 1 D/DBP rule that EPA published

in December 1998. Although systems will not be required to include
18

information on these contaminants in their CCRs until after the

effective date of the new Stage 1 D/DBP regulations, some systems

may choose to do so earlier. EPA added information on the following

regulated contaminants to the CCR Rule: 

1) total organic carbon

2) bromate

3) chloramines

4) chlorine

5) chlorine dioxide

6) chlorite

7) haloacetic acids

< The standard health effects language for fluoride in the current CCR

regulations is revised to be identical to the health effects language

required for violation of the fluoride MCL in the PN Rule.

< The recordkeeping requirement for community water systems

specified in 40 CFR 141.155(h), Report Delivery and Recordkeeping,

of the current CCR regulation is revised. Community water systems

will be required to retain copies of its CCR for three years instead of

five years.

Table 3 summarizes the information added to Appendix A of the CCR Rule for

fluoride and the seven Stage 1 D/DBP regulated contaminants.

Changes to 40 CFR Part 141

The revised PN Rule consolidated several ongoing public notification requirements

into the new public notification regulations in Subpart Q of 40 CFR Part 141. The final

Subpart Q now provides in one place a complete and easily referenced set of public

notification requirements. The amendments to various provisions in 40 CFR Part 141

included changing the public notification references to the new Subpart Q and modifying

the language to be consistent with the final public notification regulations. These

changes did not substantively alter the existing requirements. Table 4 summarizes the

changes made to 40 CFR Part 141.
19

Table 3 - Summary of Changes to the CCR Rule:

Appendix A - Regulated Contaminants

Contaminant 

(units)

traditional

MCL in 

mg/L

to

convert 

for CCR, 

multiply

by

MCL

 in CCR

units

MCLG

Major

Sources in 

Drinking 

Water

Health Effects

Language

Microbiological Contaminants

Total organic

carbon

(ppm)

TT - TT n/a

Naturally

present in the

environment

Total organic carbon (TOC) has no

health effects. However, total organic

carbon provides a medium for the

formation of disinfection byproducts.

These byproducts include

trihalomethanes (THMs) and

haloacetic acids (HAAs). Drinking

water containing these byproducts in

excess of the MCL may lead to

adverse health effects, liver or kidney

problems, or nervous system effects,

and may lead to an increased risk of

getting cancer. 

Inorganic Contaminants

Fluoride

(ppm) 4 - 4 4

Erosion of

natural

deposits; 

Water

additive which

promotes

strong teeth;

Discharge

from fertilizer

and aluminum

factories

Some people who drink water

containing fluoride in excess of the

MCL over many years could get bone

disease, including pain and

tenderness of the bones. Fluoride in

drinking water at half the MCL or

more may cause mottling of children’s

teeth, usually in children less than nine

years old. Mottling, also known as

dental fluorosis, may include brown

staining and/or pitting of the teeth,

and occurs only in developing teeth

before they erupt from the gums.

Bromate

(ppb) 0.010 1000 10 0

By-product of

drinking water

chlorination 

Some people who drink water

containing bromate in excess of the

MCL over many years may have an

increased risk of getting cancer.

Chloramines

(ppm)

MRDL

 = 4 -

MRDL 

= 4

MRDLG

 = 4

Water

additive used

to control

microbes

Some people who use water

containing chloramines well in excess

of the MRDL could experience

irritating effects to their eyes and

nose. Some people who drink water

containing chloramines well in excess

of the MRDL could experience

stomach discomfort or anemia.
Table 3 - Summary of Changes to the CCR Rule:

Appendix A - Regulated Contaminants

Contaminant 

(units)

traditional

MCL in 

mg/L

to

convert 

for CCR, 

multiply

by

MCL

 in CCR

units

MCLG

Major

Sources in 

Drinking 

Water

Health Effects

Language

20

Chlorine 

(ppm) MRDL

 = 4 -

MRDL 

= 4

MRDLG

 = 4

Water

additive used

to control

microbes

Some people who use water

containing chlorine well in excess of

the MRDL could experience irritating

effects to their eyes and nose. Some

people who drink water containing

chlorine well in excess of the MRDL

could experience stomach discomfort.

Chlorite

(ppm) 1 - 1 0.8

By-product of

drinking water

chlorination

Some infants and young children who

drink water containing chlorite in

excess of the MCL could experience

nervous system effects. Similar

effects may occur in fetuses of

pregnant women who drink water

containing chlorite in excess of the

MCL. Some people may experience

anemia.

Chlorine

dioxide 

(ppb)

MRDL

 = .8 1000 MRDL

 = 800

MRDLG

 = 800

Water

additive used

to control

microbes

Some infants and young children who

drink water containing chlorine dioxide

in excess of the MRDL could

experience nervous system effects.

Similar effects may occur in fetuses of

pregnant women who drink water

containing chlorine dioxide in excess

of the MRDL. Some people may

experience anemia.

Volatile Organic Contaminants

Haloacetic

Acids (HAA)

(ppb)

.060 1000 60 n/a By-product of

drinking water

disinfection

Some people who drink water

containing haloacetic acids in excess

of the MCL over many years may

have an increased risk of getting

cancer.
21

Table 4 - Summary of Other Changes to CFR to Be Consistent With The Final

Public Notification Rule (Part 141, Subpart Q)

 CFR

Section

Subject Subpart Q

Reference

(where

applicable)

Change

§141.6(c),

§141.6(g)

Effective dates

“The regulations set forth in . .

.§141.32(b)(3) and §141.32(d) shall take

effect immediately upon promulgation. . .

The regulations contained in

§141.32(e)(16), (25-27), and (46) . . . are

effective January 1, 1993.”

§141.201 Delete all reference

to §141.32. 

Effective dates for

new Subpart Q are

contained in

§141.201

introductory

paragraph.

§141.11(d)

Nitrate levels in

non-community

systems

“At the discretion of the State, nitrate

levels not to exceed 20 mg/l may be

allowed in a non-community water system

if the supplier of water demonstrates. . .

that (1) Such water will not be available to

children under 6 months of age; and (2)

There will be continuous posting of the fact

that nitrate levels exceed 10 mg/l and the

potential health effects of exposure; and

local and State public health authorities will

be notified annually of nitrate levels. . . and

(4) No adverse health effects shall result.”

§141.209 Change

§141.11(d)(2) to

require that

systems meet PN

requirements under

§141.209. 

Add new special

notice (§141.209),

require Tier 1

notification and the

ten elements

required for

violations.

§141.21(g)(1)

Total coliform

MCL

“A public water system which has

exceeded the MCL for total coliform in

§141.63 must report the violation to the

State no later than the end of the next

business day after it learns of the violation,

and notify the public in accordance with

§141.32.” 

§141.203

(Tier 2) 

and

§141.204

(Tier 3)

Change reference

to “§141.32" to

“subpart Q.”

§141.21(g)(2)

Coliform

monitoring

“A public water system which has failed to

comply with a coliform monitoring

requirement, including the sanitary survey

requirement, must report the monitoring

violation to the State within ten days after

the system discovers the violation, and

notify the public in accordance with

§141.32.”

§141.204 

(Tier 3) 

or 

§141.202 

(Tier 1)

Change reference

to “§141.32" to

“subpart Q.” 

§141.22(b)

Turbidity MCL

“If the monthly average of the daily

samples exceeds the maximum allowable

limit or if the average of 2 samples taken

on consecutive days exceeds 5 NTU. . .

report to the state and notify the public as

directed in §141.31 and §141.32.”

