Revised State 

Implementation 

Guidance for the 

Public Notification 

(PN) Rule 
Office of Water (4606M) 

EPA 816-R-09-012 

www.epa.gov/safewater

March 2010 
Disclaimer 

This document provides guidance to states, tribes, and the US Environmental Protection 

Agency (EPA) exercising primary enforcement responsibility under the Safe Drinking 

Water Act (SDWA) and contains EPA’s current policy recommendations for complying 

with the Public Notification (PN) Rule. Throughout this document, the terms “state” and 

“states” are used to refer to all types of primacy agencies including US territories, Indian 

tribes, and EPA. 

The statutory provisions and EPA regulations described in this document contain legally 

binding requirements. This document is not a regulation itself, nor does it change or 

substitute for those provisions and regulations. Thus, it does not impose legally binding 

requirements on EPA, states, or public water systems (PWSs). This guidance does not 

confer legal rights or impose legal obligations upon any member of the public. 

While EPA has made every effort to ensure the accuracy of the discussion in this 

guidance, the obligations of the regulated community are determined by statutes, 

regulations, or other legally binding requirements. In the event of a conflict between the 

discussion in this document and any statute or regulation, this document would not be 

controlling. 

The general description provided here may not apply to a particular situation based upon 

the circumstances. Interested parties are free to raise questions and objections about the 

substance of this guidance and the appropriateness of the application of this guidance to a 

particular situation. EPA and other decision makers retain the discretion to adopt 

approaches on a case-by-case basis that differ from those described in this guidance, 

where appropriate. 

Mention of trade names or commercial products does not constitute endorsement or 

recommendation for their use. 

This is a living document and may be revised periodically without public notice. EPA 

welcomes public input on this document at any time. Guidance provided in this document 

reflects provisions published on May 4, 2000, at 65 FR 26021; 65 FR 38629, June 21, 

2000; 65 FR 40521 - 40522, June 30, 2000; and as amended at 65 FR 76750, December 7, 

2000; 66 FR 7065, January 22, 2001; 66 FR 31104, June 8, 2001; 67 FR 1836, January 

14, 2002; 67 FR 70857, November 27, 2002; 68 FR 14507, March 25, 2003; 69 FR 

38856, June 29, 2004; 71 FR 483, January 4, 2006; 71 FR 768, January 5, 2006; and 71 

FR 65652, November 8, 2006. 
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PN Rule Implementation Guidance i March 2010

2.4 Questions & Answers .................................................................................................................... 12

Section 3 State Implementation ............................................................................................................... 17

3.1 Overview of Implementation ......................................................................................................... 19

3.2 Identify Affected Systems and Requirements ................................................................................ 19

3.2.1 General Provisions .................................................................................................................. 19

3.2.2 Public Notice Tiers 1, 2, and 3 ................................................................................................ 20

3.2.3 Content of a Public Notice - Ten Required Elements ............................................................. 22

3.2.4 Minimum Delivery Requirements for Public Notice .............................................................. 25

3.2.5 Who Must be Notified ............................................................................................................. 27

3.2.6 Variances and Exemptions ......................................................................................................29

3.2.7 Multilingual Requirements ...................................................................................................... 29

3.2.8 Standard Language for Public Notices .................................................................................... 30

3.2.9 Special Notices ........................................................................................................................ 31

3.2.10 Formatting Requirements for Public Notices .......................................................................... 33

3.2.11 Certification ............................................................................................................................. 33

3.2.12 Public Water System Recordkeeping Requirements ............................................................... 34

Table of Contents 

Acronyms and Abbreviations ..................................................................................................................vii

Introduction ......

ction 1 Rule R

.......................................................................................................................................... ix

Se equirements ..................................................................................................................... 1

1.1 Introduction ...................................................................................................................................... 3

1.2 Requirements of the Rule: Public Water Systems ........................................................................... 4

1.2.1 Applicability and Compliance Dates ......................................................................................... 4

1.2.2 Public Notice Tiers 1, 2, and 3 .................................................................................................. 5

1.2.3 Public Water System Reporting Requirements ......................................................................... 6

1.2.4 Public Water System Recordkeeping Requirements ................................................................. 6

1.3 Requirements of the Rule: States or Other Primacy Agencies ........................................................ 6

1.3.1 Special Primacy Requirements .................................................................................................. 6

1.3.2 Records Kept by States .............................................................................................................. 6

1.3.3 State Reporting Requirements ................................................................................................... 7

Section 2 Resources and Guidance ............................................................................................................ 9

2.1 Technical Guidance Manuals and Tools ........................................................................................ 11

2.2 Rule Presentation ........................................................................................................................... 12

2.3 Fact Sheets and Quick Reference Guide ........................................................................................ 12
PN Rule Implementation Guidance ii March 2010

4.3.6 Special Primacy Requirements [40 CFR 142.16] .................................................................... 47

4.3.7 Attorney General’s Statement of Enforceability [40 CFR 142.12(c)(2)] ................................ 48

4.4 Guidance for the Special Primacy Requirements of the PN .......................................................... 49

4.4.1 Special Primacy for Requiring Public Notice for Violations or Situations Other Than Those 

Listed in Appendix A to Subpart Q .................................................................................................... 51

4.4.2 Special Primacy Requirements Regarding Limited Distribution of Public Notice to Persons 

Served by the Portion of the Distribution System that is Out of Compliance .................................... 52

4.4.3 Special Primacy Requirements Regarding Which Violations or Situations Require a Tier 1 

Public Notice ...................................................................................................................................... 52

4.4.4 Special Primacy for Requiring Additional Public Notice for Tier 1 Violations ...................... 54

4.4.5 Special Primacy Requirements Regarding Different Form, Manner, and Delivery for Tier 1, 

2, and 3 Public Notices ....................................................................................................................... 54

4.4.6 Special Primacy for Requiring Tier 2 Public Notice (Rather Than Tier 3 Notice) for Specific 

Monitoring or Testing Procedure Violations ...................................................................................... 55

4.4.7 Special Primacy Requirements Regarding Extending the Initial Tier 2 Public Notice 

Distribution Deadline ......................................................................................................................... 55

4.4.8 Special Primacy Requirements Regarding Extending the Tier 2 Notice Repeat Frequency ... 56

3.3 Communicate PN Rule Requirements to Systems ......................................................................... 34

3.3.1 Requirements and Target Notification Time Frames .............................................................. 34

3.3.2 Methods of Communication .................................................................................................... 35

3.4 Data Management Systems ............................................................................................................ 35

Section 4 State Primacy Revision Application........................................................................................ 37

4.1 State Primacy Program Revision ................................................................................................... 39

4.1.1 The Revision Process .............................................................................................................. 40

4.1.2 The Final Review Process ....................................................................................................... 41

4.2 State Primacy Program Revision Extensions ................................................................................. 42

4.2.1 The Extension Process ............................................................................................................. 42

4.2.2 Extension Request Criteria ...................................................................................................... 42

4.2.3 Conditions of the Extension .................................................................................................... 42

4.3 State Primacy Package ................................................................................................................... 46

4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(1)] ............................................... 46

4.3.2 Text of the State’s Regulation ................................................................................................. 47

4.3.3 Primacy Revision Crosswalk ................................................................................................... 47

4.3.4 State Recordkeeping Requirements [40 CFR 142.14(f)] ......................................................... 47

4.3.5 State Reporting Requirements [40 CFR 142.15(a)(1)] ............................................................ 47
PN Rule Implementation Guidance iii March 2010

4.4.9 Special Primacy for Requiring a Tier 1 Public Notice (Rather Than Tier 2 Notice) for a 

Turbidity MCL Violation under 40 CFR 141.13(b) or a SWTR/IESWTR/LT1ESWTR TT Violation 

Due to a Single Exceedance of the Maximum Allowable Turbidity Limit ........................................ 56

4.4.10 Special Primacy Requirements Regarding Multilingual Notice Requirement ........................ 57

Section 5 Violation Determination and Safe Drinking Water Information System (SDWIS) 

Reporting ................................................................................................................................................... 59

5.1 Determining Violations of the PN Rule ......................................................................................... 61

5.1.1 What constitutes a violation of the PN Rule? .......................................................................... 61

5.1.2 How is a Violation of the PN Rule Identified? ........................................................................ 65

5.1.3 State Enforcement, Compliance Monitoring and Assistance, or Other Follow-up ................. 65

5.1.4 Return to Compliance .............................................................................................................. 66

5.2 SDWIS Reporting and EPA Follow-up ......................................................................................... 70

Appendices 

Appendix A: Primacy Revision Crosswalk 

Appendix B: Rule Requirements 

Appendix C: Rule Factsheets and Quick Reference Guide 

Appendix D: Flowcharts 

Appendix E: Example Forms, Letters and Checklists 
PN Rule Implementation Guidance iv March 2010 

List of Tables 

Table 1-1. Summary of Action Dates for the PN Rule ............................................

Table 1-2. PWS Requirements for Reporting to the State Under the PN Rule ........

Table 1-3. PWS Recordkeeping Requirements Under the PN Rule ........................

Table 1-4. State Recordkeeping Requirements ........................................................

Table 1-5. State Requirements for Reporting to EPA ..............................................

Table 3-1. Violations and Situations Requiring Public Notice ................................

Table 3-2. Requirements for Issuing Public Notice .................................................

Table 4-1. State Rule Implementation and Revision Timetable for the PN Rule ....

Table 4-2. State Primacy Revision Checklist ...........................................................

Table 5-1. Federal Reporting for the PN Rule .........................................................

..................................... 4

..................................... 6

..................................... 6

..................................... 6

..................................... 7

................................... 21

................................... 26

................................... 39

................................... 46

................................... 71
PN Rule Implementation Guidance v March 2010

List of Examples 

Example 4-1. Example Extension Request Checklist .................

Example 4-2. Example of Attorney General’s Statement ...........

................................................................ 44

................................................................ 48
PN Rule Implementation Guidance vi March 2010

List of Figures 

Figure 3-1. Required Elements of a Public Notice .............................................................................

Figure 3-2. Sample Certification Box .................................................................................................

Figure 4-1. Recommended Review Process for State Request for Approval of Program Revisions ..

.......

.......

.......

. 24

. 34

. 41
PN Rule Implementation Guidance vii March 2010 

Acronyms and Abbreviations 

Acronym/Abbreviation Definition

ASDWA Association of State Drinking Water Administrators 

AWWA American Water Works Association 

CCR Consumer Confidence Report 

CFR Code of Federal Regulations 

CWSs Community Water Systems 

EPA United States (US) Environmental Protection Agency 

FBRR Filter Backwash Recycling Rule 

FR Federal Register 

GAO General Accounting Office 

GWR Ground Water Rule 

GWS Ground Water System 

GWUDI Ground Water Under the Direct Influence (of Surface Water) 

HAA5 Haloacetic Acids 

HPC Heterotrophic Plate Count 

HQ Headquarters 

IESWTR Interim Enhanced Surface Water Treatment Rule 

IOC Inorganic Chemical 

LCR Lead and Copper Rule 

LT1ESWTR Long-Term 1 Enhanced Surface Water Treatment Rule 

LT2ESWTR Long-Term 2 Enhanced Surface Water Treatment Rule 

MCL Maximum Contaminant Level 

MCLG Maximum Contaminant Level Goal 

mg/l Milligrams per liter 

MRDL Maximum Residual Detection Level 

MRDLG Maximum Residual Disinfectant Level Goal 

NCWS Noncommunity Water System 

NIPDWR National Interim Primary Drinking Water Regulation 

NOV Notice of Violation 

NPDWR National Primary Drinking Water Regulation 

NTNCWS Nontransient Noncommunity Water System 

NTU Nephelometric Turbidity Unit 

OECA Office of Enforcement and Compliance Assurance 

OGC Office of General Counsel 

OGWDW Office of Ground Water and Drinking Water 

ORC Office of Regional Counsel 
PN Rule Implementation Guidance viii March 2010

Acronym/Abbreviation Definition

OW Office of Water 

PN Public Notification 

PWS Public Water System 

PWSS Public Water System Supervision 

Q&A Question and Answer 

RTC Return to Compliance 

SBREFA Small Business Regulatory Enforcement Fairness Act 

SDWA Safe Drinking Water Act 

SDWIS Safe Drinking Water Information System 

SMCL Secondary Maximum Contaminant Level 

SNC Significant Non-complier 

SOC Synthetic Organic Chemical 

Stage 1 DBPR Stage 1 Disinfectants and Disinfection Byproducts Rule 

Stage 2 DBPR Stage 2 Disinfectants and Disinfection Byproducts Rule 

SWAP Source Water Assessment Program 

SWTR Surface Water Treatment Rule 

TCR Total Coliform Rule 

TNCWS Transient Noncommunity Water System 

TT Treatment Technique 

TTHMs Total Trihalomethanes 

UV Ultraviolet 

VOC Volatile Organic Chemical 
PN Rule Implementation Guidance ix March 2010 

Introduction 

This document provides guidance to states and the US Environmental Protection Agency (EPA) 

exercising primary enforcement responsibility under the Safe Drinking Water Act (SDWA), concerning 

how EPA interprets the Public Notification (PN) Rule promulgated under the SDWA. It also provides 

guidance to the public and the regulated community on how EPA intends to exercise its discretion in 

implementing the statute and regulations. This guidance is designed to implement national policy on these 

issues. Throughout this document, the terms “state” and “states” are used to refer to all types of primacy 

agencies including states, US territories, Native American tribes, and EPA regional offices that maintain 

state primacy. 

The SDWA provisions and EPA regulations described in this document contain legally binding 

requirements. This document does not substitute for those requirements, nor is it a regulation itself. It 

does not impose legally binding requirements on EPA, states, or the regulated community and may not 

apply to a particular situation based upon the circumstances. EPA and state decision makers retain the 

discretion to adopt approaches on a case-by-case basis that differ from this guidance, where appropriate. 

Any decisions regarding a particular facility will be made based on the applicable statutes and regulations. 

Therefore, interested parties are free to raise questions and objections about the appropriateness of the 

application of this guidance to a particular situation. EPA will then consider whether or not the 

recommendations or interpretations in the guidance are appropriate in that situation based on the law and 

regulations. EPA may change this guidance in the future. 

This document contains the following sections: 

● Section 1 summarizes the Rule requirements of the PN Rule and presents a timetable of important 

dates. 

● Section 2 lists the “stand-alone” guidance materials that will help states and public water systems 

(PWSs) implement each requirement. 