§141.203 

(Tier 2)

Change reference

to “§141.32" to

“subpart Q.” 
Table 4 - Summary of Other Changes to CFR to Be Consistent With The Final

Public Notification Rule (Part 141, Subpart Q)

 CFR

Section

Subject Subpart Q

Reference

(where

applicable)

Change

22

§141.23(f)(2)

Confirmation

sample for nitrate

and nitrite

“Where nitrate or nitrite sampling results

indicate an exceedance of the maximum

contaminant level, the system shall take a

confirmation sample within 24 hours. . .

Systems unable to comply with the 24-

hour sampling requirement must

immediately notify consumers served . . .

in accordance with §141.32. . .”

§141.202 

(Tier 1)

Change reference

to “§141.32" to

“§141.202 and

meet other

requirements under

Subpart Q of this

part.”

Change

“consumers” to

“persons.”

Add this

requirement to

§141.202 along

with that for nitrate

MCLs (item 2 of

Table 1). 

§141.23(I)(4),

§141.24(f)(15)(iii),

§141.24(h)(11)(iii)

Public notice to

the area affected

for inorganics,

VOCs, and SOCs

“If a public water system has a distribution

system separable from other parts of the

distribution system with no

interconnections, the State may allow the

system to give public notice to only the

area served by that portion of the system

which is out of compliance.”

Subpart Q Delete these

sections since

parallel

requirements are

included in

§141.201(c)(2).

§141.23(n)

Inorganics MCL

“When the average of four analyses. . .

exceeds the maximum contaminant level,

the supplier of water shall notify the State

pursuant to §141.31 and give notice to the

public pursuant to §141.32.”

§141.203 

(Tier 2)

Change “§141.32"

to “Subpart Q.”

§141.23(o)

Nitrate MCL

“. . .When a level exceeding the maximum

contaminant level for nitrate is found, a

second analysis shall be initiated within 24

hours, and if the mean of the two analyses

exceeds the maximum contaminant level,

the supplier of water shall report his

findings to the State pursuant to §141.31

and shall notify the public pursuant to

§141.32.”

§141.202

 (Tier 1)

Change “§141.32"

to “Subpart Q.”
Table 4 - Summary of Other Changes to CFR to Be Consistent With The Final

Public Notification Rule (Part 141, Subpart Q)

 CFR

Section

Subject Subpart Q

Reference

(where

applicable)

Change

23

§141.26(a)(4)

Gross alpha or

total radium MCL

“If the average annual maximum

contaminant level for gross alpha particle

activity or total radium . . .is exceeded, the

supplier . . . shall give notice to the State

pursuant to §141.31 and notify the public

as required by §141.32.”

§141.203

 (Tier 2)

Change “§141.32"

to “Subpart Q.”

§141.26(b)(5)

Man-made

radiation MCL

“If the average annual maximum

contaminant level for man-made

radioactivity . . .is exceeded, the supplier

. . . shall give notice to the State pursuant

to §141.31 and notify the public as

required by §141.32.”

§141.203

 (Tier 2)

Change “§141.32"

to “Subpart Q.”

§141.30(d) 

TTHM MCL

“If the average of samples covering any 12

month period exceeds the Maximum

Contaminant Level, the supplier of water

shall report to the State pursuant to

§141.31 and notify the public pursuant to

§141.32.”

§141.203 

(Tier 2)

Change “§141.32"

to “Subpart Q.”

§141.63(b) 

Total coliform

MCL (fecal

positive repeat

sample)

“For purposes of the public notification

requirements in §141.32, this is a violation

that may pose an acute risk to health.”

§141.202

 (Tier 1)

Change “§141.32"

to “Subpart Q.”

§141.75(a)(5)(ii) 

SWTR reporting

requirements

(unfiltered

systems)

“If at any time turbidity exceeds 5 NTU,

the system must inform the State as soon

as possible, but no later than the end of

the next business day.”

§141.203(b)(3) Change

§141.75(a)(5)(ii) to

require consultation

with the primacy

agency after

turbidity

exceedance above

5 NTU, as soon as

practical but no

later than 24 hours

in accordance with

the public

notification

requirements under

§141.203(b)(3).
Table 4 - Summary of Other Changes to CFR to Be Consistent With The Final

Public Notification Rule (Part 141, Subpart Q)

 CFR

Section

Subject Subpart Q

Reference

(where

applicable)

Change

24

§141.75(b)(3)(ii) 

SWTR reporting

requirements

(filtered systems)

“If at any time turbidity exceeds 5 NTU,

the system must inform the State as soon

as possible, but no later than the end of

the next business day.”

§141.203(b)(3) Change

§141.75(b)(3)(ii) to

require consultation

with the primacy

agency after

turbidity

exceedance above

5 NTU, as soon as

practical but no

later than 24 hours

in accordance with

the public

notification

requirements under

§141.203(b)(3).

§141.133(b)(1)

TTHMs and HAA5

MCLs

“If the running annual arithmetic average of

quarterly averages covering any

consecutive four-quarter period exceeds

the MCL, the system is in violation of the

MCL and must notify the public pursuant to

§141.32. . .”

§141.203

(Tier 2)

Change “§141.32"

to “Subpart Q.”

§141.133(b)(2)

Bromate MCL

“If the average of samples covering any

consecutive four-quarter period exceeds

the MCL, the system is in violation of the

MCL and must notify the public pursuant to

§141.32. . .”

§141.203 

(Tier 2)

Change “§141.32"

to “Subpart Q.”

§141.133(b)(3)

Chlorite MCL

“If the arithmetic average of any three

sample set exceeds the MCL, the system

is in violation of the MCL and must notify

the public pursuant to §141.32. . .”

§141.203

 (Tier 2)

Change “§141.32"

to “Subpart Q.”

§141.133(c)(1)

Chlorine and

chloramines

MRDL

“If the average of quarterly averages

covering any consecutive four-quarter

period exceeds the MRDL, the system is

in violation of the MRDL and must notify

the public pursuant to §141.32. . .”

§141.203 

(Tier 2)

Change “§141.32"

to “Subpart Q.”
Table 4 - Summary of Other Changes to CFR to Be Consistent With The Final

Public Notification Rule (Part 141, Subpart Q)

 CFR

Section

Subject Subpart Q

Reference

(where

applicable)

Change

25

§141.133(c)(2)(i)

Chlorine dioxide

MRDL

“If any daily sample taken at the

entrance to the distribution system

exceeds the MRDL, and on the following

day one (or more) of the three

samples. . . exceed the MRDL, the

system must . . . notify the public

pursuant to the procedures for acute

health risks in §141.32(a)(1) (iii)(E). 

Failure to take samples in the distribution

system the day following an exceedance

of the chlorine dioxide MRDL. . .will also

be considered an MRDL violation and the

system must notify . . . in accordance

with the provisions for acute violations

under §141.32(a)(1)(iii)(E).”

§141.202

 (Tier 1)

Change

“§141.32(a)(1)(iii)

(E)” to “Subpart

Q.” 

§141.133(c)(2)(ii)

Chlorine dioxide

MRDL

“If any two consecutive daily samples

taken at the entrance to the distribution

system exceed the MRDL and all

distribution system samples are below

the MRDL, the system. . . will notify the

public pursuant to the procedures for

non-acute health risks in §141.32(e)(78). 

Failure to take samples in the distribution

system the day following an exceedance

of the chlorine dioxide MRDL at the

entrance to the distribution system . .is

also an MRDL violation and the system

must notify . . . in accordance with the

provisions for non-acute violations under

§141.32(e)(78).”

§141.203 

(Tier 2)

Change

“§141.32(e)(78)” to

“Subpart Q.” 

§141.175(c)(1)

IESWTR reporting

requirements

(filtered systems

using conventional

or direct filtration

treatment)

“If at any time the turbidity exceeds 1

NTU in representative samples of filtered

water in a system using conventional

filtration treatment or direct filtration, the

system must inform the State as soon as

possible, but no later than the end of the

next business day.”

§141.203(b)(3) Change

§141.175(c)(1) to

require consultation

with the primacy

agency after

turbidity

exceedance above

1 NTU, as soon as

practical but no

later than 24 hours

in accordance with

the public

notification

requirements under

§141.203(b)(3).
Table 4 - Summary of Other Changes to CFR to Be Consistent With The Final

Public Notification Rule (Part 141, Subpart Q)

 CFR

Section

Subject Subpart Q

Reference

(where

applicable)

Change

26

§141.175(c)(2)

IESWTR reporting

requirements

(filtered systems

using other than

conventional or

direct filtration

treatment)

“If at any time the turbidity in

representative samples of filtered water

exceed the maximum level set by the

State under §142.173(b) for filtration

technologies other than conventional

filtration treatment, direct filtration, slow

sand filtration, or diatomaceous earth

filtration, the system must inform the

State as soon as possible, but no later

than the end of the next business day.”

§141.203(b)(3) Change

§141.175(c)(2) to

require consultation

with the primacy

agency after

turbidity

exceedance above

the maximum level

set by the State, as

soon as practical

but no later than 24

hours in

accordance with

the public

notification

requirements under

§141.203(b)(3).

C. Use of an Annual Notice to Meet Tier 3 PN Requirements

C.1. Annual Notice by Non-Community Water Systems

A PWS must issue a notice for a Tier 3 violation or situation within 12 months of

learning of the violation or situation and must issue a repeat notice annually thereafter for

as long as the violation or situation exists [§141.204(b)]. Tier 3 public notices are required

for testing procedure violations, monitoring violations (except for failure to test for fecal

coliform or E. coli, or for monitoring violations where the primacy agency determines that

a Tier 2 notice is required), operation under a variance or exemption, and any other

violation or situation the primacy agency determines requires a Tier 3 notice. Systems

have the option of providing an annual notice summarizing all Tier 3 violations occurring

during the year instead of providing individual Tier 3 public notices. Given that the

majority of violations require a Tier 3 public notice, EPA believes the advantages of using

an annual notice for Tier 3 violations are reduced cost and more effective communication

with consumers. 

C.2. Annual Notice by Community Water Systems

The 1996 SDWA Amendments emphasized public accountability and disclosure

to consumers of basic information about their drinking water supply. The PN and CCR

Rules provide two vehicles by which consumers can obtain information about their

drinking water to help them make health decisions for themselves and their families.
27

Annual reports issued under the CCR Rule will give consumers information on where their

water comes from, what is in their drinking water, and the steps necessary to deliver safe

drinking water to their homes. The CCR Rule applies only to community water systems.

The PN Rule allows a CWS to consolidate notices for all Tier 3 violations and

situations occurring within a given year into an annual notice. A CWS has the option to

use the CCR as an annual vehicle for the initial Tier 3 notice and all required repeat

notices. States and systems should be aware that the timing and content requirements

of the PN Rule are stricter than those of the CCR Rule and any Tier 3 notices inserted in

the CCR must meet the PN requirements. For example, if a system chooses to include

Tier 3 notices in their CCR, the system must still meet the PN requirement that public

notice for Tier 3 violations be issued no later than 12 months from the date the violation

or situation occurred. This means that the CCR is appropriate for only those violations

and situations that occurred within the 12 months preceding the date the CCR is delivered

to consumers. In addition, the CCR must be provided to persons served that are not

necessarily only the billing customers who would receive the CCR. As specified in

§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 §141.204(b),

2) Distribute the CCR following the PN delivery requirements in §141.204(c),

and

3) Meet the PN requirements for content of Tier 3 public notices under

§141.205.
28

Section II. State Primacy Revision Applications

A. Primacy Revision Time Frame

The public notification requirements under 40 CFR Part 141, Subpart Q, became

effective June 5, 2000. However, public water systems will continue to comply with the

public notification requirements under §141.32 until the date the new Subpart Q

regulations go into effect in their State, Territory, Tribe, or the District of Columbia. Public

water systems in areas where EPA directly implements the drinking water program

(Wyoming, Washington DC, and on Indian lands) were required to comply with the

revised PN requirements as of October 31, 2000 (180 days after publication of the final

rule in the Federal Register). Public water systems in primacy States must comply with

the final rule no later than two years from the date of publication in the Federal Register

(May 6, 2002) or on the date the State adopted rule becomes effective, whichever is

sooner.

States must submit a primacy revision application following procedures outlined

in 40 CFR 142.12 (b) to (d) - Revision of State Programs, by May 6, 2002. EPA

encourages States to adopt regulations and submit complete and final primacy revision

application packages early to ensure timely approval. For the PN Rule, EPA recommends

States submit primacy revision applications to their Regions by February 2002, three

months before the required deadline. In certain circumstances, a State may be granted

additional time, up to two years, to submit its primacy revision application package. An

extension request must be submitted to EPA within the required two-year time frame (by

May 6, 2002) for the PN Rule. Section II, C provides additional information on extension

requests.

40 CFR 142, Subpart B, contains procedures for States to use as they obtain

and/or update primacy for the Public Water System Supervision (PWSS) program. States

(including eligible Indian Tribes) must follow these procedures to incorporate the revised

public notification regulations into their approved primacy program. Under

§142.10(b)(6)(v), each State, as a condition of primacy, must adopt and implement

adequate procedures to require public water systems to give public notice that is no less

stringent than the EPA public notification requirements. 

The Primacy Rule gives States two years (until May 6, 2002) to adopt the revised

PN Rule. On April 28, 1998, EPA updated the Primacy Rule to reflect modifications of the

procedures for obtaining and updating primacy made by the 1996 SDWA Amendments

(63 FR 23361). The updated Primacy Rule codified the new process for granting primary

enforcement to States while their applications to modify primacy programs are under

review (interim primacy). The updated Primacy Rule outlined the timing, process, and

contents of the State request for approval of all program revisions to adopt new and

revised regulations. New Section 142.12(e) explains that any State already having

primacy for all existing NPDWRs is considered to have interim primacy for a new or

revised regulation. This interim enforcement authority begins on the date the primacy
29

revision application is submitted in complete and final form or the effective date of the new

or revised State regulation, whichever is later, and ends when EPA makes a final

determination. The Primacy Rule also increased the time for a State to adopt a new or

revised Federal regulation from 18 months to two years. 

 A.1 Combining the PN and CCR Rules into One Primacy

Revision Application Package

States may combine or bundle primacy revision applications for any drinking water

regulations. The PN and CCR Rules are good candidates for bundling because the rules

have parallel requirements and bundling may reduce the burden of the primacy revision

process. 

Examples of parallel requirements in both the PN and CCR Rules include: 1) the

same mandatory language to describe potential health effects of violations, 2) the

requirement to incorporate multilingual information for a large proportion of non-English

speaking residents, 3) the requirement to provide information on unregulated contaminant

monitoring data, and 4) the requirement to inform consumers if a PWS is operating under

a variance or exemption. Additional areas of overlap, excluding content provisions,

include the requirements to adopt the rule as a condition of primacy and for systems to

provide certifications of compliance to the State. 

States may find submission of a combined primacy application package

advantageous because of the reduced paperwork and additional time to develop policies

and procedures for similar provisions of both rules. Any State that wanted to bundle the

PN and CCR Rules was required to submit either the combined primacy revision

application package or a request for an extension by August 21, 2000 - the required

submission date for CCR primacy revision applications. EPA recognizes that

promulgation of the PN Rule did not occur in sufficient time for some States to bundle

both rules and follow the regulatory process dictated by their State laws.