● Section 3 discusses state implementation activities. 

● Section 4 covers state primacy revision requirements, including a detailed time frame for 

application review and approval. This section also contains guidance and references to help states 

adopt each new special primacy requirement included in the PN Rule. 

● Section 5 addresses violation determinations and associated reporting requirements to assist states 

in their compliance activities. 

The appendices of this guidance also provide information that will be useful to states and EPA: 

● Appendix A contains the primacy revision application crosswalk for the PN Rule. 

● Appendix B contains a copy of the PN Rule (July 1, 2008, edition). 

● Appendix C contains fact sheets and a quick reference guide for the PN Rule. 

● Appendix D presents flowcharts to help states and systems implement the PN Rule. 
PN Rule Implementation Guidance x March 2010 

● Appendix E contains a stand alone version of the State Primacy Revision Checklist and Example 

Forms. 

Please note that, in several sections, this guidance makes suggestions and offers alternatives that go 

beyond the minimum requirements indicated. EPA does this to provide information and/or suggestions 

that may be helpful to implementation efforts. Such suggestions are prefaced by “may” or “should” and 

are to be considered advisory. They are not required elements of the PN Rule. 

Since the last revision of this guidance, EPA has published the following regulations: 

● Arsenic Rule – January 22, 2001. 

● Filter Backwash Recycling Rule (FBRR) – June 8, 2001. 

● Long-Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) – January 14, 2002. 

● Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) – January 4, 2006. 

● Long-Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR) – January 5, 2006. 

● Ground Water Rule (GWR) – November 8, 2006. 

● Lead and Copper Rule (LCR) Short Term Regulatory Revisions and Clarifications – October 10, 

2007. 

● Miscellaneous corrections to existing rules. 

● Miscellaneous revisions or additions to analytical methods, detection limits and compliance dates. 

This guidance has been updated to reflect these rules, where appropriate. Changes to the PN Rule based 

on these regulations occurs primarily in Appendix A to Title 40 of the Code of Federal Regulations 

(CFR), Part 141, Subpart Q (hereafter referred to as Appendix A to Subpart Q) which lists contaminant 

violations or situations by tiers and Appendix B to Title 40 of the Code of Federal Regulations (CFR), 

Part 141, Subpart Q (hereafter referred to as Appendix B to Subpart Q) which lists contaminants, their 

maximum contaminant level (MCL) (or treatment technique, TT), maximum contaminant level goal 

(MCLG), and health effects language. These appendices are located on the EPA Web site at 

http://www.epa.gov/safewater/publicnotification/regulations.html. 

The PN Rule applies to the new regulations listed above in the following manner: 

● Arsenic Rule: Systems must provide Tier 2 public notice if they have an exceedance of the 

arsenic MCL and Tier 3 public notice if they fail to monitor for arsenic. 

● Filter Backwash Recycling Rule (FBRR): Systems must provide Tier 2 public notice for the 

treatment technique violation of failing to return water treatment recycle flows to the required 

location or a state-approved location. 

● Long-Term 1Enhanced Surface Water Treatment Rule (LT1ESWTR): A surface water system 

must provide Tier 2 public notice for treatment technique violations including a single 

exceedance of a maximum turbidity limit (can be elevated to Tier 1) or construction of an 

uncovered finished water reservoir; and Tier 3 public notice for failure to notify the state before 
PN Rule Implementation Guidance xi March 2010 

making a change to a disinfection practice, failure to conduct disinfection profiling and 

benchmarking, and failure to monitor for turbidity. 

● Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR): Based on a system’s 

schedule under the Stage 2 DBPR, systems must provide Tier 2 public notice if their locational 

running annual average for total trihalomethanes (TTHMs) or haloacetic acid 5 (HAA5) exceeds 

the MCL and Tier 3 public notice if they fail to monitor for TTHMs or HAA5 under Stage 2 

DBPR. 

● Long-Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR): Based on a system’s 

schedule under the LT2ESWTR, a surface water system must provide notices for the following 

violations: 

– Tier 2 public notice for failure to monitor for Cryptosporidium for any three months. 

– Tier 2 public notice for treatment technique violations including failure to address an 

uncovered finished water reservoir (i.e., cover or treat); failure to determine and report a 

bin classification (filtered systems); failure to calculate and report a mean 

Cryptosporidium level (unfiltered systems); failure to provide, install or maintain a 

required level of additional treatment (filtered systems); failure to achieve the required 

inactivation level or maintain it once achieved (unfiltered systems); and failure to install a 

second disinfectant (unfiltered systems). 

– Tier 3 public notice for failure to monitor for E. coli and turbidity, failure to monitor for 

Cryptosporidium for one or two months, and failure to conduct disinfection profiling and 

benchmarking. 

● Ground Water Rule: Beginning on December 1, 2009, a ground water system must provide notice 

for the following violations or situations: 

– Tier 1 public notice when the system detects a fecal indicator (E. coli, enterococci, 

coliphage) at the source. 

– Tier 2 public notice for treatment technique violations including failure to maintain 4-log 

treatment of viruses for more than 4 hours for systems required to treat to 4-log, failure to 

take corrective action within the required timeframe or be in compliance with a stateapproved corrective action plan and schedule for a fecal indicator-positive source sample, 

and failure to take corrective action within the required timeframe or be in compliance 

with a state-approved corrective action plan and schedule for a significant deficiency. 

– Tier 3 public notice for failure to conduct source water monitoring for fecal indicators or 

compliance monitoring. 

● Lead and Copper Rule (LCR) Short Term Regulatory Revisions and Clarifications: The minor 

revisions to the LCR did not affect the PN Rule. 
PN Rule Implementation Guidance xii March 2010 

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Section 1

Rule Requirements 
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PN Rule Implementation Guidance 3 March 2010 

1.1 Introduction 

Public notification of drinking water violations and other situations that can impact public health provides 

water systems with a means to protect public health, build trust with consumers through open and honest 

sharing of information, and establish an ongoing, positive relationship with the community. Public 

notification can also help consumers understand the reason for rate increases and support increased 

funding for drinking water treatment and protection. EPA believes the requirements established by the 

Public Notification (PN) Rule allow systems to provide consumers with accurate and timely information 

on violations and situations with potential adverse health effects. 

EPA first issued public notification regulations in 1976 and revised them in 1987. In 1992, a review of the 

public notification process by the General Accounting Office (GAO) revealed that the complexity of the 

Rule hindered its successful implementation. Section 114 of the 1996 Amendments to the Safe Drinking 

Water Act (SDWA), required EPA to amend the public notification provisions issued in 1987 to better 

target notices for serious violations posing short-term exposure risks to health, and to make the existing 

notification process less burdensome to public systems and more effective. 

The revised PN Rule, published in the Federal Register on May 4, 2000, modified the minimum 

requirements PWSs must meet regarding the form, manner, frequency, and content of public notices. The 

regulations apply to all public water systems with violations of National Primary Drinking Water 

Regulations (NPDWRs) or other situations posing a health risk. Since then, promulgation of each new 

NPDWR has included some modification to the PN regulation. These incremental modifications are 

reflected in the revised Handbooks discussed below and this Implementation Guidance. 

States with primary enforcement responsibility (primacy) were required to revise their drinking water 

programs by adopting regulations that were at least as stringent as the revised public notification 

requirements. Primacy agency regulations needed to be adopted as soon as possible but no later than May 

6, 2002. 

To aid water systems in implementing the revised regulation, EPA, with assistance from the Association 

of State Drinking Water Administrators (ASDWA), developed a Public Notification Handbook (EPA 

816-R-00-010) in June 2000. In order to capture the requirements of more recently promulgated 

regulations, a revised Public Notification Handbook (EPA 816-R-07-003) specifically for Community 

Water Systems (CWSs) and Non-transient Noncommunity Water Systems (NTNCWs) was published in 

March 2007 as well as a Transient Noncommunity Water Systems (TNCWS) Public Notification 

Handbook, which was developed to only include provisions specific to transient systems (EPA 816-R-07-

004). A second revision to both the CWS and NTNCWS PN Handbook (EPA 816-R-09-013) and the 

TNCWS PN Handbook (EPA 816-R-09-009) were reviewed by ASDWA and American Water Works 

Association (AWWA) and are being published concurrently with this document. 

The most recent Handbooks include templates for public notices for many violations and other situations 

included in EPA drinking water regulations published to date (March 2010), and other aids to help water 

systems develop their own notices. By explaining the PN Rule and providing specific examples of notices 

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

systems’ ability to comply with Federal and state requirements. EPA also encourages states to incorporate 

the most recent versions of both the CWS and NTNCWS PN Handbook and the TNCWS PN Handbook 

into their public notification program. The most recent Handbooks are located on the EPA Web site at 

http://www.epa.gov/safewater/publicnotification/compliancehelp.html. 
PN Rule Implementation Guidance 4 March 2010 

1.2 Requirements of the Rule: Public Water Systems 

1.2.1 Applicability and Compliance Dates 

The PN Rule requires public water systems (PWSs) to alert consumers to potential health risks from 

violations of drinking water standards and to tell them how to avoid or minimize such risks. The revised 

PN Rule modified the minimum requirements PWSs must meet regarding the form, manner, frequency, 

and content of public notices. States with primary enforcement responsibility (primacy) were required to 

revise their drinking water programs by adopting regulations that are at least as stringent as the revised 

public notification requirements as soon as possible but no later than May 6, 2002. 

The timetable for the PN Rule is presented in Table 1-1. 

Table 1-1. Summary of Action Dates for the PN Rule 

Key Date of Rule PN Rule Requirement 

May 4, 2000 PN Rule published in Federal Register. 

October 31, 2000 PN Rule effective for Direct Implementation programs. 

February 4, 2002 States were encouraged to submit final primacy applications or 

extension requests to EPA. 

May 5, 2002 Until this date, systems in primacy states without approved primacy for 

the PN Rule had to continue to comply with the public notification 

requirements under 40 CFR 141.32. 

May 6, 2002 Final primacy application had to be submitted to the EPA Regional 

Administrator or a request for an extension for up to 2 years. [40 CFR 

142.12(b)(1)]. 

May 6, 2002 PN Rule was effective for states with primacy for the Public Water 

System Supervision (PWSS) program. 

February 4, 2004 States with approved extension agreements were encouraged to 

submit final primacy applications to EPA. 

May 6, 2004 Final primacy revision applications for Public Notification (PN) Rule 

must be submitted to the EPA Regional Administrator if state was 

granted an extension. 

1.2.1.1 To Whom Does The Rule Apply? 

The PN Rule applies to all PWSs with violations of national primary drinking water regulations 

(NPDWRs) or other situations posing a public health risk. Each owner or operator of a PWS (CWSs, 

NTNCWSs, and TNCWSs) must provide a public notice to all persons served when the system fails to 

comply with certain drinking water regulations, has been granted a variance or exemption from the 

regulations, or is facing other situations posing a potential risk to public health. 

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. 
PN Rule Implementation Guidance 5 March 2010 

● Monitoring and testing procedure violations. 

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

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

● Occurrence of a waterborne disease outbreak or other waterborne emergency. 

● Fecal indicator-positive ground water source sample. 

● Exceedance of the nitrate MCL in noncommunity water systems (NCWSs) that have been granted 

permission by the state to continue to exceed the nitrate MCL of 10 milligrams per liter (mg/l) 

(although they may not exceed 20 mg/l). 

● Exceedance of the fluoride secondary MCL (SMCL). 

● Availability of unregulated contaminant monitoring results. 

● Operation under a variance or exemption. 

States may also require notice for other violations or situations. 

1.2.1.2 What Are The Compliance Dates? 

PWSs in states with primacy for the Public Water System Supervision (PWSS) Program were required to 

comply with the regulations under Part 141, Subpart Q no later than May 6, 2002. PWSs in jurisdictions 

where EPA directly implements the PWSS program were required to comply by October 31, 2000. 

1.2.2 Public Notice Tiers 1, 2, and 3 

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

The PN Rule assigns violations of drinking water standards and other situations to three tiers based upon 

the risk of adverse health effects: 

● Tier 1 applies to NPDWR violations and situations with significant potential to have serious 

adverse effects on human health as a result of short-term exposure. Notice is required within 24 

hours of the violation or situation. 

● Tier 2 applies to other NPDWR violations and situations with the potential to have serious 

adverse effects on human health. Notice is required within 30 days of the violation or situation, 

with the possibility of an extension of up to three months at the discretion of the state. 

● Tier 3 applies to all other NPDWR violations and situations not included in Tier 1 and Tier 2. 

Notice is required within 12 months of the violation or situation. 

The tier to which a violation or situation is assigned determines the form, manner, and timing of the 

public notice. EPA believes this linkage between the tier and the form, manner, and timing will allow 

water systems to effectively tailor the public notice to the health risk from each violation. 
PN Rule Implementation Guidance 6 March 2010 

1.2.3 Public Water System Reporting Requirements 

Table 1-2. PWS Requirements for Reporting to the State Under the PN Rule 

PWS Requirements for Reporting to the State Rule Cite 

The public water system, within 10 days of completing the public notification 40 CFR 141.31(d) 

requirements under Subpart Q of this part for the initial public notice and any 

repeat notices, must submit to the state a certification that it has fully complied 

with the public notification regulations. The public water system must include with 

this certification a representative copy of each type of notice distributed, published, 

posted, and made available to the persons served by the system and to the media. 

1.2.4 Public Water System Recordkeeping Requirements 

Table 1-3. PWS Recordkeeping Requirements Under the PN Rule 

PWS Recordkeeping Requirements Rule Cite 

Copies of public notices issued pursuant to Subpart Q of this part and certifications 40 CFR 141.33(e) 

made to the state pursuant to 40 CFR 141.31 must be kept for three years after 

issuance. 

1.3 Requirements of the Rule: States or Other Primacy Agencies 

1.3.1 Special Primacy Requirements 

[40 CFR 142.16(a)] 

In addition to adopting basic primacy requirements specified in 40 CFR 142, states are required to adopt 

primacy provisions pertaining to specific regulations where implementation of the Rule involves activities 

beyond general primacy provisions. States must include these rule-distinct provisions in an application for 

approval or revision of their programs. Refer to Section 4.4 for additional information on special primacy 

requirements. 

1.3.2 Records Kept by States 

Table 1-4. State Recordkeeping Requirements 

State Recordkeeping Requirements Rule Cite 

Public notification records under Subpart Q of Part 141 of this chapter received 40 CFR 142.14(f) 

from public water systems (including certifications of compliance and copies of 

public notices) and any state determinations establishing alternative public 

notification requirements for the water systems must be retained for three years. 
PN Rule Implementation Guidance 7 March 2010 

1.3.3 State Reporting Requirements 

Under 40 CFR 142.15, EPA currently requires states to report to EPA information such as violations, 

variance and exemption status, and enforcement actions. Table 1-5 describes the additional reporting 

requirements for states under the PN Rule. Section 5 of this document provides information on Safe 

Drinking Water Information System (SDWIS) reporting for the PN Rule. 

Table 1-5. State Requirements for Reporting to EPA 

 State Requirements for Reporting to EPA Rule Cite 

Each state which has primary enforcement responsibility shall submit quarterly 40 CFR 142.15(a)(1) 

reports to the administrator on a schedule and in a format prescribed by the 

Administrator consisting of the following information: 

(1) New violations by public water systems in the state during the previous 

quarter of state regulations adopted to incorporate the requirements of 

national primary drinking water regulations, including violations of the public 

notification requirements under Subpart Q of Part 141 of this chapter. 
PN Rule Implementation Guidance 8 March 2010 

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Section 2

Resources and Guidance 
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PN Rule Implementation Guidance 11 March 2010 

In addition to this Implementation Guidance Manual, a variety of resource materials and technical 

guidance documents have been prepared by EPA to facilitate understanding and implementing the PN 

Rule. This section is an overview of each of these resources and includes information on where to get 

them. 

2.1 Technical Guidance Manuals and Tools 

The following guidance manuals and tools have been developed to support implementation of, and 

compliance with, the provisions of the PN Rule. These manuals and tools will aid EPA, state agencies, 

and affected PWSs in implementing this Rule, and will help ensure that the implementation among these 

groups is consistent. The following resources can be found on EPA’s Web site at: 

http://www.epa.gov/safewater/publicnotification/compliancehelp.html. 

● Revised Public Notification Handbook for Community and Non-transient Non-community Water 

Systems. EPA 816-R-09-013, March 2010. This guide was developed for community water 

systems and non-transient noncommunity water systems. It provides instructions and templates 

that can be used for various types of public notices. 

● Revised Public Notification Handbook for Transient Non-community Water Systems. EPA 816-R09-009, March 2010. This guide was developed for transient noncommunity water systems. It 

provides instructions and templates that can be used for various types of public notices. 

● Updated version of Appendix A and B to Subpart Q which were last updated December 2006. 

● Microsoft Word files of PN templates. These templates can be used and customized by drinking 

water systems to ensure they meet PN content requirements. 

● PNiWriter. EPA developed the PNiWriter to enable water system operators or other designated 

personnel to generate a public notice that meets federal requirements. The program takes users 

through the 10 required elements of a public notice and allows them to edit EPA’s recommended 

text and/or insert their own text to fit their violation or situation. Since PNiWriter is a Web-based 

application (http://www.pniwriter.com), Internet access is required. 

● Talking to your Customers about Chronic Contaminants in Drinking Water. EPA 814-F-07-022, 

October 2007. This document provides guidance to water systems on the importance of 

communicating with the public about chronic contaminants – both regulated and unregulated. It 

also describes effective strategies for getting the message out. 

In addition to the guidance manuals developed to support the PN Rule, EPA has developed other 

guidance manuals that may help primacy agencies and affected PWSs with implementing the PN Rule. 

● Implementation Guidance for the Filter Backwash Recycling Rule. EPA 816-R-04-006, June 

2004. http://www.epa.gov/safewater/filterbackwash.html. 

● Long Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) Implementation Guidance. 

EPA 816-R-04-008, August, 2004. http://www.epa.gov/safewater/mdbp/lt1eswtr.html. 

● The Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR) Implementation 

Guidance. EPA 816-R-07-007, August 2007. 

http://www.epa.gov/safewater/disinfection/stage2/compliance.html. 
PN Rule Implementation Guidance 12 March 2010 

● The Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR) Implementation 

Guidance. EPA 816-R-07-006, August 2007. 

http://www.epa.gov/safewater/disinfection/lt2/compliance.html. 

● The Ground Water Rule (GWR) Implementation Guidance. EPA 816-R-09-004, January 2009. 

http://www.epa.gov/safewater/disinfection/gwr/compliancehelp.html. 

For more information, contact EPA’s Safe Drinking Water Hotline at 1-800-426-4791, or see the Office 

of Ground Water and Drinking Water Web site. The PN guidance documents are located at 

http://www.epa.gov/safewater/publicnotification/compliancehelp.html. 

2.2 Rule Presentation 

Presentations that can be used for workshops on the PN Rule are available in PowerPoint format on 

EPA’s Web site: http://www.epa.gov/safewater/publicnotification/compliancehelp.html. 

2.3 Fact Sheets and Quick Reference Guide 

Factsheets and Quick Reference Guides for the PN Rule may be useful for conveying basic information 

about the Rule to water systems, new personnel, and stakeholders. These stand alone documents, included 

in Appendix C of this document, are: 

● Public Notification Rule: A Quick Reference Guide. EPA 816-F-09-010. August 2009. 

http://www.epa.gov/safewater/publicnotification/compliancehelp.html. 

● Fact Sheet: Drinking Water Public Notification. EPA 816-F-00-021, May 2000. 

http://www.epa.gov/safewater/publicnotification/regulations.html. 

● Fact Sheet: Final Drinking Water Public Notification Regulations. EPA 816-F-00-020, May 

2000. http://www.epa.gov/safewater/publicnotification/regulations.html. 

● Ground Water Rule Factsheet: Public Notification, Consumer Confidence Report, and Special 

Notice Requirements for Community Water Systems. EPA 816-F-08-026. June 2008. 

http://www.epa.gov/safewater/disinfection/gwr/compliancehelp.html. 

● Ground Water Rule Factsheet: Public Notification and Special Notice Requirements for 

Noncommunity Water Systems. EPA 816-F-08-030. June 2008. 

http://www.epa.gov/safewater/disinfection/gwr/compliancehelp.html. 

2.4 Questions & Answers 

Some questions and Answers (Q&As) on the PN Rule are provided in this section. These questions have 

been asked of EPA through the Safe Drinking Water Hotline, implementation training, or other means. 

Q1. What is public notification? 

A1. Public notification is intended to ensure that consumers will always know if there is a 

problem with their drinking water. Public water systems must notify the people who drink 

their water if the level of a contaminant in the water exceeds EPA and state drinking water 
PN Rule Implementation Guidance 13 March 2010 

regulations, if there is a waterborne disease outbreak or any other situation that may pose a 

risk to public health, if the water system fails to test its water as required, or if the system has 

a variance or exemption from the regulations. Depending on the severity of the situation, 

water suppliers have from 24 hours to one year to notify their customers. EPA sets strict 

requirements on the form, manner, content, and frequency of public notices. Public 

notification is provided in addition to the annual water quality report (consumer confidence 

report, or CCR), which provides customers with a more complete picture of drinking water 

quality and system operations. The annual CCR tells consumers what's in their water, where 

it comes from, and where they can obtain additional information. 

Q2. What action is EPA taking? 

A2. Public notice provisions have existed in the SDWA since its enactment in 1974. Public 

notification regulations were first revised in 1987 and again in 2000 (Federal Register 65 FR 

25981 on May 4, 2000). The revised regulations require fewer notices overall, faster notice 

in emergencies, and notices that better communicate the potential health risks from drinking 

water violations and how to avoid such risks. The 2000 Rule made the notification process 

less burdensome for water suppliers, while enabling them to better target notices to the 

seriousness of the risk and to make notices easier to read for consumers. Since then, the PN 

Rule has undergone minor modifications with promulgation of each new drinking water 

regulation to incorporate any PN requirements specific to that rule. 

Q3. What changes were made to the public notification requirements from the previously 

published Rule to the Rule published on May 4, 2000? 

A3. The changes are as follows: 

● 24-hours notice. Water systems are required to distribute Tier 1 notices within 24 hours 

(instead of 72 hours) for violations posing acute health risks due to short-term exposure. 

In addition, the number of violations and situations requiring a Tier 1 notice were 

significantly expanded from the previous Rule. 

● Consultation requirement. Water systems must consult with the state or EPA within 24 

hours of notification of a Tier 1 violation or situation to receive direction on subsequent 

requirements. 

● 30-day notice for other serious violations. The notice deadline for violations of maximum 

contaminant levels or treatment techniques which do not pose an immediate threat to 

human health is extended from 14 days to 30 days, with possible extension to 3 months 

(Tier 2). 

● 12-month notice for non-serious violations. The notice deadline for all other violations is 

extended from 3 months to 12 months, allowing a single annual report where applicable 

(Tier 3). Systems may choose to include this notice in their annual consumer confidence 

report (CCR). 

● Simplified standard language. The existing standard health effects language is simplified, 

consistent with the CCR requirements. New standard language is now required for 

monitoring violations. Recipients of public notices are also encouraged, through standard 

distribution language in notices, to further distribute the notices to people who may not 

receive a notice (such as tenants or hospital patients). 
PN Rule Implementation Guidance 14 March 2010 

● Streamlined distribution of notices. Under the previous Rule, water systems were 

required to use specific multiple delivery methods when distributing notices. The revised 

Rule requires water systems to select a single minimum method for each tier and to take 

additional steps of their own choosing that are reasonably calculated to reach all the other 

persons served. The minimum required methods of delivery listed in the revised 

regulation include the media, hand delivery, or posting for Tier 1 notices, and direct mail, 

hand delivery, or posting for Tier 2 and Tier 3 notices. 

● Certification of Compliance. The revised Rule requires a water system to certify to the 

state within 10 days that it has met all public notice requirements. The previous Rule 

required only that a copy of the notices be sent to the state. 

Q4. How quickly do water systems have to send notices? 

A4. Depending on the severity of the situation, water suppliers have from 24 hours to one year to 

notify their customers after a violation or situation occurs. EPA specifies three categories, or 

tiers, of public notification. Depending on what tier a violation or situation falls into, water 

systems have different amounts of time to distribute the notice and different ways to deliver 

the notice: 

● Immediate Notice (Tier 1): Any time a situation occurs where there is the potential for 

human health to be immediately impacted, water suppliers have 24 hours to notify people 

who may drink the water of the situation. Water suppliers must use media outlets such as 

television, radio, and newspapers, post their notice in public places, or personally deliver 

a notice to their customers in these situations. 

● Notice as soon as possible (Tier 2): Any time a water system provides water with levels 

of a contaminant that violate EPA or state standards or that otherwise violates a treatment 

technique requirement but that doesn't pose an immediate risk to human health, the water 

system must notify its customers as soon as possible, but within 30 days of the violation. 

Notice may be provided via the media, posting, or through the mail. 

● Annual Notice (Tier 3): When a water system violates a drinking water requirement (e.g., 

failing to take a required sample on time) or other situation (e.g., exceedance of the 

fluoride SMCL) that does not have a direct impact on human health, the water supplier 

has up to a year to provide a notice of this situation to its customers. The extra time gives 

water suppliers the opportunity to consolidate these notices and send them with annual 

water quality reports (for example, community water systems may include them in their 

consumer confidence reports). 

Q5. What information must be included in a notice? 

A5. All notices must include: 

● A description of the violation or situation that occurred, including the potential health 

effects. 

● When the violation or situation occurred. 

● Potential adverse health effects. 
PN Rule Implementation Guidance 15 March 2010 

● The population at risk. 

● Whether alternate water supplies need to be used. 

● Actions consumers can take. 

● What the water system is doing to correct the problem. 

● When the system expects the problem to be resolved. 

● How to contact the water system for more information. 

● Language encouraging broader distribution of the notice. 

Q6. How often do violations occur that require a public notice? 

A6. Although serious water quality problems are rare, approximately 25 percent of the nation's 

170,000 public water suppliers violate at least one drinking water standard every year and 

are required to provide public notice. The majority of these violations are due to the failure 

of water systems to complete all sampling in a timely manner. Only about one percent of the 

time do water systems incur a violation for a serious situation that requires immediate 

notification (Tier 1 public notice). 

Q7. What types of violations and situations are covered under each tier? 

A7. The regulation contains an Appendix listing every violation and situation requiring a public 

notice and its tier (Appendix A to Subpart Q). The requirements for the timing of the public 

notice and the form and manner of its delivery are determined by the tier to which the 

violation or situation is assigned. For example, a total coliform violation where fecal 

coliform is present falls under Tier 1, which requires notification delivery within 24 hours (at 

a minimum) using appropriate broadcast media, posting, or hand delivery. 

Q8. What are EPA requirements for the form, manner, and content of the public notices? 

A8. The PN Rule sets minimum methods of delivery under each tier, but also requires that water 

systems take steps reasonably calculated to reach others that may not be contacted by the 

primary method. Each notice must contain information addressing ten elements (see Q5 

above), including use of standard health effects language for MCL and TT violations and 

standard language for monitoring violations. Public water systems serving a large proportion 

of non-English speaking consumers are also required to include information in the notice in 

languages other than English. 

Q9. Which public water systems are affected by the regulation? 

A9. All public water systems are affected by the regulation regardless of their size or type. 

The PN Rule requires states with primary enforcement authority to revise their approved 

primacy programs to adopt regulations no less stringent than the revised EPA regulations. 

The final regulation gives states considerable discretion, at their option, to work with EPA to 

tailor public notification programs to fit unique needs, policies, and programs. 
PN Rule Implementation Guidance 16 March 2010 

Q10. How is EPA helping public water systems with the PN requirements? 

A10. EPA and the Association of State Drinking Water Administrators (ASDWA) issued a Public 

Notification Handbook (EPA 816-R-00-010) in June 2000 to assist water systems in 

implementing the regulation. A revised Public Notification Handbook (EPA 816-R-07-003) 

specifically for community and non-transient noncommunity water systems was published in 

March 2007 along with a handbook for transient noncommunity systems (EPA 816-R-07-

004), which was developed to only include provisions specific to transient systems. A 

second revision to both the CWS and NTNCWS PN Handbook (EPA 816-R-09-013) and the 

TNCWS PN Handbook (EPA 816-R-09-009) were reviewed by ASDWA and AWWA and 

are being published concurrently with this document (March 2010). The most recent 

Handbooks include templates for public notices for many violations and other situations 

included in EPA drinking water regulations published to date (March 2010), and other aids 

to help water systems develop their own notices. 
Section 3

State Implementation 
This Page Intentionally Left Blank 
PN Rule Implementation Guidance 19 March 2010 

3.1 Overview of Implementation 

The PN Rule requires all PWSs to alert consumers to potential health risks from violations of drinking 

water standards or other situations that can pose public health risks, and to tell consumers how to avoid or 

minimize such risks. The revised PN Rule, published in the Federal Register on May 4, 2000, modified 

the minimum requirements PWSs must meet regarding the form, manner, frequency, and content of 

public notices from those listed in the former PN Rule. States with primary enforcement responsibility 

(primacy) were required to revise their drinking water programs by adopting regulations that were at least 

as stringent as the revised public notification requirements as soon as possible, but no later than May 6, 

2002. 