For those States that submitted an extension request by August 21, 2000, a

combined primacy application package must address each of the six elements of a

primacy revision application package described in Section II, E. Of those six elements,

States would only have to submit one State primacy revision checklist, one reporting and

recordkeeping checklist, and one Attorney General’s statement that addresses both rules.

Appendix B provides an example format for a combined primacy revision application

package. For States that choose to adopt and submit a separate primacy revision

application for the PN Rule, the process detailed in the regulations described in Section

II, A and B must be followed. 
30

B. State Program Revision - Review Process

EPA recommends a two-step process including submission of an optional draft and

a required complete and final request for program approval. 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. 

Draft Request - At its option, the State may submit a draft request for EPA

review and tentative determination. The request should contain drafts of all

required primacy application materials. EPA recommends that a draft

request be submitted within 9 months after rule promulgation or by

February 2001. EPA will make a tentative determination within 90 days on

whether the draft request is approvable and list any changes that must be

made before approval.

Complete and Final Request - This submission must be in accordance

with 40 CFR 142.12(c)(1) and(c)(2) and include an Attorney General’s

statement of enforceability. Submission of a final request that is not

preceded by a draft request may result in EPA requiring changes to final

State regulations or policies.

The Primacy Rule specifies that rule adoption and submission of a primacy

revision application should occur within 2 years after promulgation of the PN

Rule (by May 6, 2002). However, EPA suggests that States submit a

primacy revision application early (by February 2002) to allow time for any

changes needed to make the application “complete and final.” This will

ensure that States will have interim primacy within 24 months and will

prevent States from becoming backlogged with primacy revision

applications to adopt future federal requirements.

Final Review Process - Once a State application is complete and final,

EPA has a regulatory (and statutory) deadline of 90 days to review and

either approve or disapprove the revised program. The Office of Ground

Water and Drinking Water (OGWDW) will conduct detailed reviews of the

first State package submitted to each Region. The Regions should submit

their comments with the State package for Headquarters review. Where the

Regional review has identified all significant issues, Headquarters will waive

the review on the remainder of PN Rule applications in that Region.

OGWDW reserves the right to review additional packages for cause.

Because the drinking water rules can be complex and raise significant

implementation and enforcement issues, Regions are encouraged to

consult with Headquarters even on subsequent packages, where the

revision contains novel language or unique positions which may impact the

national program. The Office of General Counsel (OGC) and the Office of

Enforcement and Compliance Assurance (OECA) will not directly review the

packages, but will depend on the Office of Regional Counsel (ORC) to

conduct detailed reviews.
31

In order to meet the 90-day deadline for packages undergoing Headquarters

review, the review period will be equally split giving the Regions and Headquarters each

45 days to conduct their respective reviews. For the first package in each Region,

Regions should forward copies of the primacy revision applications that require

Headquarters review to the Implementation and Assistance Division in OGWDW, which

will take the role of coordinator of Headquarters review. For all Headquarters reviews, the

Regions should send the package to Headquarters as early in the process as possible.

Headquarters asks that Regions forward their comments with the primacy revision

application. 

Figure 2 on the next page diagrams the process and timing for State program

revisions.
32

Timeline

State Submits

Draft Primacy Revision Application 

to EPA (optional)

 §142.12(d)(1)(i)

EPA Review and Tentative Determination

 (within 90 days)

 §142.12(d)(1)(ii)

State Submits 

Complete and Final

 Primacy Revision Application

 to EPA 

 §142.12(d)(2)

EPA Review and Determination

 (within 90 days) 

 §142.12(d)(3)

May 4, 2000

Feb. 2001 9 months later

Feb. 2002

 May 2002

 21 months later

 24 months later

State Request

for Extension 

§142.12(b)

Denied

Granted More 

Time 

Given

Start

Nov. 2000 180 days later

 Effective Date

 for DI

PN Regulation Promulgated

(unless extension 

 request granted)

(unless extension 

 request granted)

Figure 2

Review Process for State Request for Approval 

of Program Revisions for the PN Rule
33

C. State Program Revision - Extension Procedures

Under §142.12(b), States may request that the two-year deadline for submitting the

complete and final request for EPA approval of program revisions be extended for up to

two additional years in certain circumstances. The extension request must be submitted

to EPA within two years of rule promulgation. States can request an extension for the

primacy revision process by submitting a written application to the Regional Administrator,

who is delegated authority to approve extension requests. Headquarters concurrence is

not required.

For an extension to be granted, the State must demonstrate that it is requesting

the extension because it cannot meet the original deadline for reasons beyond its control,

despite a good faith effort. The extension application must include a schedule for the

submission of a complete and final primacy revision application by a certain time and

sufficient information to demonstrate why the State cannot meet the original two-year

deadline. The State’s proposed schedule for submission of its complete and final request

for approval of a revised primacy program is a critical part of the extension application.

Table 5, “State Program Revision Extension Procedures,” gives the requirements and time

frame for States that wish to request an extension to the primacy revision process. 

If an extension is granted, the Region and State will negotiate certain conditions

that could be met during the extension period. These conditions will be determined

during the extension approval process and are decided on a case-by-case basis. The

conditions must be included in a Memorandum of Understanding (MOU) between the

State and the 

EPA Regional office. The MOU should cover all aspects of PN Rule implementation,

enforcement, and reporting to EPA’s Safe Drinking Water Information System (SDWIS).

Conditions of an MOU may include:

• Informing PWSs of the new EPA (and upcoming State) requirements and

providing technical assistance; 

• Collecting, storing, and managing laboratory results, public notices, and

other compliance and operation data required by EPA regulations;

• For States whose request is based on a current lack of program capability

adequate to implement the new requirements, taking steps agreed upon by

the Region and State during the extension period to remedy the deficiency;

and

• Providing the Region with all the information required under §142.15 on

State reporting.

Table 6, “Extension Request Checklist,” provides a checklist the Region can use

to review State extension requests.
34

Table 5 - State Program Revision Extension Procedures

EPA/State Action Time Frame

1. Under 40 CFR 142.12(b)(2), the State extension request must:

1) Include a schedule for the submission of a final request by a certain

time; and

2) Provide sufficient information to demonstrate (a) and (b) below:

(a) The State cannot submit a package because of one of the reasons

below: 

By the primacy

revision deadline of

May 6, 2002

< Currently lacks the legislative or regulatory authority to

enforce the new or revised requirement; or

< Currently lacks the program capability adequate to implement

the new or revised requirements; or

< Is requesting the extension to group two or more program

revisions in a single legislative or regulatory action.

(b) The State is implementing the requirements to be adopted by the

State in its program revision pursuant to 40 CFR 142.12(b)(3)

within the scope of its current authority and capabilities.

2. EPA Approval/Disapproval of Extension Completed as soon

as possible after

submittal of State

extension request
35

Table 6 - Extension Request Checklist

I. Reason for State Request

______Clustering of Program Revisions

_______Statutory Barrier

_______Regulatory Barrier

Lack of Program Capability

_______Insufficient Resources

_______Funding Level

_______Staffing

_______Lack of Adequately Trained Staff

_______Inadequate Procedures, Guidelines, and Policies

_______Other (Please Explain)

II. Actions Taken by the State to Justify an Extension

Schedule Dates (or attachments)

_______Seeking Increases in Program Resources __________

_______Training Existing Personnel/Revising Training Programs __________

_______Revising State Regulations or Statutes __________

_______Developing Revised/New Procedures/Guidelines __________

_______Other (Please Explain) __________

III. Extension Decision

______ Extension Request Approved Date _____/______/_____

Period of Extension Request _____/_____/_____ to _____/______/_____

_______Extension Request Denied Date ______/______/_____

Reason Cited:________________________________________________________

IV. Conditions of the Extension

During the extension period the State will (check all that apply):

_____ __ Inform public water systems of the new requirements and the fact that EPA will be

overseeing their implementation until the State’s program is approved or submitted if

State qualifies for interim primacy

_______Collect and store laboratory results and other compliance data

_______Provide technical assistance to public water systems

_______Provide EPA with the information required under §142.15 of the primacy rule

_______Other (Please Explain)
36

D. Special State Primacy Requirements

The revised PN Rule contains ten special primacy requirements. EPA believes

these requirements are very important to implementation of the PN Rule because they

give States the flexibility to augment or otherwise change EPA requirements to build a

more complete and effective State public notification program.