States should note that in several sections the guidance makes suggestions and offers alternatives that go 

beyond the minimum requirements indicated by reading 40 CFR 142.16. EPA does this to provide states 

with information and/or suggestions that may be helpful to states’ implementation efforts. Such 

suggestions may be prefaced by “may” or “can” and are considered to be advisory. They are not required 

elements of states’ programs. 

3.2 Identify Affected Systems and Requirements 

Provisions of the PN Rule apply differently to each type of PWSs. For instance, NTNCWSs and 

TNCWSs have different delivery method options than CWSs. In addition, NTNCWSs and TNCWSs have 

different violations or situations that require public notification (e.g., TNCWSs are not required to test for 

inorganic chemicals). 

3.2.1 General Provisions 

The PN Rule applies to all PWSs with violations of NPDWRs or other situations posing a public health 

risk. Each owner or operator of a PWS must provide a public notice to all persons served when the system 

fails to comply with certain drinking water regulations, has been granted a variance or exemption from 

the regulations, or is facing other situations posing a potential risk to public health. 

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

● Exceedances of MCLs or MRDLs. 

● Violation of treatment techniques. 

● Monitoring and testing procedure violations. 

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

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

● Occurrence of a waterborne disease outbreak or other waterborne emergency. 

● Fecal indicator-positive ground water source sample. 

● Exceedance of the nitrate MCL in noncommunity 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). 

● Exceedance of the fluoride SMCL. 
● Availability of unregulated contaminant monitoring results. 

● Operation under a variance or exemption. 

States may require notice for other violations and situations. 

3.2.2 Public Notice Tiers 1, 2, and 3 

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

The PN Rule classifies violations of drinking water standards and other situations into three tiers based 

upon the risk of adverse health effects: 

● Tier 1 applies to NPDWR violations and situations with significant potential to have serious 

adverse effects on human health as a result of short-term exposure. Notice is required within 24 

hours of the violation or situation. 

● Tier 2 applies to other NPDWR violations and situations with the potential to have serious 

adverse effects on human health. Notice is required within 30 days of the violation or situation, 

with the possibility of an extension of up to three months at the discretion of the state. 

● Tier 3 applies to all other NPDWR violations and situations not included in Tier 1 and Tier 2. 

Notice is required within 12 months 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 between the tier and the form, manner, and timing will allow 

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

Table 3-1 below shows the appropriate tiers for NPDWR violations and other situations. A complete list 

of contaminants and their appropriate tiers can be found in Appendix A to Subpart Q. 

PN Rule Implementation Guidance 20 March 2010 
PN Rule Implementation Guidance 21 March 2010 

Table 3-1. Violations and Situations Requiring Public Notice 

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

• 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. 

• Violation of the MCL for nitrate or 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. 

• Exceedance of the nitrate MCL (10 mg/l) by noncommunity water systems, where permitted to exceed the MCL 

(up to 20 mg/l) by the state. 

• 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. 

• Violation of the turbidity MCL of 5 NTU, where the state determines after consultation that a Tier 1 notice is 

required or where consultation does not occur in 24 hours after the system learns of violation. 

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

turbidity limit, where the state determines after consultation that a Tier 1 notice is required or where consultation 

does not take place in 24 hours after the system learns of violation. 

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

• Detection of E. coli, enterococci, or coliphage in a ground water source sample. 

• Other violations or situations with significant potential to have serious adverse effects on human health as a 

result of short-term exposure, as determined by the state either in its regulations or on a case-by-case basis. 

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

consultation with the state as soon as practical but within 24 hours after learning of the violation or situation. Note: 

Initiate consultation means that at a minimum, the system has taken steps to contact the state. EPA and most states 

now have voicemail or an emergency hotline, so systems should be able to leave a message. If the system is not 

able to reach anyone within the 24-hour period, the system must still issue public notice within that timeframe. When 

consultation does occur, the state or EPA will inform the system of any additional steps they must take as a follow-up 

to the initial notice.

Tier 2 Violations and Other Situations Requiring Notice Within 30 Days** 

• All violations of MCL, MRDL, and (TT) requirements except where Tier 1 notice is required. 

• Violations of monitoring requirements where the state determines that a Tier 2 public notice is required, 

taking into account potential health impacts and persistence of the violation. 

• Failure to comply with the terms and conditions of any variance or exemption in place. 

• For ground water systems providing 4-log treatment for viruses, failure to maintain required treatment for more 

than 4 hours. 

• Failure to take corrective action within the required timeframe or be in compliance with a state-approved 

corrective action plan and schedule for a fecal indicator-positive source sample under the Ground Water 

Rule. 

• Failure to take corrective action within the required timeframe or be in compliance with a state-approved 

corrective action plan and schedule for a significant deficiency under the Ground Water Rule. 

• Special public notice for repeated failure to conduct monitoring for Cryptosporidium (40 CFR 141.211). 

** If the system exceeds the maximum allowable turbidity level, as identified in Appendix A to Subpart Q, it must 

consult with the state as soon as practical but no later than 24 hours after learning of the violation. Note: Consult with 

the state means that the system contacts and has a discussion with the state about the violation. If the system does 

not have a consultation with the state within the 24-hour period, a Tier 1 public notice requirement is automatically 

triggered and the system must issue a public notice within the next 24-hour period. In contrast to the term “initiate 

consultation” for Tier 1 violations or situations, EPA intends that the system actually have a discussion about the 

violation or situation.
PN Rule Implementation Guidance 22 March 2010 

Tier 3 Violations and Other Situations Requiring Notice Within 1 Year 

• Monitoring violations, except where a Tier 1 notice is required or the state determines that the violation 

requires a Tier 2 notice. 

• Failure to comply with an established testing procedure, except where a Tier 1 notice is required or the state 

determines that the violation requires a Tier 2 notice. 

• Operation under variance granted under § 1415 or exemption granted under § 1416 of the Safe Drinking Water 

Act. 

• Availability of unregulated contaminant monitoring results. 

• Exceedance of the secondary maximum contaminant level for fluoride (community water systems only). 

3.2.3 Content of a Public Notice - Ten Required Elements 

[40 CFR 141.205(a)] 

With the exception of some special notices as described in Section 3.2.9., all public notices must include a 

clear and readily understandable explanation of each violation or situation and must address the following 

ten elements: 

1) A description of the violation or situation including contaminant(s) of concern and (as applicable) 

the contaminant level(s). 

2) When the violation or situation occurred (i.e., date the sample was collected or was supposed to 

be collected). 

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

health effects provided in Appendix B to Subpart Q or for monitoring or testing procedure 

violations provided in 40 CFR 141.205(d)(2). (Refer to Section 3.2.8 of this document). 

4) The population at risk, including subpopulations particularly vulnerable if exposed to the 

contaminant in their drinking water. 

5) Whether alternate water supplies should be used. 

6) What actions consumers should take, including when to seek medical help (if known). 

7) What the system is doing to correct the violation or situation. 

8) When the system expects to return to compliance or resolve the situation. 

9) Contact information: name, business address, and phone number of the water system owner, 

operator, or designee of the PWS that can provide additional information concerning the notice. 

10) A statement encouraging notice recipients to distribute the notice to other persons served, where 

applicable, using standard language provided in 40 CFR 141.205(d)(3). (Refer to Section 3.2.8 of 

this document). 

Although required elements may not appear to be applicable to each type of violation, the system must 

still address each element in the notice. For example, if there is no “action consumers should take,” the 

notice should not disregard this requirement but simply state this. EPA believes this is especially 

important for Tier 2 notices, where a violation may have been resolved by the time the notice is issued or 
PN Rule Implementation Guidance 23 March 2010 

may not be an immediate health risk. Systems may consult with their state or a local health department for 

the appropriate information for some elements of the notice, such as the actions consumers should take. 

The local health department also can help identify other system-specific information, such as populations 

at risk (e.g., children or dialysis patients). 

If a system does not know when it will return to compliance, EPA expects the notice to give consumers an 

idea of how long it will take. For example, it may take a few days to resolve an E. coli violation or a few 

months to install corrosion control. Public notice is required for as long as the violation or situation 

persists. When the problem is resolved, EPA recommends that a system issue a follow-up notice. 

For some situations, such as waterborne emergencies, that may not have mandatory health effects 

language, systems will have to develop situation-specific descriptions of potential health effects. A PWS 

may be able to adapt the language from a treatment technique or MCL violation. Figure 3-1 contains an 

example showing how all the required content elements fit into a notice for a violation. 
PN Rule Implementation Guidance 24 March 2010 

Figure 3-1. Required Elements of a Public Notice 
PN Rule Implementation Guidance 25 March 2010 

3.2.4 Minimum Delivery Requirements for Public Notice 

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

The PN Rule establishes minimum delivery methods for systems to use in distributing public notices for a 

Tier 1, 2, or 3 violation or situation. Water systems must select at least one delivery method from the 

regulatory list and take steps reasonably calculated to reach others served by the system. 

Tier 1

40 CFR 141.202(c) gives systems the flexibility to choose the specific method of delivery to distribute 

Tier 1 notices. For Tier 1 notification, a PWS must use, at a minimum, at least one of the following 

delivery methods: 

● Appropriate broadcast media. 

● Posting of the notice in conspicuous locations. 

● Hand delivery. 

● Another minimum delivery method specified in writing by the state. 

The Rule also establishes a performance standard requiring the system to use delivery methods reasonably 

calculated to reach all other persons not reached by the primary method within the 24-hour period, 

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

Tiers 2 and 3

Delivery requirements for Tier 2 and 3 notices differ depending on whether a system is a CWS or a 

NCWS. The requirements for delivering Tier 2 notices are specified in 40 CFR 141.203(c). Requirements 

for Tier 3 notification are specified in 40 CFR 141.204(c). The Rule requires a CWS, at a minimum, to 

mail or otherwise directly deliver the notice to each customer receiving a bill and to other service 

connections to which water is delivered, and to use another method reasonably calculated to reach other 

persons regularly served by the system. NCWSs must, at a minimum, post the notice in conspicuous 

locations or mail or directly deliver the notice to each customer and service connection (if known), and to 

use another method reasonably calculated to reach other persons if they would not normally be reached by 

the posted notice. The state may direct the system in writing to provide a delivery method other than the 

methods required in 40 CFR 141.203(c) and 40 CFR 141.204(c). 

Table 3-2 summarizes the minimum delivery requirements prescribed for Tier 1, 2, and 3 notices. 

If a public notice is posted, it must remain in place for as long as the violation or situation lasts, but in no 

case less than seven days, even if the violation or situation is resolved [40 CFR 141.203(b) and 40 CFR 

141.204(b)]. Generally, a violation or situation is considered to be resolved when the system has returned 

to compliance as defined by the regulation in question; however systems may wish to contact their state to 

determine whether a violation or situation is considered resolved. 
PN Rule Implementation Guidance 26 March 2010 

Table 3-2. Requirements for Issuing Public Notice 

Tier Deadline for 

Initial Notice 

Repeated 

Notices* Delivery Methods to Use 

1 24 hours** As dictated 

by the state 

1) Broadcast media (radio or television), hand delivery, or 

posting. 

2) In consultation with the state, additional methods may 

be required. 

CWS: 

1) Mail or hand delivery. 

2) Another method as needed to reach consumers not 

2 30 days*** Every 3 

months likely to receive a notice from methods noted in item #1. 

NCWS: 

1) Posting, hand delivery, or mail. 

2) Another method as needed to reach consumers not 

likely to receive a notice from methods noted in item #1. 

CWS: 

1) Mail or hand delivery (public notice delivery may be 

provided by CCR if one year requirement is met). 

2) Another method as needed to reach consumers not 3 1 year**** Annually likely to receive a notice from methods noted in item #1. 

NCWS: 

1) Posting, hand delivery, or mail. 

2) Another method as needed to reach consumers not 

likely to receive a notice from methods noted in item #1. 

* Repeated notices are required if the violation or situation persists, unless otherwise directed by 

the state. 

** For Tier 1, systems must also initiate consultation with the state within 24 hours. 

*** 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 state 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 (refer to Section 3.2.4.1 for more information). 
PN Rule Implementation Guidance 27 March 2010 

3.2.4.1 Use of Annual Notice to Meet Tier 3 PN Requirements 

 [40 CFR 141.204(b)(2), 141.204(d)] 

The PN Rule allows systems the option of providing an annual notice summarizing all Tier 3 violations 

occurring during the year instead of providing individual Tier 3 public notices [40 CFR 141.204(b)(2)]. 

Given that the majority of violations or situations require a Tier 3 public notice, EPA believes the 

advantages of using an annual notice for Tier 3 violations or situations are reduced cost and more 

effective communication with consumers. 

A community water system (CWS) has the option to use their consumer confidence report (CCR) as a 

vehicle for Tier 3 notices (initial and repeat notices). States and systems should be aware that the timing 

and content requirements of the PN Rule differ from those of the CCR Rule and any Tier 3 notices 

inserted in the CCR must meet the PN requirements. With regard to timing, for example, a CCR 

published on July 1, 2011 must include violations or situations that occurred between January 1, 2010 and 

December 31, 2010. However, a CCR published on this date cannot be used to provide public notification 

for Tier 3 violations or situations that occurred between January and June 2010 since the CCR would 

reach consumers more than a year after they occurred. To minimize the timing conflict, systems could 

publish the CCR early (i.e., as soon after the end of the calendar year as possible) or include a separate 

public notice for the violations that occurred from January through June of the current year in the same 

envelope as the CCR covering the previous calendar year’s violations. 

As specified in 40 CFR 141.204(d), if a CWS chooses to use the CCR for public notification, the CWS 

must: 

1) Provide the CCR to all persons served no later than 12 months after the system learns of the 

violation as required in 40 CFR 141.204(b). 