In some cases the provisions provide States with the option to tailor the EPA

baseline requirements to increase program flexibility and in other cases to be more

stringent than the federal rule. Adoption of these provisions is not mandatory, but for any

provision a State chooses to adopt and address in the primacy revision application, the

State should provide a general explanation of how it intends to implement the provision.

For the purpose of satisfying primacy review, EPA does not expect a State to describe

detailed technical procedures for evaluations that will be done on a case-by-case basis.

Special primacy requirements for the PN Rule are listed in §142.16(a) and described

below. 

Section 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 public notification requirements with respect to the form and

content of the public notice. Alternative requirements for form and content must be

designed to provide the same type and amount of information as is required under

Subpart Q. Primacy States must adopt the revised PN requirements or develop an

alternative public notification program that provides the same type and amount of

information as the Federal rule and submit its primacy revision application package or a

request for an extension to EPA by May 6, 2002.

Section 142.16(a)(2) requires States to establish enforceable requirements and

procedures when a State opts to add to or change the minimum requirements under: 

1) Table 1 to 40 CFR 141.201(a) (Item 3v) – To require public water systems

to give a public notice for violations or situations other than those listed in

Appendix A of Subpart Q of Part 141 of the rule.

2) 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.

3) Table 1 of 40 CFR 141.202(a) (Items 5, 6, and 8) – 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

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 §141.202(b)(2).
37

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. 

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

§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 nonEnglish-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.

Section III provides further discussion of how States may choose to meet each

special primacy requirement.
38

E. General State Primacy Requirements

Each primacy revision application should contain the documents described below.

Appendix A of this guidance contains example formats that can be used for a State

Primacy Revision Application package for the PN Rule.

E.1. State Primacy Revision Checklist

The application should contain a checklist of program elements, taken from 40

CFR 142.10. In completing this checklist, the State must identify the program elements

that it has revised in response to new federal requirements. The State should mark a

“Yes” or “No” in the column next to the list of program elements. If a State indicates

“Yes,” EPA asks that they include the specific information/documentation relative to these

changes. During the application review process, EPA will insert its findings and

comments in the third column.

E.2. Text of the State’s Regulation

Each primacy application package must include the text of the State’s regulation.

E.3. Primacy Revision Crosswalk

 

The Primacy Revision Crosswalk identifies the State’s statutory or regulatory

provisions that correspond to each federal requirement under 40 CFR 141. If the State’s

provisions differ from the federal requirements, EPA asks the State to explain how their

requirements are “no less stringent.” The Primacy Revision Crosswalk for the PN Rule

should be completely filled out and annotated as necessary. 

E.4. Checklist of State Reporting and Recordkeeping Policies

The application should contain a checklist of State reporting and recordkeeping

requirements. States can use this checklist to explain how State reporting and

recordkeeping requirements are consistent with federal requirements for recordkeeping,

40 CFR 142.14, and reporting, 40 CFR 142.15. If State requirements are not the same

as federal requirements, the State can use this checklist to explain how their requirements

are “no less stringent.” 

E.5. Special Primacy Requirements

The application should contain a summary of how a State will address each special

primacy requirement identified in 40 CFR 142.16. Section III provides further discussion

of how States may choose to meet each special primacy requirement.

E.6. Attorney General’s Statement of Enforceability

The application must contain an Attorney General’s Statement that the State

regulations have been duly adopted and can be enforced by the State government.
39
40

Section III. Special Primacy Requirements of the Public

Notification Rule

This section contains guidance States can use when addressing the ten special

primacy requirements listed in §142.16(a)(2) of the PN Rule. 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 §142.16(a)(2) which the State

chooses to adopt. For the areas of State flexibility listed in §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 §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.

EPA believes these special primacy requirements are very important to

implementation of the PN Rule. These provisions give States the flexibility to augment

or otherwise change the federal requirements to build a more complete and effective State

public notification program. In some cases the provisions provide States with the option

to tailor the EPA baseline requirements to increase program flexibility and in other cases

to be more stringent than the federal rule. Adoption of these provisions is not mandatory,

but for any provision a State chooses to adopt and address in the primacy revision

application, the State should provide a general explanation of how it intends to implement

the provision. For the purpose of satisfying primacy review, EPA does not expect a State

to describe detailed technical procedures for evaluations that will be done on a case-bycase basis.

Six of the ten special primacy requirements listed in §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. 

States should note that, in several sections, the guidance makes suggestions and

offers alternatives that go beyond the minimum requirements indicated by reading the

subsections of §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’ applications for program revision.

A description of each special primacy requirement listed in §142.16(a) is given on

the following pages.
41

A. §142.16(a)(2)(i) - Requiring Public Notice for Violations or

Situations Other Than Those Listed in Appendix A of the PN Rule

[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 of Subpart Q of Part 141 of the rule.

Guidance

The PN Rule allows States to determine if there are violations or other situations

not listed in Appendix A of the rule 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 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 of the PN Rule, 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. 

B. §142.16(a)(2)(ii) - Limited Distribution of Public Notice to Persons

Served by the Portion of the Distribution System that is Out of

Compliance [141.201(c)(2)]

A State must provide additional information if they 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.

Guidance

The PN Rule requires systems to provide public notice to persons served systemwide 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
42

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.

C. §142.16(a)(2)(iii) - Which Violations or Situations Require a Tier 1

Public Notice [141.202(a) (Items 5, 6, and 8 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 of Part 141 of

the rule.

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 of the PN Rule 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 §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].
43

2) Violation of the SWTR or , treatment technique requirement resulting

from a single exceedance of the maximum allowable turbidity limit (as

identified in Appendix A) [141.202(a)-Item 6 of Table 1]

3) Other violations or situations with significant potential to have serious

adverse effects on human health as a result of short-term exposure

[141.202(a)-Item 8 of Table 1].

Although EPA recognizes that the majority of situations are best determined on a

case-by-case basis, the Agency believes there are certain situations that should be

elevated to Tier 1 status. All Tier 2 violations with significant potential to cause serious

adverse health effects as a result of short-term exposure should be elevated to Tier 1

status. For example, EPA believes violations of the maximum turbidity level are serious

situations requiring immediate consultation to determine the best course of action. In

some cases, violation of the maximum turbidity level, combined with other site-specific

information, might indicate that pathogens may have passed through to the finished

water. In those situations, the public needs to be alerted quickly to the high potential for

short-term health risk. However, EPA does not believe that all maximum turbidity

excursions will require a Tier 1 notice and expects States to evaluate the merits of each

case during the consultation. 

Since turbidity exceedance by itself, without other supporting information, has not

been shown to date to be a predictable indicator of pathogen loading in the finished

water, EPA expects most turbidity exceedances will require a Tier 2 notice. A single

exceedance of the maximum allowable turbidity limit, although a treatment technique

violation, may also prove to be a false reading because of a testing equipment

malfunction. For these reasons, EPA classified all turbidity violations as Tier 2, but added

the new requirement that PWSs consult with the State within 24 hours when exceedances

of the maximum allowable turbidity limit occur. After consultation with the system, a State

could direct the system to issue a Tier 1 notice. EPA believes the requirement for

immediate consultation for these situations will ensure that Tier 1 notices will be required

when supported by the evidence. If a system cannot consult with the State within the 24-

hour time period, the rule requires an automatic Tier 1 notice.

In addition to violations of the maximum allowable turbidity limit, EPA recognizes

that there may be other violations or situations where elevation to a Tier 1 notice may be

required. For example, a Total Coliform Rule (TCR) or SWTR violation may create a

significant and immediate health risk. In those situations, a Tier 1, 24-hour public notice

is necessary to immediately alert consumers to the potential risk rather than a Tier 2

notice.

A State can identify in its rules the violations or other situations not listed in

Appendix A of the PN Rule 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
44

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.

D. §142.16(a)(2)(iv) - Requiring Additional Public Notice for Tier 1

Violations [141.202(b)(3)]

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 §141.202(b)(2).

Guidance

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

public notification requirements. Systems must comply with any additional public

notification 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 followup to the initial Tier 1 notice. In order to satisfy this special primacy requirement, a State

has the option of identifying in its rules specific situations where additional notice would

be required. If States wish to address this on a case-by-case basis, States should explain
45

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.

E. §142.16(a)(2)(v) - Different Form, Manner, and Delivery for Tier 1,

2, and 3 Public Notices [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. 

Guidance

Under the rule, a PWS must use at a minimum one of the delivery methods

specified for the appropriate Tier and use 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 minimum list of 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 the alternate form and manner

requirements or describing, in its primacy revision application, the criteria it will use to

make that determination on a case-by-case basis.

F. §142.16(a)(2)(vi) - Requiring Tier 2 Public Notice (Rather Than 

Tier 3 Notice) for Specific Monitoring or Testing Procedure

Violations [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.

Guidance

Under 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.
46

A State has the option of identifying in its rules the specific monitoring and testing

procedure violations listed in Appendix A of the rule that require Tier 2 notice or describing

the criteria it will use to make that determination on a case-by-case basis 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.

G. §142.16(a)(2)(vii) - Extending the Initial Tier 2 Public Notice

Distribution Deadline [141.203(b)(1)]

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).

Guidance

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 (e.g., some TCR and SWTR violations), an extension may be appropriate

so the system can 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 clearly inappropriate:

1) extensions for unresolved violations posing potential risk from short-term exposure (i.e.,

unresolved TCR or SWTR violations), and 2) “across-the-board” extensions or reductions

in the repeat notice frequency for all other violations, (i.e., blanket extensions for all

violations of a certain type, e.g., all 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.
47

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. This includes being more stringent than the rule. For example, if a

State wants to keep the deadline for monthly coliform violations at 14 days instead

of 30 days that is acceptable. A State does not need to submit documentation when

shortening the 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.

H. §142.16(a)(2)(viii) - Extending the Tier 2 Notice Repeat Frequency

[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.

Guidance

The PN Rule gives States the flexibility to allow in writing a less frequent repeat

notice frequency than every three months (but no less than once per year) for unresolved

Tier 2 violations. However, the final rule specifically disallows less frequent repeat notices

for unresolved violations posing potential risk from short-term exposure (e.g., unresolved

TCR violations or treatment technique violations under the SWTR or IESWTR rules) or for

all unresolved violations of a certain violation type. The State can require a different

repeat notice frequency for the Tier 2 public notice (to be no less frequent than once per

year), for appropriate circumstances defined in the State’s primacy program. Similar to

extending the Tier 2 initial notice distribution deadline, a State may identify in its rules the

circumstances under which extensions may be given or describe the criteria it will use to

make that determination on a case-by-case basis in its primacy revision application.

I. §142.16(a)(2)(ix) - Requiring a Tier 1 Public Notice (Rather Than

Tier 2 Notice) 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 [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 §141.13(b) or a SWTR/IESWTR TT violation

due to a single exceedance of the maximum allowable turbidity limit. 

Guidance
48

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 §141.13(b) or a SWTR/IESWTR TT

violation due to single exceedance of the maximum allowable turbidity limit. If a system

cannot consult with the State within the 24-hour time period, the rule requires an

automatic Tier 1 notice. 

EPA believes the ability of a State to respond to a system’s request for consultation

is critical to the successful implementation of the PN Rule. EPA expects States to

establish a process that would lead to determination within the 24-hour window to avoid

a “no action” default to a Tier 1 notice on every turbidity single exceedance violation. As

discussed for special primacy requirement §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 merits 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 request for

consultation. Some States already have emergency hotlines for systems to use. 

J. §142.16(a)(2)(x) - Multilingual Notice Requirement [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.”

Guidance

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 choose to 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 use a language or languages other than English as their first language,

multilingual information must be included in the notice. If a State chooses not to set its

own criteria, water systems must meet the general requirement set in the rule, which is

providing such information when appropriate. Information on whether there is a significant
49

non-English speaking population in a community can be found through the U.S. Census

Bureau’s website 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

Public Notification Handbook issued with the rule contains additional hints on

implementing this requirement.

A State has the option of identifying in its rule the more specific multilingual

requirement or describing the criteria it will use to make such determinations on a caseby-case basis in its primacy revision application.
50

Section IV. PN Violation Determination and SDWIS

Reporting

A. PN Violation Determination

One of the important keys to making the public notification process work is the

timely and complete reporting of PN violations 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 public notification regulatory requirements to be less

complex, clear, and self-implementing. EPA believes these streamlined requirements will

encourage more water systems to comply with the rule and will be less burdensome than

the current rule for State tracking and reporting of violations. However, the program will

not succeed without compliance monitoring and follow-up actions by the State and EPA.

Flowcharts 1, 2, and 3 starting on the next page provide timelines for actions PWSs

must take under the PN Rule, once a system learns of a Tier 1, 2, or 3 violation.

A.1. What are the PN Violations?

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 content of the public notices. Failure of the PWS to take any of those

actions indicates a PN violation. 

A PN violation occurs when the system fails to provide notice of a violation or

situation following the requirements for time, form, manner, and delivery prescribed in the

rule. 

A system can incur a PN Rule violation for failing to: 

< Prepare and deliver public notice in accordance with the rule.

(Examples of violations of the PN Rule for Tier 1, 2, and 3 violations

and situations are outlined in Table 7. All violations may not be

reflected in this table.)

< 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.
51

Flowchart 1: Tier 1 Violations -- Timeline for PWS Actions

10 Days After

Completing

Initial PN

Requirements

Clock Starts

Within 24 Hrs After

PWS Learns of Violation

PWS Must Provide 

Public Notice to 

Consumers

using at a minimum one or 

more of the following 

methods: broadcast media, 

posting, hand delivery, or 

another State approved 

 method.