2) Meet the PN requirements for content of Tier 3 public notices under 40 CFR 141.205. 

3) Distribute the CCR following the PN delivery requirements in 40 CFR 141.204(c). Small CWSs 

that have a mailing waiver for CCR would not satisfy the PN delivery requirements. In addition, 

the CCR must be provided to persons served that are not necessarily only the billing customers 

who would receive the CCR. 

3.2.5 Who Must be Notified 

[40 CFR 141.201(c), 141.206, and 141.210] 

Each PWS must provide public notice to persons served by the water system [40 CFR 141.201(c)]. EPA 

interprets the obligation of a system to reach persons served to extend beyond bill-paying customers and 

service connections to all consumers of the system’s drinking water. This means that a PWS must take 

steps reasonably calculated to inform people who drink the water if they would not be reached by the 

primary delivery methods. For example, if a CWS mails a notice to its billing customers only, people who 

do not receive water bills, such as tenants or people who work in the area served by the system but live 

elsewhere would not receive a notice. Publishing the notice in the newspaper and/or providing copies of 

the notice to landlords to distribute to their tenants would help reach those people. In addition to posting 

the notice, a NCWS could deliver multiple copies of the notice to central locations (e.g., community 

centers). 

The PN Rule also requires inclusion of standard language in the notice to encourage distribution of the 

notice, where applicable. This language is included in Section 3.2.8 and is intended to increase public 
PN Rule Implementation Guidance 28 March 2010 

awareness of the situation. However, use of this language does not relieve systems of their obligation to 

notify persons served. 

3.2.5.1 Wholesale and Consecutive System Responsibilities 

[40 CFR 141.201(c)(1)] 

Public water systems that sell or otherwise provide drinking water to other public water systems are 

required to give public notice of a violation or situation to the owner or operator of any systems to whom 

they sell water. (Selling systems are known as “wholesale” systems; purchasing systems are referred to as 

“consecutive” systems.) The wholesale system is not required under the PN Rule to distribute notice to 

persons served by the consecutive systems. It is the responsibility of the consecutive system to provide 

public notice to the people it serves. For example, if a PWS supplies water to six other systems, the PN 

Rule requires the wholesale system to provide public notice to the owner or operator of each of the other 

six water systems. Each of the six consecutive systems must, in turn, provide notice to the persons they 

serve within the appropriate deadline. 

The “clock” for public notification (i.e., the point in time from which the deadline for notification is 

determined) begins for each of the consecutive systems when they are notified of the violation or 

situation. In a situation where a system purchases water, then sells some of this water to another system, 

this could have a “multiplying” effect. In a Tier 1 situation, for example, the notification deadline for the 

third system could be up to three days after the violation was originally identified. In such circumstances, 

it may be easier and more appropriate for the wholesale system to notify all consumers of consecutive 

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

general, wholesale systems should send copies of the notice to their consecutive systems prior to 

notifying the media, if time permits. Although the legal obligations are clear under the Rule, EPA 

recommends that in such cases the wholesale and consecutive systems agree on, and specify in their 

contracts, the most effective approach for distributing public notices. 

3.2.5.2 Limited Distribution of Notices 

[40 CFR 141.201(c)(2)] 

In cases where a system has a violation in a portion of the distribution system that is physically or 

hydraulically isolated from the rest of the distribution system, the PN Rule provides states with the 

flexibility to allow a system to only notify persons served by that portion of the system that is out of 

compliance. The state must provide written permission to the system for limiting distribution of the 

notice. 

This provision can also apply to wholesale systems and consecutive systems. If a consecutive connection 

is in an area of the distribution system that is isolated from other parts of the distribution system, and that 

portion of the distribution serving the consecutive system is in compliance, the state can grant the 

wholesale system permission, in writing, to only notify those areas of the distribution system that are not 

in compliance. Thus the consecutive system would not be notified of the violation. 

3.2.5.3 Copy of Notice to State 

[40 CFR 141.201(c)(3)] 

A copy of the notice and certification that all requirements have been met must be sent to the state, in 

accordance with the requirements of 40 CFR 141.31(d). Refer to Section 3.2.11 of this document for more 

information. 
PN Rule Implementation Guidance 29 March 2010 

3.2.5.4 Notice to New Billing Units 

[40 CFR 141.206] 

The Rule requires community water systems to give a copy of the most recent public notice for any 

continuing violation, the existence of a variance or exemption, or other ongoing situations requiring a 

public notice to all new billing units or new customers prior to or at the time service begins. Noncommunity water systems must continuously post the public notice in conspicuous locations to inform 

new consumers of any continuing violation, the existence of a variance or exemption, or other ongoing 

situations requiring public notice. 

3.2.5.5 Notice by the State on Behalf of the System 

[40 CFR 141.210] 

The state at its discretion, may give public notice on behalf of the PWS if all PN requirements are met. 

The owner or operator of the PWS remains responsible for ensuring that the PN requirements are met. 

3.2.6 Variances and Exemptions 

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

Systems operating under a variance or exemption must provide Tier 3 notice to their consumers within 

one year of obtaining the variance or exemption, and repeat the notice annually for as long as the variance

or exemption exists. In addition, if the notice is posted, it must remain in place for as long as the variance 

or exemption exists [40 CFR 141.204(b)(1)]. The notice must include the following [40 CFR 141.205(b)]:

● An explanation of the reasons for the variance or exemption. 

● The date on which the variance or exemption was issued. 

● Brief report on the steps the system is taking to comply with the terms of the variance or 

exemption. 

● Notice of any opportunity for public input of the variance and exemption. 

A system that violates the conditions of a variance or exemption must issue a Tier 2 public notice 

containing the ten elements specified in 40 CFR 141.205(a). 

 

3.2.7 Multilingual Requirements 

[40 CFR 141.205(c)(2)] 

The PN Rule establishes minimum multilingual requirements for PWSs to meet. If a large proportion of 

the population a system serves does not speak English, the system must provide at least partially 

multilingual notices. The notice must, at a minimum, contain information in the appropriate language(s) 

regarding the importance of the notice, or it must provide a phone number or address where a translated 

notice or information or assistance in the appropriate language is available. The state may establish 

criteria for what constitutes a large proportion of the population served. The PN Rule also requires a PWS 

to comply with the multilingual requirements, where appropriate, even in those cases where the state does 

not provide further direction. 

To determine the languages spoken in a community, systems should rely on knowledge of their consumer 

base or contacts with community representatives. Another possible source of information on the 

languages spoken in a locale is the US Census Bureau’s Web site, http://factfinder.census.gov, which 
PN Rule Implementation Guidance 30 March 2010 

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 more educational in nature. Systems may wish to provide notices in 

multiple languages if non-English speaking populations are in the service area, whether or not there are a 

large proportion of such people. Although systems are not required to provide full translations of notices, 

this is strongly recommended for Tier 1 notices and for other violations that pose a serious health risk. 

The revised CWS and NTNCWS PN Handbook (EPA 816-R-09-013) and the revised TNCWS PN 

Handbook (EPA 816-R-09-009) include Spanish translations for two Tier 1 notices: violation of the 

nitrate MCL and violation of the total coliform MCL where fecal coliforms or E. coli are present. These 

are posted on EPA’s Web site at: http://www.epa.gov/safewater/publicnotification/compliancehelp.html. 

3.2.8 Standard Language for Public Notices 

[40 CFR 141.205(d)] 

The PN Rule contains mandatory health effects language for MCL, MRDL, and TT violations, standard 

language for monitoring violations, and standard language for distribution of the notice to all persons 

served. 

● Appendix B to Subpart Q specifies health effects language for MCL and MRDL violations, TT 

violations, and violations of the conditions of a variance or exemption. A PWS must include in 

each public notice the health effects language specified in Appendix B to Subpart Q [40 CFR 

141.205(d)(1)]. If there is no mandatory language provided for a violation or situation, systems 

should describe potential health effects using their own language. 

● The following language must be included for all monitoring violations (including testing 

procedure violations) [40 CFR 141.205(d)(2)]: 

We are required to monitor your drinking water for specific contaminants on a regular 

basis. Results of regular monitoring are an indicator 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 [40 CFR 141.205(d)(3)]. EPA believes distribution of 

the notice to all persons served increases public awareness of the situation. Use of this language 

does not relieve systems of their obligation to notify persons served: 

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

those who may not have received this notice directly (for example, people in apartments, 

nursing homes, schools, and businesses). You can do this by posting this notice in a 

public place or distributing copies by hand or mail. 

There are situations where this may not apply. For example, this language would probably not be 

necessary on a posted notice, since posting makes the notice available to everyone who passes by. 

It would also not be needed for a notice provided by broadcast and print media. 
PN Rule Implementation Guidance 31 March 2010 

3.2.9 Special Notices 

[40 CFR 141.207, 141.208, 141.209, and 141.211] 

The PN Rule specifies violations and situations that have special conditions of form, manner, and/or 

content. They are referred to as special notices. Situations that require special notice include the 

availability of unregulated contaminant monitoring data, fluoride SMCL exceedances, and NCWS nitrate 

exceedances above the MCL allowed by the state. Violations that require special notice include repeated 

failure to conduct monitoring of the source water for Cryptosporidium, and failure to determine bin 

classification or mean Cryptosporidium level. 

● Unregulated contaminant monitoring [40 CFR 141.207]: If a PWS is required to monitor for 

unregulated contaminants under the Unregulated Contaminant Monitoring Rule, it must issue a 

public notice stating that the results of the monitoring are available and give a phone number to 

call for those results. The ten required elements of a public notice [40 CFR 141.205(a)] do not 

need to be included, but the system must follow the Tier 3 schedule to issue a public notice no 

later than 12 months after the monitoring results are known. Systems also have the option to 

include this information in an annual notice for Tier 3 situations and violations. 

● Exceedance of the SMCL for Fluoride [40 CFR 141.208]: CWSs that exceed the SMCL of 2 

mg/l for fluoride but do not exceed the MCL of 4 mg/l must provide public notice containing the 

special fluoride language shown below (in italics). Systems do not need to include the ten 

required elements of a public notice [40 CFR 141.205(a)], as these are addressed in the 

mandatory special language. 

This is an alert about your drinking water and a cosmetic dental problem that might 

affect children under nine years of age. At low levels, fluoride can help prevent cavities, 

but children drinking water containing more than 2 mg/l of fluoride may develop 

cosmetic discoloration of their permanent teeth (dental fluorosis). The drinking water 

provided by your community water system [name] has a fluoride concentration of [insert 

value] mg/l. 

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

pitting of the permanent teeth. This problem occurs only in developing teeth, before they 

erupt from the gums. Children under nine should be provided with alternative sources of 

drinking water or water that has been treated to remove the fluoride to avoid the 

possibility of staining and pitting of their permanent teeth. You may also want to contact 

your dentist about proper use by young children of fluoride-containing products. Older 

children and adults may safely drink the water. 

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

Protection Agency’s drinking water standard) can increase your risk of developing bone 

disease. Your drinking water does not contain more than 4 mg/l of fluoride, but we are 

required to notify you when we discover that the fluoride levels in your drinking water 

exceed 2 mg/l because of this cosmetic dental problem. 

For more information, please call [name of water system contact] of [name of community 

water system] at [phone number]. Some home water treatment units are also available to 

remove fluoride from drinking water. To learn more about available home water 

treatment units, you may call NSF International at 1-877-8¬NSF-HELP. 
PN Rule Implementation Guidance 32 March 2010 

Public notice must be provided as soon as practical but no later than 12 months from the day the 

water system learns of the exceedance. A copy of the notice must also be sent to all new billing 

units and new customers at the time service begins as well as to the state public health officer or 

state health department. The water system must repeat the notice annually for as long as the 

SMCL is exceeded. If the public notice is posted, the notice must remain in place for as long as 

the SMCL is exceeded, but in no case less than seven days (even if the exceedance is eliminated). 

On a case-by-case basis, the state may require an initial notice sooner than 12 months and repeat 

notices more frequently than annually. The form and manner of the public notice (including 

repeat notices) must follow the requirements for a Tier 3 public notice specified in 40 CFR 

141.204(c), (d)(1) and (d)(3). 

● Nitrate exceedances above the MCL by NCWSs [40 CFR 141.209]: The owner or operator of 

a NCWS granted permission by the state under 40 CFR 141.11(d) to exceed the nitrate MCL 

must provide notice to persons served according to the requirements for a Tier 1 notice under 40 

CFR 141.202(a) and (b). The NCWS must provide continuous posting of the fact that nitrate 

levels exceed 10 mg/l according to the requirements for Tier 1 notice delivery under 40 CFR 

141.202(c) and the content requirements under 40 CFR 141.205 (the 10 required elements). 

● Repeated failure to conduct monitoring of the source water for Cryptosporidium for surface 

water systems [40 CFR 141.211]: Surface water systems that incur a violation for failing to 

conduct required Cryptosporidium monitoring of their source water for any three months are 

required to issue a Tier 2 special notice within 30 days. The notice must meet all the Tier 2 PN 

requirements. The notice must also include the following mandatory language as well as a 

description of what the system is doing to correct the violation and when the system expects to 

return to compliance or resolve the situation: 

We are required to monitor the source of your drinking water for Cryptosporidium. Results of the 

monitoring are to be used to determine whether (treatment plant name) is sufficient to adequately 

treat the water for Cryptosporidium. We are required to complete this monitoring and make this 

determination by (required bin determination date). We “did not monitor or test” or “did not 

complete all monitoring or testing” on schedule and, therefore, we may not be able to determine 

by the required date what treatment modifications, if any, must be made. Missing this deadline 

may, in turn, jeopardize our ability to have the required treatment modifications, if any, 

completed by the deadline required, (date). For more information, please call (name of water 

system contact) of (name of water system) at (phone number). 

Monitoring the source water for Cryptosporidium is a requirement under LT2ESWTR. The 

compliance date for this requirement depends on the schedule the system must follow under 

LT2ESWTR. 

(Note: systems that fail to collect one or two months of the scheduled Cryptosporidium samples 

are required to issue Tier 3 notification. In this case, special notice language does not apply.) 

● Failure to determine bin classification or mean Cryptosporidium level [40 CFR 141.211]:

Surface water systems that fail to determine their bin classification or mean Cryptosporidium 

level after completing source water monitoring required under LT2ESWTR are required to issue 

Tier 2 special notice within 30 days. The notice must meet all the Tier 2 PN requirements. The 

notice must also include the following mandatory language as well as a description of what the 

system is doing to correct the violation and when the system expects to return to compliance or 

resolve the situation: 
PN Rule Implementation Guidance 33 March 2010 

We are required to monitor the source of your drinking water for Cryptosporidium in order to 

determine by (date) whether water treatment at the (treatment plant name) is sufficient to 

adequately remove Cryptosporidium from your drinking water. We have not made this 

determination by the required date. Our failure to do this may jeopardize our ability to have the 

required treatment modifications, if any, completed by the required deadline of (date). For more 

information, please call (name of water system contact) of (name of water system) at (phone 

number). 

The compliance date for this requirement depends on the schedule the system must follow under 

LT2ESWTR. 

3.2.10 Formatting Requirements for Public Notices 

[40 CFR 141.205(c)(1)] 

All public notices must meet certain formatting standards. These requirements help highlight notices in a 

newspaper and help ensure that consumers can easily understand the notice. 

9 Notices must be displayed in a conspicuous way (where printed or posted). 

9 They may not contain overly technical language or very small print. 

9 They may not be formatted in a way that defeats the purpose of the notice. 

9 They may not contain language which nullifies the purpose of the notice. 

3.2.11 Certification 

[40 CFR 141.31(d)] 

The PN Rule requires a PWS, within 10 days of completing the public notification requirements for the 

initial public notice and any repeat notices, to submit a certification to the state that it has fully complied 

with the PN regulations along with a copy of each type of notice. A PWS must include with the 

certification a copy of each type of notice distributed, published, posted, or made available to the persons 

served by the system and to the media (e.g., press release to TV/radio, mail notices). In the revised CWS 

and NTNCWS PN Handbook (EPA 816-R-09-013) and the revised TNCWS PN Handbook (EPA 816-R09-009), EPA include a sample certification “box” with appropriate language, suitable for checking off 

required activities as a PWS completes them. The sample is also provided below in Figure 3-2. The box is 

not mandatory (only a statement is); however, it can be a useful tool for systems to track and note 

required activities. States may develop their own certification forms specifying content and format. 
PN Rule Implementation Guidance 34 March 2010 

Figure 3-2. Sample Certification Box 

PWS Name: [give system name] 

PWS ID #: [provide PWS number] 

For Violation: [describe violation or situation] 

Occurring on: [insert date] . 

The public water system indicated above hereby affirms that public notice has been 

provided to consumers in accordance with the delivery, content, and format requirements 

and deadlines in [regulatory citation]. 

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

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

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

□ Content - required elements. 

___________________________________ _____________ 

Signature of owner or operator Date 

3.2.12 Public Water System Recordkeeping Requirements 

[40 CFR 141.33(e)] 

The PN Rule requires a PWS to maintain copies of all public notices and certifications made to the state. 

The PWS must keep these records for at least 3 years after issuance. 

3.3 Communicate PN Rule Requirements to Systems 

If yet to be completed, states should identify what actions they plan on taking and develop a schedule for 

carrying out those actions in order to implement the PN Rule in a timely and effective manner. One key 

step for states implementing the PN Rule should be communicating with those PWSs affected by the Rule 

and preparing them to comply with the relevant provisions. Systems should be notified of new 

requirements early enough to ensure their ability to budget for and schedule their compliance actions. 

3.3.1 Requirements and Target Notification Time Frames 

States often notify systems of upcoming requirements using a form letter that may or may not be tailored 

to some degree. Based on the PN Rule’s provisions, states may find it useful to draft and send out 

different form letters to different categories of systems (CWS, NTNCWS or TNCWS). States should 

consider categorizing systems early on in their PN Rule communication efforts so that each system is 

provided only with the provisions that apply to them. 
PN Rule Implementation Guidance 35 March 2010 

3.3.2 Methods of Communication 

Written Notice 

Providing written notice of rule requirements to PWSs serves two purposes: (1) the recipient system 

obtains a formal notice of upcoming regulatory requirements and a timeline for compliance, and (2) the 

state has a hard-copy document that it may file and use in subsequent compliance tracking efforts. 

Written notification can be in the form of a letter from the state to affected systems. The letter should 

include a summary of rule requirements and timeframes and direct the reader to an appropriate contact if 

questions arise. 

States should consider including fact sheets or other summary materials with the letter. Appendix C of 

this document includes this type of additional information. The documents in Appendix C are intended to 

be distributed to water systems through mailings, training sessions, and other educational forums. These 

publications (also available at http://www.epa.gov/safewater/publicnotification/compliancehelp.html) 

provide overviews of the PN Rule to help systems understand the provisions of the Rule and determine 

which provisions apply. The publications also describe the benefits of the Rule. 

Although valuable, systems also need to be reminded that these resources do not substitute for official 

rule language, and therefore, states should include in the letter the Web site address where their regulatory 

language can be accessed. 

Training Sessions 

While written communications will provide necessary information to systems, training sessions can help 

deepen a systems understanding of Rule requirements. Slide presentations can be used by state staff and 

other training providers to present the background of the Rule, its benefits, and its requirements. 

The EPA’s Drinking Water Academy developed a training session on the PN Rule (available in Microsoft 

PowerPoint format). Copies of the presentation may be used to train other state personnel, technical 

assistance providers, water system personnel, and the public. EPA’s Drinking Water Academy slides are 

available electronically on the EPA Web site at 

http://www.epa.gov/safewater/publicnotification/compliancehelp.html. 

Guidance Documents 

Guidance documents developed for the PN Rule are also useful for explaining rule requirements and 

specific aspects of rule implementation to system operators, including monitoring and compliance 

determinations. The guidance documents can be used as stand-alone references or as supporting materials 

in PN Rule training events. See Section 2 for more information on these references. 

3.4 Data Management Systems 

Although state data management systems vary to suit state-specific requirements and needs, EPA 

recommends that all states ensure that their data management systems are capable of efficiently tracking 

affected PWSs, compliance status, and other information needed to implement the PN Rule. 
PN Rule Implementation Guidance 36 March 2010 

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Section 4

State Primacy Revision 

Application 
This Page Intentionally Left Blank
PN Rule Implementation Guidance 39 March 2010 

40 CFR Part 142 sets out requirements for states to obtain and/or retain primary enforcement 

responsibility (primacy) for the Public Water System Supervision (PWSS) program as authorized by 

Section 1413 of the SDWA. The 1996 SDWA Amendments updated the process for states to obtain 

and/or retain primacy. On April 28, 1998, EPA promulgated the Primacy Rule to reflect these statutory 

changes (63 FR 23361). 

Note: Although the dates for obtaining primacy have passed, Sections 4.1 through 4.3.5 and 4.37 are 

included as a historical reference. For new PN requirements from Rules promulgated after 2005, refer to 

Sections 4.3.6 and 4.4. 

4.1 State Primacy Program Revision 

Pursuant to 40 CFR 142.12, complete and final requests for approval of program revisions to adopt new 

or revised EPA regulations must be submitted to the EPA Administrator no later than 2 years after 

promulgation of new or revised federal regulations. Until EPA approves those applications, EPA regions 

have responsibility for directly implementing the new or revised regulations although the state and EPA 

can agree to implement a rule together during this period. 

States that have primacy for all existing National Primary Drinking Water Regulations (NPDWRs) are 

considered to have interim primacy for any new or revised regulation. If a state is eligible for interim 

primacy, it will have full implementation and enforcement authority. Interim primacy for the PN Rule 

would begin on the date the state submits its final and complete primacy revision application or the 

effective date of the new state regulation (whichever is later), and ends when EPA makes a final 

determination (see Table 4-1). 

A state may be granted an extension of up to 2 years to submit its application package. During any 

extension period, an extension agreement outlining the state’s and EPA’s responsibilities is required. 

Table 4-1. State Rule Implementation and Revision Timetable for the PN Rule 

EPA/State Action Time Frame 

PN Rule promulgated May 4, 2000 

Rule compliance date for Direct Implementation Programs October 31, 2000 

Rule compliance date for all other programs May 6, 2002 

State and Region establish a process and agree upon a schedule for 

application review and approval (optional) 

July 5, 2000 

State, at its option, submits draft program revision package to Region 

including: Preliminary Approval Request, Draft State Regulations 

and/or Statutes, Regulation Crosswalk 

February 4, 2002 

Regional (and Headquarters if necessary) review of draft Completed within 90 days of 

state submittal of draft 

(suggested) 
PN Rule Implementation Guidance 40 March 2010 

EPA/State Action Time Frame 

State submits final program revision package to Region including: 

● Adopted State Regulations 

● Regulation Crosswalk 

● 40 CFR 142.10 Primacy Update Checklist 

● 40 CFR 142.14 and 142.15 Reporting and Recordkeeping 

● 40 CFR 142.16 Special Primacy Requirements 

● Attorney General’s Enforceability Certification 

May 6, 20021

May 4, 20042

Completed within 90 days of 

state submittal of final program 

revision package 

45 days Region 

45 days Headquarters3

States with approved extensions submit complete and final program 

revision package 

EPA final review and determination: 

● Regional review [program and Office of Regional Counsel 

(ORC)] 

● Headquarters concurrence and waivers [Office of Ground 

Water and Drinking Water (OGWDW) and Office of 

Enforcement and Compliance Assistance (OECA)] 

● Public notice 

● Opportunity for hearing 

● EPA’s determination 

1. EPA suggests submitting an application by February 4, 2002, to ensure timely approval. EPA regulations allow states until 

May 6, 2002, for this submittal. An extension of up to 2 years may be requested by the state. 

2. EPA suggests submitting an application by February 4, 2004, for states with approved extensions to ensure timely approval. 

3. At least one state per Region. 

4.1.1 The Revision Process 

EPA recommends a two-step process for approval of state program revisions. The steps consist of 

submission of a draft request (optional) and submission of a complete and final request for program 

approval. Figure 4-1 diagrams these processes and their timing. 

Draft Request—EPA strongly encourages the submission of draft regulations and primacy revision 

requests. The request should contain drafts of all required primacy application materials (with the 

exception of a draft Attorney General’s Statement). A draft request should be submitted as soon as 

practicable; EPA recommends submitting it within 6 months of rule promulgation. EPA will make a 

tentative determination as to whether the state program meets the applicable requirements. EPA intends to 

make a tentative determination within 90 days. 

Complete and Final Request—This submission must be in accordance with 40 CFR 142.12(c)(1) and 

(2) and include the Attorney General’s statement. The state should also include its response to any 

comments or program deficiencies identified in the tentative determination (if applicable). Submission of 

only a final request may make it more difficult for states to address any necessary changes within the 

allowable time for state rule adoption. 

EPA recommends that states submit their complete and final revision package within 21 months of rule 

promulgation (or by February 5, 2002, for the PN Rule). This will ensure that states will have interim 

primacy as soon as possible and will prevent backlogs of revision applications to adopt future federal 

requirements. 

The state and region should agree to a plan and timetable for submitting the state primacy revision 

application as soon as possible after rule promulgation—ideally within 2 months of promulgation. 
PN Rule Implementation Guidance 41 March 2010 

4.1.2 The Final Review Process 

Once a state application is complete and final, EPA has a regulatory (and statutory) deadline of 90 days to 

review, and approve or disapprove the revised program. OGWDW will conduct a detailed concurrent 

review of the first state package from each region. The regional office should submit its comments with 

the state’s package within 45 days for review by Headquarters (HQ). When the region has identified all 

significant issues, OGWDW waives concurrence on all other state programs in that region, although EPA 

HQ retains the option to review additional state programs as appropriate. The Office of General Counsel 

(OGC) has delegated its review and approval to the ORC. 

In order to meet the 90-day deadline for packages undergoing review by HQ, the review period is equally 

split by giving the regions and HQ 45 days each to conduct their respective reviews. For the first package 

in each region, regions should forward copies of the primacy revision applications and their evaluations to 

the Drinking Water Protection Division Director in OGWDW no later than 45 days after state submittal. 

The Drinking Water Protection Division Director takes the lead on the HQ review process. 

Figure 4-1. Recommended Review Process for State Request for Approval of Program 

Revisions 
PN Rule Implementation Guidance 42 March 2010 

4.2 State Primacy Program Revision Extensions 

4.2.1 The Extension Process 

Under 40 CFR 142.12(b), a state may request that the 2 year deadline for submitting the complete and 

final program revision package be extended for up to 2 additional years. The extension request must be 

submitted to EPA within 2 years of the date that EPA published the regulation. The Regional 

Administrator has been delegated authority to approve extension applications. Concurrence by HQ on 

extensions is not required. 

Therefore, the state must either adopt regulations pertaining to the PN Rule and submit a complete and 

final primacy revision application by May 6, 2002, or request an extension of up to 2 years by that date. 

4.2.2 Extension Request Criteria 

For an extension to be granted under 40 CFR 142.12(b), the state must demonstrate that it is requesting 

the extension because it cannot meet the original deadline for reasons beyond its control and despite a 

good faith effort to do so. A critical part of the extension application is the state’s proposed schedule for 

submission of its complete and final request for approval of a revised primacy program. The application 

must also demonstrate at least one of the following: 

(i) That the state currently lacks the legislative or regulatory authority to enforce the new or revised 

requirements; 

(ii) That the state currently lacks the program capability adequate to implement the new or revised 

requirements; or, 

(iii) That the state is requesting the extension to group two or more program revisions in a single 

legislative or regulatory action. 

In addition, the state must be implementing the EPA requirements to be adopted in its program revision 

within the scope of its current authority and capabilities. 

4.2.3 Conditions of the Extension 

Until the State Primacy Revision Application has been submitted, the state and EPA regional office will 

share responsibility for implementing the primary program elements as indicated in the extension 

agreement. The state and the EPA regional office should discuss these elements and address terms of 

responsibility in the agreement. PWSs should be notified of a contact person at the EPA Region if they 

want to ask questions or obtain information about the PN Rule before the state has primacy. 

These conditions will be determined during the extension approval process and are decided on a case-bycase basis. The conditions must be included in an extension agreement between the state and the EPA 

regional office. 
PN Rule Implementation Guidance 43 March 2010 

Conditions of an extension agreement may include: 

● Informing PWSs of the new EPA (and upcoming state) requirements and the fact that the region 

will be overseeing implementation of the requirements until it approves the state program 

revisions or until the state submits a complete and final revision package if the state qualifies for 

interim primacy. 

● Collecting, storing, and managing laboratory results, public notices, and other compliance and 

operation data required by the EPA regulations. 

● Assisting the region in the development of the technical aspects of enforcement actions and 

conducting informal follow-up on violations (e.g., telephone calls, letters). 