Within 24 Hrs After

PWS Learns of Violation

PWS Must Initiate 

Consultation w/ State

purpose: to determine if 

there are any additional 

PN requirements to meet 

24 Hrs After

PWS Learns

of Violation

PWS Learns of Tier 1 Violation 

Tier 1 Violations include:

i violations of MCL for total coliform where

 fecal coliform or E. coli are present, or for 

 failure to test for fecal coliform or E. coli 

 when any repeat samples test positive 

i violations of the MCL for nitrate, nitrite, or 

 combined nitrate+nitrite, or failure to take a 

 confirmation sample within 24 hours after

 learning that an initial sample exceeded MCL

i exceedance of the nitrate MCL by NCWS 

 systems, where permitted to exceed the MCL 

 by the primacy agency under §141.11(d).

i violations of the MRDL for chlorine dioxide 

 where required repeat samples in the

 distribution system exceed the MRDL or 

 are not taken

i violation of the turbidity MCL under §141.13(b)

 where State determines Tier 1 required, or

 where consultation did not take place within 

 24 hours after system learns of violation 

i violation of the SWTR or IESWTR treatment

 technique resulting from a single exceedance

 of the max. allowable turbidity limit where State 

 required Tier 1 notice after consultation or 

 where consultation did not take place within 

 24 hours after system learned of violation

 

i occurrence of a waterborne disease outbreak 

 or other waterborne emergency

i other violations or situations elevated to 

 Tier 1 by the State

PWS Must Comply 

with Additional 

PN Requirements

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 

Within 10 Days 

After Completing 

Subsequent PN 

Requirements,

PWS Must Send 

to the State 

- copy of notice

- certification

Within 10 Days 

After Completing 

Initial PN 

Requirements,

PWS Must Send 

to the State 

- copy of notice

- certification

10 Days After

Completing

Subsequent PN

Requirements
52

Flowchart 2: Tier 2 Violations -- Timeline for PWS Actions

3 Months

After PWS

Learns of

Violation

Clock Starts

As Soon As Practical but 

No Later Than 30 Days After

PWS Learns of Violation,

PWS Must Provide 

Public Notice to Consumers 

for CWS: using

1) mail or other direct delivery 

 to each customer receiving a 

 bill and to other service 

 connections; AND 

2) 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.

for Non-CWS: using 

1) posting, or mail or direct 

 delivery to each customer and 

 service connection (where

 known), AND 

2) any other method reasonably 

 calculated to reach other 

 persons served by the system 

 if they would not normally be 

 reached by the first method.

30 Days After

PWS Learns

of Violation

As Long As 

Violation Exists,

PWS Must Send 

A Repeat Notice 

to Consumers 

Every 3 Months

10 Days After

Completing

Subsequent PN

Requirements

PWS Learns of Tier 2 Violation 

Tier 2 Violations include:

i all violations of the MCL, MRDL, and 

 treatment technique requirements not 

 listed in the Tier 1 category

i violations of monitoring and testing

 procedure requirements, where the 

 State determines that a Tier 2 rather

 than a Tier 3 public notice is required

i failure to comply with the terms

 and conditions of any variance or 

 exemption in place.

Within 10 Days 

After 

Completing

Subsequent PN 

Requirements,

PWS Must Send 

to the State 

- copy of notice

- certification

Note: In appropriate circumstances, the

State may allow additional time for

distribution of the initial Tier 2 notice of up

to three months from the date the system

learns of the violation.

The State also has discretion to allow a

different Tier 2 repeat notice frequency.

However, in no circumstance is the repeat

notice to be given less frequently than once

per year.

Within 10 Days 

After Completing

Initial PN 

Requirements,

PWS Must Send 

to the State 

- copy of notice

- certification

10 Days After

Completing

Initial PN

Requirements
53

Flowchart 3: Tier 3 Violations -- Timeline for PWS Actions

12 Months

After PWS

Sends Initial

Notice

Clock Starts

Within 12 Months After 

PWS Learns of Violation

PWS Must Provide 

Public Notice to Consumers 

for CWS: using

1) mail or other direct delivery 

 to each customer receiving a 

 bill and to other service 

 connections, AND 

2) 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.

for Non-CWS: using 

1) posting , or by mail or direct 

 delivery to each consumer and 

 service connection (where 

 known), AND

2) 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.

12 Months

After PWS

Learns of

Violation

10 Days After

Completing

Initial PN

Requirements

PWS Learns of Tier 3 Violation

Tier 3 Violations include:

i monitoring violations under 40 CFR 

 part 141, except where a Tier 1 notice is

 required under §141.202(a) or where the 

 State determines that a Tier 2 notice 

 is required

i failure to comply with a testing procedure

 established in 40 CFR part 141, except 

 where a Tier 1 notice is required under 

 §141.202(a) or where the State determines

 that a Tier 2 notice is required.

i operation under a variance granted under

 Section 1415 or exemption granted under 

 Section 1416 of SDWA

i availability of unregulated contaminant 

 monitoring results, as required under 

 §141.207

i exceedance of the fluoride SMCL as 

 required under 141.208 

Within 10 Days

After Completing 

Subsequent PN 

Requirements, 

PWS Must Send 

to the State 

- copy of notice

- certification

As Long As 

Violation Exists,

PWS Must Send 

A Repeat Notice 

to Consumers 

Every 12 Months

Within 10 Days

After Completing 

Initial PN 

Requirements, 

PWS Must Send 

to the State 

- copy of notice

- certification

10 Days After

Completing

Subsequent PN

Requirements

Note: Instead of individual Tier 3 public

notices, a PWS may use an annual report

to detail all violations and situations that

occurred during the previous twelve

months, as long as the timing requirements

of §141.204(b)(1) are met.
54

Table 7 - PN Violations

Tier A PWS Can Incur a Violation of the PN Rule for:

Tier 1 

< Failure to provide notice to all persons served not later than 24 hours

after learning of a violation or other situation posing a health risk.

< Failure to initiate consultation with the primacy agency within 24 hours

and comply with any additional requirements established as a result of

consultation with the primacy agency.

< Failure to deliver notice using one of the methods below:

1) Broadcast media (radio or television), 

2) Hand delivery, 

3) Posting, or 

4) Another method approved by the primacy agency in advance or

 during consultation

Tier 2 

< Failure to provide notice to all persons served no later than 30 days

after learning of a violation or, if the primacy agency granted the PWS

an extension, failure to provide notice by the new deadline.

< Failure to provide repeat notice every 3 months for as long as the

violation or situation exists, or failure to provide repeat notice at a

repeat notice frequency specified by the primacy agency.

< Failure to keep a posted notice in place for as long as the violation or

situation exists but not less than 7 days (even if the violation is

resolved).

< Failure to distribute notice using one of the methods below: 

CWS: 1) Mail or hand delivery, and

2) Another method as needed to reach others

NCWS: 1) Posting, hand delivery, or mail, and

2) Another method as needed to reach others

Tier 3

< Failure to provide notice to all persons served not later than 1 year after

learning of a violation or situation posing health risk or after a PWS

begins operating under a variance or exemption.

< Failure to repeat notice annually for as long as the violation or situation

exists. 

< Failure to keep a posted notice in place for as long as the violation,

variance, exemption, or situation exists but not less than 7 days (even if

the violation is resolved).

< Failure to distribute notice using one of the methods listed below:

CWS: 1) Mail or hand delivery, and

2) Another method as needed to reach others

NCWS: 1) Posting, hand delivery, or mail, and

2) Another method as needed to reach others
Table 7 - PN Violations

Tier A PWS Can Incur a Violation of the PN Rule for:

55

All 

Tiers

< Failure to include each of the required 10 elements shown below in the

public notice (where applicable):

1) 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;

3) Any potential adverse health effects from the violation or

situation, including standard language provided in the rule;

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; and

10) A statement encouraging notice recipients to distribute the

notice to other persons served, using standard language from

the rule, where applicable.

< Failure to include the standard language specified in the rule for:

- MCL, MRDL, and TT violations

- Monitoring and testing procedure violations

- Encouraging distribution of notice to all persons served

- Special notice of fluoride SMCL exceedance. 

< Failure to send a copy of the notice and certification to the State within

ten days, even if the system prepares and distributes a notice in

accordance with the rule.
56

A.2. How is a PN Violation Identified?

EPA anticipates that States will primarily rely on the certification 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. Section

141.31(d) of the PN Rule requires water systems to submit a copy of the notice and a

certification to the State within 10 days of completing the public notification 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 PN violation for that PWS in its own tracking

system, and in its quarterly reporting to EPA. States should also record a PN violation,

if after State review, the State determines the notice was inadequate.

States are expected to record a PN violation for a PWS:

< If the State did not receive copies of the notices and certifications.

< If the State received any notice or certification late.

< If 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). 