● Providing technical assistance to PWSs. 

● For states whose request for an extension is based on a current lack of program capability 

adequate to implement the new requirements, taking steps agreed to by the region and the state to 

remedy the deficiency during the extension period. 

● Providing the region with all the information required under 40 CFR 142.15 for state reporting. 

Example 4-1 provides a checklist the region can use to review state extensions or to create an extension 

agreement. 

Until states have primacy, EPA is the primary enforcement authority; however, states historically have 

played a role in implementation for various reasons—most important because states have local 

knowledge, expertise, and established relationships with their systems. 

The state and EPA should be viewed as partners in this effort, working towards two very specific goals. 

The first goal is to achieve a high level of compliance with the regulation. The second goal is to facilitate 

successful implementation of the regulation during the transition period between when EPA has primacy 

and when the state has primacy, including interim primacy, for the Rule. In order to accomplish these 

goals and to ensure proper health protection, education, training, and technical assistance will need to be 

provided to water suppliers explaining their responsibilities under the PN Rule. Water suppliers are also 

encouraged to refer to the PN Rule guidance materials, reference guide, and fact sheets listed in Section 2 

and included in Appendix C. 
PN Rule Implementation Guidance 44 March 2010 

Example 4-1. Example Extension Request Checklist 

{Date}

{Regional Administrator}

Regional Administrator 

US EPA Region {Region}

{Street Address}

{City, State, Zip}

RE: Request/approval for an Extension Agreement 

Dear {Regional Administrator}: 

 The State of {State} is requesting an extension to the date that final primacy revisions are due to EPA for 

the Public Notification (PN) Rule until {insert date - no later than August 21, 2002}, as allowed by 40 CFR 

142.12, and would appreciate your approval. Staff of the {State Department/Agency} have conferred with your 

staff and have agreed to the requirements listed below for this extension. This extension is being requested because 

the State of {State}: 

 Is planning to group two or more program revisions into a single legislative or regulatory action. 

 Currently lacks the legislative or regulatory authority to enforce the new or revised requirements. 

 Currently lacks adequate program capability to implement the new or revised requirements. 

{State Department/Agency} will be working with EPA to implement the PN Rule within the scope of its 

current authority and capability, as outlined in the six areas identified in 40 CFR 142.12(b)(3)(i-vi): 

i) Informing public water systems (PWSs) of the new EPA (and upcoming state) requirements and the fact that 

EPA will be overseeing implementation of the requirements until EPA approves the state revision. 

State EPA 

____ ____ Provide copies of regulation and guidance to other state agencies, PWSs, technical assistance 

providers, associations, or other interested parties. 

____ ____ Educate and coordinate with state staff, PWSs, the public, and other water associations about the 

requirements of this regulation. 

____ ____ Notify affected systems of their requirements under the PN Rule. 

____ ____ Other: 

ii) Collecting, storing, and managing laboratory results, public notices, and other compliance and operation data 

required by the EPA regulations. 

State EPA 

____ ____ Devise a tracking system for PWS reporting pursuant to the PN Rule. 

____ ____ Keep PWSs informed of reporting requirements during development and implementation. 

____ ____ Report PN Rule violation and enforcement information to SDWIS as required. 

____ ____ Other: 

iii) Assisting EPA in the development of the technical aspects of the enforcement actions and conducting informal 

follow-up on violations (telephones calls, letters, etc.). 

State EPA 

____ ____ Issue notices of violation (NOVs) for treatment technique and monitoring/ reporting violations of 

the PN Rule. 
PN Rule Implementation Guidance 45 March 2010

____ ____ Provide immediate technical assistance to PWSs with treatment technique, MCL and/or 

monitoring/reporting violations to try to bring them into compliance. 

____ ____ Refer all violations to EPA for enforcement if they have not been resolved within 60 days of the 

incident that triggered the violation. Provide information as requested to conduct and complete 

any enforcement action referred to EPA. 

____ ____ Other: 

iv) Providing technical assistance to PWSs. 

State EPA 

____ ____ Conduct training within the state for PWSs on PN Rule requirements. 

____ ____ Provide technical assistance through written and/or verbal correspondence with PWSs. 

____ ____ Provide on-site technical assistance to PWSs as requested and needed to ensure compliance with 

this regulation. 

____ ____ Coordinate with other technical assistance providers and organizations to provide accurate 

information and aid in a timely manner. 

____ ____ Other: 

v) Providing EPA with all information prescribed by the State Reporting Requirements in 40 CFR 142.15. 

State EPA 

____ ____ Report any violations incurred by PWSs for this regulation each quarter. 

____ ____ Report any enforcement actions taken against PWSs for this regulation each quarter. 

____ ____ Report any variances or exemptions granted for PWSs for this regulation each quarter. 

____ ____ Other: 

vi) For states whose request for an extension is based on a current lack of program capability to implement the new

or revised requirements, taking the following steps to remedy the capability deficiency. 

State EPA 

____ ____ Acquire additional resources to implement these regulations (list of specific steps being taken 

attached as {List A}). 

____ ____ Provide quarterly updates describing the status of acquiring additional resources. 

____ ____ Other: 

I affirm that the {State Department/Agency} will implement provisions of the PN Rule as outlined above. 

______________________________________________________________________________ 

{Agency Director or Secretary} Date 

______________________________________________________________________________ 

{Name of State Agency}

I have consulted with my staff and approve your extension for the aforementioned regulation. I affirm that EPA 

Region {Region} will implement provisions of the PN Rule as outlined above. 

______________________________________________________________________________ 

Regional Administrator Date 

EPA Region {Region}

This Extension Agreement will take effect upon the date of the last signature. 
PN Rule Implementation Guidance 46 March 2010 

4.3 State Primacy Package 

The Primacy Revision Application package should consist of the following sections: 

 State Primacy Revision Checklist 

 Relevant Text of the State’s Regulations 

 Primacy Revision Crosswalk 

 State Reporting and Recordkeeping Checklist 

 Special Primacy Requirements 

 Attorney General’s Statement of Enforceability 

4.3.1 The State Primacy Revision Checklist [40 CFR 142.12(c)(1)] 

This section provides an example of the checklist of general primacy requirements, as shown in Table 

4-2, that should be completed and submitted with the state’s primacy package. In completing this 

checklist, the state must identify the program elements that it has revised in response to new federal 

requirements. If an element has been revised, the state should indicate a “Yes” answer in the 

“Revision to State Program” column and should submit appropriate documentation. For elements 

that did not require revision, the state need only list the state regulatory citation and date of adoption in 

the “Revision to State Program” column. During the application review process, EPA will insert findings 

and comments in the final column. 

The 1996 SDWA Amendments included new provisions for the definition of a PWS and administrative 

penalty authority. States must adopt provisions at least as stringent as these SDWA provisions, codified at 

40 CFR 142.2 and 40 CFR 142.10. Failure to revise these elements can affect primacy for the PN Rule. 

States must have primacy or interim primacy for all existing regulations before they can receive interim 

primacy for the PN Rule. States may bundle the primacy revision packages for multiple rules. If states 

choose to bundle requirements, the Attorney General’s Statement should reference all of the rules 

included. 

Table 4-2. State Primacy Revision Checklist 

Required Program Elements Revision to 

State Program 

EPA 

Findings/Comments 

'142.10 Primary Enforcement 

B Definition of Public Water System* 

 

'142.10(a) Regulations No Less Stringent 

'142.10(b)(1) Maintain Inventory 

'142.10(b)(6)(i) Authority to apply regulations 

'142.10(b)(6)(ii) Authority to sue in courts of competent 

jurisdiction 

 

'142.10(b)(6)(iii) Right of Entry 

'142.10(b)(6)(iv) Authority to Require Records 

'142.10(b)(6)(v) Authority to Require Public Notification 

'142.10(b)(6)(vi) Authority to Assess Civil and Criminal 

Penalties 

 

'142.10(c) Maintenance of Records 
PN Rule Implementation Guidance 47 March 2010 

Required Program Elements Revision to 

State Program 

EPA 

Findings/Comments 

'142.10(f) Administrative Penalty Authority* 

'142.10(g) Electronic Reporting Regulations** 

* A requirement from the 1996 SDWA Amendments. Regulations published in the April 28, 1998, Federal Register. 

** Regulations published in the October 13, 2005, Federal Register. 

4.3.2 Text of the State’s Regulation 

Each primacy application package should include the appropriate text of the state’s regulations. 

4.3.3 Primacy Revision Crosswalk 

The Primacy Revision Crosswalk, in Appendix A of this document, should be completed by states in 

order to identify state statutory or regulatory provisions that correspond to each federal requirement. If the 

state’s provisions differ from federal requirements, the state should explain how its requirements are “no 

less stringent.” 

4.3.4 State Recordkeeping Requirements [40 CFR 142.14(f)] 

Under the PN Rule, each state that has primary enforcement responsibility must maintain for 3 years: 

records of certifications of compliance, copies of public notices received from the PWSs, and any state 

determinations establishing alternative PN requirements for the water systems. 

4.3.5 State Reporting Requirements [40 CFR 142.15(a)(1)] 

Under the PN Rule, states must report whether there is a violation of the PN Rule (initial or repeat notice, 

certification, etc.). In addition, the state needs to provide: 

● Date of the PN violation. 

● Link to the underlying NPDWR violation. 

● When the system has returned to compliance for the PN violation. 

● If the state brought formal enforcement action, the type of action, the date it was initiated, and the 

date the violation was resolved. 

The revised PN Rule requires states to report the information specified above within 45 days after the 

quarter in which the PN violation occurred, or in which the system returned to compliance. Additional 

information on state reporting is in Section 5 of this document. 

4.3.6 Special Primacy Requirements [40 CFR 142.16] 

Special primacy conditions pertain to specific regulations where implementation of the PN Rule involves 

activities beyond general primacy provisions. States must include these rule-distinct provisions in an 

application for approval or revision of their program. 40 CFR 142.16(a)(1) requires states to submit 

complete and final requests for approval of program revisions to adopt the revised PN requirements. In 

addition, it allows states to establish alternative PN requirements with respect to the form and content of 

the public notice. Alternative requirements for form and content must be designed to provide the same 

type and amount of information as is required under Subpart Q. The Special Primacy Requirements 

section of the crosswalk is where the state has the opportunity to describe how it will satisfy these 
PN Rule Implementation Guidance 48 March 2010 

provisions. Section 4.4 provides guidance on how states may choose to meet the Special Primacy 

Requirements of the PN Rule. 

4.3.7 Attorney General’s Statement of Enforceability [40 CFR 142.12(c)(2)] 

The complete and final primacy revision application must include an Attorney General’s Statement 

certifying that the state regulations were duly adopted and are enforceable (unless EPA has waived this 

requirement by letter to the state). The Attorney General’s Statement should also certify that the state 

does not have any audit privilege or immunity laws or, if it has such laws, that these laws do not prevent 

the state from meeting the requirements of the SDWA. If a state has submitted this certification with a 

previous revision package, then the state should indicate the date of submittal and the Attorney General 

need only certify that the status of the audit laws has not changed since the prior submittal. An example of 

an Attorney General’s Statement is presented in Example 4-2. 

Example 4-2. Example of Attorney General’s Statement 

Model Language 

I hereby certify, pursuant to my authority as (1) and in accordance with the Safe Drinking Water Act as 

amended, and (2), that in my opinion the laws of the [State/Commonwealth of (3)] [or tribal ordinances 

of (4)] to carry out the program set forth in the “Program Description” submitted by the (5) have been 

duly adopted and are enforceable. The specific authorities provided are contained in statutes or 

regulations that are lawfully adopted at the time this Statement is approved and signed and will be fully 

effective by the time the program is approved. 

I. For States with No Audit Privilege and/or Immunity Laws 

Furthermore, I certify that [State/Commonwealth of (3)] has not enacted any environmental audit 

privilege and/or immunity laws. 

II. For States with Audit Laws that do Not Apply to the State Agency Administering the Safe 

Drinking Water Act 

Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the 

[State/Commonwealth of (3)] does not affect the ability of (3) to meet enforcement and information 

gathering requirements under the Safe Drinking Water Act because the [audit privilege and/or immunity 

law] does not apply to the program set forth in the “Program Description”. The Safe Drinking Water Act 

program set forth in the “Program Description” is administered by (5); the [audit privilege and/or 

immunity law] does not affect programs implemented by (5), thus the program set forth in the “Program 

Description” is unaffected by the provisions of [State/Commonwealth of (3)] [audit privilege and/or 

immunity law]. 

III. For States with Audit Privilege and/or Immunity Laws that Worked with EPA to Satisfy 

Requirements for Federally Authorized, Delegated, or Approved Environmental Programs 

Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the 

[State/Commonwealth of (3)] does not affect the ability of (3) to meet enforcement and information 

gathering requirements under the Safe Drinking Water Act because [State/Commonwealth of (3)] has 

enacted statutory revisions and/or issued a clarifying Attorney General’s Statement to satisfy 

requirements for federally authorized, delegated, or approved environmental programs. 
PN Rule Implementation Guidance 49 March 2010 

Model Language 

Seal of Office 

 _______________________________________ 

 Signature 

 _______________________________________ 

 Name and Title 

 _______________________________________ 

 Date 

(1) State Attorney General or attorney for the state if it has independent legal counsel. 

(2) 40 CFR 142.11(a)(6)(i) for initial primacy applications or 40 CFR 142.12(c)(1)(iii) for primacy 

program revision applications. 

(3) Name of state or commonwealth. 

(4) Name of tribe. 

(5) Name of state. 

4.3.7.1 Guidance for States on Audit Privilege and/or Immunity Laws 

In order for EPA to properly evaluate the state’s request for approval, the State Attorney General or 

independent legal counsel should certify that the state’s environmental audit immunity and/or privilege 

and immunity law does not affect its ability to meet enforcement and information gathering requirements 

under SDWA. This certification should be reasonably consistent with the wording of the state audit laws 

and should demonstrate how state program approval criteria are satisfied. 