A.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 public notification requirements that conforms to the

requirements in 40 CFR 142.10(b)(6). When public notification violations occur in addition

to an underlying violation for which the State brings an enforcement action, the State

should include the public notification violations as part of the enforcement action for the

underlying violation. The State should also enforce public notification requirements

independently from enforcement of underlying violations and should enforce the public

notification requirements for situations where there is no underlying violation. 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. 
57

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, to return to

compliance with the rule. For example, when a State learns of an NPDWR violation or

other situation, the State may remind the PWS of its obligation to provide public notice

and may inform the PWS of the public notice form, manner, content, and delivery

requirements. The State may also choose to give notice to the public on behalf of the

PWS, in accordance with 40 CFR 141.210; however, the owner or operator of the PWS

remains legally responsible for ensuring that the PN requirements are met.

As part of its compliance assistance efforts, a State may also provide the PWS with

templates and other reference materials. States are also encouraged to direct water

system operators to EPA’s website or reference EPA’s website on their own Internet sites.

Flowcharts 4, 5, and 6 starting on the next page provide timelines for State actions,

once a State learns of a Tier 1, 2, or 3 violation.
58

Flowchart 4: Tier 1 Violations -- Timeline for State Actions

10 Days After

Completing

Subsequent PN

Requirements

Within 

24 Hrs 

After 

Learning 

of the

Violation,

PWS

1. Provides

Public Notice

to Consumers 

2. Initiates 

Consultation 

with State

24 Hrs After

PWS Learns

of Violation

STATE 

RECORDS 

PN 

VIOLATION

IF State did 

not receive 

a copy of the 

initial public 

notice and/or 

certification

IF State

received 

either 

document

late

IF State review

finds the 

public notice

to be

inadequate

State 

Determines 

if PWS 

Must Meet 

Additional

PN 

Requirements 

during the 

consultation 

STATE 

RECORDS

PN 

VIOLATION 

IF State did 

not receive

a copy of the 

subsequent

notices and/or 

certification,

45 Days After the

Quarter in which

PN Violation

Occurs

10 Days After

Completing

Initial PN

Requirements

PN RTC

for PWS

Send State

copy of

notice 

and/or 

certification

Redo notice

and send 

State copy 

of notice and 

certification

State takes

either

informal 

or formal 

enforcement 

action to get 

PWS to 

return to 

compliance

PN RTC 

for PWS

Send State

copy of

notice

and/or 

certification

Redo notice

and send 

State copy 

of notice 

and 

certification

State takes

either

informal

or formal 

enforcement

action to get

PWS to 

return to 

compliance

State 

Reports

PN 

Violation 

to 

SDWIS

State 

Reports

PN 

Violation 

to 

SDWIS
59

Flowchart 5: Tier 2 Violations -- Timeline for State Actions

10 Days After

Completing

Subsequent PN

Requirements

As Soon As 

Practical but 

No Later Than 

30 Days After 

Learning of 

Violation,

PWS

 Provides 

 Public Notice

 to Consumers 

30 Days After

PWS Learns

of Violation

STATE

RECORDS 

PN 

VIOLATION

 

IF State did 

not receive a

copy of the 

initial public

notice and/or 

certification

IF State received 

either document

late

IF State review 

finds public 

notice to be 

inadequate

State

Reports

PN

Violation 

to 

SDWIS

10 Days After

Completing

Initial PN

Requirements

As Long As 

Violation Exists, 

PWS Must Send 

a Repeat Notice 

to Consumers

Every 3 Months

3 Months After

PWS Learns of

Violation

45 Days After the

Quarter in which

PN Violation

Occurs

PN RTC

 for PWS

Send State 

copy of 

notice and/or 

certification

Redo notice 

and send 

State copy 

of notice and 

certification

State takes

either 

informal 

or formal 

enforcement 

action to get

PWS to 

return to 

compliance 

PN RTC

 for PWS

Send State 

copy of notice 

and/or 

certification

Redo notice and 

send State copy 

of notice and 

certification

STATE 

RECORDS 

PN 

VIOLATION

 

IF State did 

not receive a 

copy of the 

repeat public 

notice and/or

certification

IF State 

received 

either document

late

IF State review

 finds public

 notice to be 

inadequate

State

Reports

PN

Violation 

to 

SDWIS

Note: In appropriate circumstances, the

State may allow additional time for

distribution of the initial Tier 2 notice of

up to three months from the date the

system learns of the violation.

The State also has discretion to allow a

different Tier 2 repeat notice frequency.

However, in no circumstance is the repeat

notice to be given less frequently than

once per year.

State takes

either 

informal 

or formal 

enforcement 

action to get

PWS to return

to compliance 
60

Flowchart 6: Tier 3 Violations -- Timeline for State Actions

10 Days After

Completing

Subsequent PN

Requirements

10 Days After

Completing

Initial PN

Requirements

As Long As 

Violation Exists, 

PWS Must Send 

a Repeat Notice 

to Consumers

Every 12 months

12 Months

After PWS

Sends Initial

Notice

45 Days After the

Quarter in which

PN Violation

Occurs

STATE 

RECORDS 

PN 

VIOLATION

 

IF State did 

not receive a 

copy of the 

repeat public

notice and/or 

certification

IF State received 

either document 

late

IF State review 

finds public

 notice to be 

inadequate

PN RTC

 for PWS

Send State 

copy of

notice and/or 

certification

Redo notice

and send 

State copy 

of notice and 

certification

STATE 

RECORDS 

PN 

VIOLATION

 

IF State did 

not receive a 

copy of the 

initial public

notice and/or 

certification

IF State received 

either document

late

IF State review 

finds public 

notice to be 

inadequate

PN RTC

 for PWS

Send State 

copy of

 notice and/or 

certification

Redo notice 

and send State 

copy of notice 

and 

certification

State 

Reports

PN 

Violation 

to 

SDWIS

State 

Reports

PN 

Violation 

to 

SDWIS

State takes 

either informal 

or formal 

enforcement 

action to get

PWS to 

return to 

compliance

State takes 

either 

informal 

or formal 

enforcement 

action to get

PWS to

 return to 

compliance

Not Later 

Than 12 

Months, After

Learning of 

the Violation, 

PWS

Provides 

Public Notice

to Consumers 

PWS can 

group 

multiple 

violations into

an annual 

report. 
61

A.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.

B. 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 new PN Rule, States must maintain copies of public notices and records of

public notification violations for three years [40 CFR 142.14(f)]. States must also report

to EPA’s SDWIS/FED database system, on a quarterly basis, information about public

notification violations in the State during the previous quarter and new enforcement

actions taken by the State during the previous quarter against PWSs for public notification

violations. 

In order to help States and EPA to track public notification violations and to ensure

that those violations are included in enforcement actions for the underlying SDWA

violations or otherwise, SDWIS/FED will have 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 public notification 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. 
62

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 revised 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. Appendix C of this guidance contains detailed

information on SDWIS reporting requirements for the PN Rule.

EPA will use this information on public notification violations 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 8 summarizes the SDWIS reporting requirements for the PN Rule. A detailed

list of violations is provided in Appendix C, which is intended for use by programmers and

for enforcement. A user can reference Appendix C to understand how violations of the

rule can be entered into SDWIS.

Table 8 - Proposed Federal Reporting for the PN Rule

(States Report Only When Violations Occur)

Violation 

Code

Rule 

Code

PN Section 

Reference Description

75 7500 §141.201 (b) PN violation for a NPDWR violation

(i.e., failure to notify public via initial or

repeat notice, failure to required

documents [initial or repeat notice or

certification] to state) 
63

76 7500 §141.202 (a)

§141.205 (b)

§141.207 

§141.208 

§141.209 

Other Potential Health Risk SituationViolations

(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)