EPA will apply the criteria outlined in its “Statement of Principles” memo issued on February 14, 1997, 

(http://www.epa.gov/osw/laws-regs/state/policy/policies.htm) to determine whether states with audit laws 

have retained adequate enforcement authority for any authorized federal programs. The principles 

articulated in the guidance are based on the requirements of federal law, specifically the enforcement and 

compliance and state program approval provisions of environmental statutes and their corresponding 

regulations. The Principles provide that if provisions of state law are ambiguous, it will be important to 

obtain opinions from the State Attorney General, or independent legal counsel, interpreting the law as 

meeting specific federal requirements. If the law cannot be so interpreted, changes to state laws may be 

necessary to obtain federal program approval. Before submitting a package for approval, states with audit 

privilege and/or immunity laws should initiate communications with appropriate EPA regional offices to 

identify and discuss the issues raised by the state’s audit privilege and/or immunity law. 

The guidance for states on Audit Law Privilege and/or Immunity Laws is currently under review. If 

amended, EPA will issue an addendum to this document with the revised guidance. 

4.4 Guidance for the Special Primacy Requirements of the PN 

In addition to adopting basic primacy requirements specified in 40 CFR 142, states are required to adopt 

primacy provisions pertaining to specific regulations where implementation of the Rule involves activities 

beyond general primacy provisions. The purpose of these provisions is to allow state flexibility in 

implementing a regulation that: (1) applies to specific system configurations within the particular state; 

and, (2) can be integrated with a state’s existing PWSS Program. States must include these rule-distinct 

provisions in an application for approval or revision of their programs. 

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 
PN Rule Implementation Guidance 50 March 2010 

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 40 CFR 142.16(a) and described below. 

40 CFR 142.16(a)(1) requires states to submit complete and final requests for approval of program 

revisions to adopt the revised PN requirements. In addition, it allows states to establish alternative 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 to Subpart Q of the Rule. 

2) 40 CFR 141.201(c)(2) – To allow public water systems, under the specific circumstances listed in 

40 CFR 141.201(c)(2), to limit the distribution of the public notice to persons served by the 

portion of the distribution system that is out of compliance. 

3) Table 1 of 40 CFR 141.202(a) (Items 5, 6, and 9) – To require public water systems to give a Tier 

1 public notice (rather than a Tier 2 or Tier 3 notice) for violations or situations listed in 

Appendix A of Subpart Q of the Rule. 

4) 40 CFR 141.202(b)(3) – To require public water systems to comply with additional Tier 1 public 

notification requirements set by the state subsequent to the initial 24-hour Tier 1 notice, as a 

result of their consultation with the state required under 40 CFR 141.202(b)(2). 

5) 40 CFR 141.202(c), 141.203(c) and 141.204(c) – To require a different form and manner of 

delivery for Tier 1, 2 and 3 public notices. 

6) Table 1 to 40 CFR 141.203(a) (Item 2) – To require the public water systems to provide a Tier 2 

public notice (rather than Tier 3) for monitoring or testing procedure violations specified by the 

state. 

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. 
PN Rule Implementation Guidance 51 March 2010 

9) 40 CFR 141.203(b)(3) – To respond within 24 hours to a request for consultation by the public 

water system to determine whether a Tier 1 (rather than a Tier 2) notice is required for a turbidity 

MCL violation under 40 CFR 141.13(b) or a Surface Water Treatment Rule (SWTR)/Interim 

Enhanced SWTR (IESWTR)/treatment technique (TT) violation due to a single exceedance of the 

maximum allowable turbidity limit. 

10) 40 CFR 141.205(c)(2) – To determine the specific multilingual requirement for a public water 

system, including defining a “large proportion of non-English-speaking consumers.” 

Note: States may assign the responsibility for the multilingual requirement determination 

to the water system. If a state chooses not to set its own criteria, systems must meet the 

general requirement set in the rule, which is to provide such information when 

appropriate. 

The following sections contain guidance states can use when addressing the 10 special primacy 

requirements listed above and in 40 CFR 142.16(a)(2). As part of a state’s revised primacy program, the 

state must establish enforceable requirements and procedures to meet each special primacy requirement 

identified in 40 CFR 142.16(a)(2) which the state chooses to adopt. 

Six of the 10 special primacy requirements listed in 40 CFR 142.16(a)(2) describe scenarios under which 

states may elect to be more stringent than the Federal Rule. For those provisions, EPA requires states to 

provide a general explanation of how the state will address the provision. EPA is not asking states to 

provide specific and detailed justification for the scenarios in which they elect to be more stringent than 

the Federal Rule. States are free to establish requirements that are more stringent than the EPA program 

without including them in their approved primacy program. For the areas of state flexibility listed in 40 

CFR 142.16(a)(2) which a state chooses to adopt, a state has the option of: 1) identifying in the crosswalk 

modifications to the Federal Rule consistent with 40 CFR 142.16(a); or 2) describing in its primacy 

revision application the criteria it will use to make allowed modifications on a case-by-case basis. 

4.4.1 Special Primacy for Requiring Public Notice for Violations or Situations 

Other Than Those Listed in Appendix A to Subpart Q 

For 40 CFR 141.201(a) (Table 1, Item 3v), a state must provide additional information if 

they require public water systems to give a public notice for violations or situations other 

than those listed in Appendix A to Subpart Q [40 CFR 142.16(a)(2)(i)]. 

The PN Rule allows states to determine if there are violations or other situations not listed in Appendix A 

to Subpart Q 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 to Subpart Q, with significant potential to have serious 
PN Rule Implementation Guidance 52 March 2010 

adverse health effects from short-term exposure. Evaluation of any violation or situations would be 

conducted by the state on a case-by-case basis, using the potential danger to drinking water consumers as 

one criterion. 

4.4.2 Special Primacy Requirements Regarding Limited Distribution of Public 

Notice to Persons Served by the Portion of the Distribution System that is Out 

of Compliance 

A state must provide additional information if they allow public water systems, under the 

specific circumstances listed in 40 CFR 141.201(c)(2), to limit the distribution of the 

public notice to persons served by the portion of the distribution system that is out of 

compliance [40 CFR 142.16(a)(2)(ii)]. 

The PN Rule requires systems to provide public notice to persons served system-wide within a specified 

timeframe. However, the PN Rule allows states to grant exceptions to the system-wide notice obligation 

where the violation is clearly contained within a portion of the distribution system that is either physically 

or hydraulically isolated from the rest of the distribution system. In those two specific circumstances, 

states have the flexibility to allow systems to limit the distribution of the public notice to persons served 

by the portion of the system that is out of compliance. Unless states provide systems with this 

determination in writing, systems must distribute the notice to persons served by the entire system. 

If a state chooses to exercise this flexibility, the state should explain in their primacy revision application 

how the determination to grant exceptions to the system-wide distribution requirement will be made. For 

example, if a state opts to make this determination on a case-by-case basis then it should explain that each 

case will be evaluated on the two regulatory criteria specified in the PN Rule. In order to meet the 

criterion for physical isolation, a system must show that the affected portion of the distribution system is 

separated from other parts of the distribution system with no interconnections. Because of the physical 

separation, elevated contaminant levels contained in only that portion of the system would have no 

bearing on contaminant levels in a separate area of the system. To meet EPA’s criterion for hydraulic 

isolation, a system must show that design of the distribution system and/or system operation created a 

situation where water in the affected portion is effectively isolated from the water in all other parts of the 

distribution system because of projected water flow patterns and water pressure zones. 

4.4.3 Special Primacy Requirements Regarding Which Violations or Situations 

Require a Tier 1 Public Notice 

For 141.202(a) (Items 5, 6, and 9 of Table 1), a state must provide additional information 

if they require public water systems to give a Tier 1 public notice (rather than a Tier 2 or 

Tier 3 notice) for violations or situations listed in Appendix A of Subpart Q [40 CFR 

142.16(a)(2)(iii)]. 

This special primacy requirement addresses state flexibility to require systems to give a Tier 1 public 

notice (rather than a Tier 2 or Tier 3 notice) for violations or situations not explicitly listed by EPA in 

Appendix A to Subpart Q as requiring Tier 1 notice. EPA authorized and expects states to elevate either 

violations or situations when necessary to protect public health. State flexibility to elevate the status of a 

violation to Tier 1, EPA believes, is critical to the successful implementation of the PN Rule. Therefore, 

EPA anticipates that most states will respond to this special primacy requirement in their primacy revision 

applications. 

The PN Rule identified the following three situations where states may exercise flexibility to require a 

Tier 1 notice: 
PN Rule Implementation Guidance 53 March 2010 

1) Violation of the turbidity MCL, under 40 CFR 141.13(b), where the state determines after 

consultation whether a Tier 1 notice is required or where consultation does not take place within 

24 hours after the system learns of the violation [141.202(a)-Item 5 of Table 1]. 

2) Violation of the SWTR, IESWTR, or LT1ESWTR treatment technique requirements resulting 

from a single exceedance of the maximum allowable turbidity limit (as identified in Appendix A 

to Subpart Q) [141.202(a)-Item 6 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 9 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 to Subpart Q 

that would require Tier 1 notice or describe the criteria it will use to make that determination on a caseby-case basis in its primacy revision application. EPA is not asking states to provide specific and detailed 

justification for the scenarios in which the state elects to be more stringent than the Federal Rule. Rather, 

a general description of either the conditions or process by which the state would make the determination 

to elevate to Tier 1 status is sufficient. For example, a state may explain that the determination to elevate 

to Tier 1 will be made on a case-by-case basis because the potential health risk associated with some 

violations or situations are dependent on a combination of factors. Some factors that might play into the 

decision-making process to elevate a turbidity violation include but are not limited to: if turbidity is 

significantly higher than the limit; if turbidity if above the limit for multiple measurements; what type of 

treatment occurs after the turbidity measuring point; and whether the source water quality is good. In 
PN Rule Implementation Guidance 54 March 2010 

addition the type of system, limits the system is subject to, and the type of filtration need to be 

considered. 

4.4.4 Special Primacy for Requiring Additional Public Notice for Tier 1 Violations 

A state must provide additional information if they require public water systems to 

comply with additional Tier 1 public notification requirements set by the state subsequent 

to the initial 24-hour Tier 1 notice, as a result of the water system’s consultation with the 

state required under 40 CFR 141.202(b)(3) [40 CFR 142.16(a)(2)(iv)]. 

EPA believes Tier 1 violations have a significant potential to cause serious adverse health effects from 

short-term exposure and has mandated consultation between the water system and the state. Systems have 

24 hours after learning of the violation to initiate consultation with the state and determine if the state will 

establish subsequent PN requirements. Systems must comply with any additional PN requirements 

established during that consultation. This special primacy requirement addresses state flexibility to 

determine under what circumstances additional public notice should be given by the system to make sure 

all persons served are informed of the seriousness of the violation. 

EPA encourages states to require additional notice in situations where: 1) there was inadequate delivery 

of the initial notice, 2) special populations need to be informed, and 3) the system returned to compliance. 

For example, if the methods used to deliver Tier 1 public notice were insufficient, inadequate, or 

inappropriate, additional notices may be necessary to reach other persons served who may not have seen 

the initial notice and to emphasize the seriousness of the public health risk from drinking the water. 

Additional notices may also be needed if new information becomes available, or to target special 

populations such as hospitals, schools, day-care facilities and/or other healthcare professionals. A 

supplemental notice announcing that the violation has been resolved and the risk from the drinking water 

has been abated can bring closure to the emergency situation. Although the final Rule does not require 

systems to send such notice, EPA believes it is a good idea. 

Additional notice requirements may also address the timing, manner, frequency, and content of repeat 

notices as well as other actions designed to reach all persons served. EPA expects states to use this 

authority to ensure effective, enforceable follow-up to the initial Tier 1 notice. In order to satisfy this 

special primacy requirement, a state has the option of identifying in its rules specific situations where 

additional notice would be required. If states wish to address this on a case-by-case basis, states should 

explain how they would establish procedures to determine when additional notice is needed and to require 

systems to comply with the additional notification requirements in their primacy revision applications. 

4.4.5 Special Primacy Requirements Regarding Different Form, Manner, and 

Delivery for Tier 1, 2, and 3 Public Notices 

For 40 CFR 141.202(c), 141.203(c), & 141.204(c), a state must provide additional 

information if they allow systems to use a different form and manner of delivery for Tier 

1, 2 and 3 public notices not already listed in EPA’s rule [40 CFR 142.16(a)(2)(v)]. 

In accordance with the PN Rule, a PWS must use at a minimum, one of the delivery methods specified for 

the appropriate Tier and any additional methods “reasonably calculated” to reach all persons served. This 

means that water systems have a responsibility to use any method reasonably calculated to reach other 

persons served by the system if they would not be reached by minimum methods specified in the Rule. 

This special primacy requirement addresses state flexibility to approve in writing the use of a substitute 

delivery method not already listed in the PN Rule. EPA recognizes the need to tailor any additional 

methods of delivery used to the specific situation and believes states will make this determination on a 

case-by-case basis. For example, the list of required delivery methods (broadcast media, posting and hand 
PN Rule Implementation Guidance 55 March 2010 

delivery) may be too limiting and inappropriate for some Tier 1 situations. Additional methods a state 

may wish to substitute include newspaper, postal patron mailings, e-mail or priority mail. 

A state has the option of identifying in its rules any alternate PN form and manner requirements or 

describing, in its primacy revision application, the criteria it will use to make these case-by-case 

determinations. 

4.4.6 Special Primacy for Requiring Tier 2 Public Notice (Rather Than Tier 3 

Notice) for Specific Monitoring or Testing Procedure Violations 

For 40 CFR 141.203(a), a state must provide additional information if they plan to 

require public water systems to provide a Tier 2 public notice (rather than Tier 3) for 

monitoring or testing procedure violations specified by the state [40 CFR 

142.16(a)(2)(vi)]. 

In accordance with the PN Rule, states can determine that a Tier 2 public notice (rather than a Tier 3 

notice) is required for certain violations of monitoring and testing procedure requirements. This special 

primacy requirement gives states the flexibility to address cases where persistent monitoring violations 

could disguise potentially serious drinking water quality violations and the lack of a timely notice may 

pose a risk to public health. 

A state has the option of identifying in its rules, the specific monitoring and testing procedure violations 

listed in Appendix A to Subpart Q that require Tier 2 notice or describing the criteria it will use to make 

these case-by-case determinations in its primacy revision application. Criteria may include but are not 

limited to potential health impacts and the persistence of the violation. 

EPA expects states to build this additional authority into their approved programs to ensure that notices 

for monitoring violations posing potential serious adverse health effects are delivered within 30 days. 

EPA is not asking states to provide specific and detailed justification for the scenarios in which the state 

elects to be more stringent than the Federal Rule. Rather a general description of either the conditions or 

process by which the state would make the determination to elevate to Tier 2 status is sufficient. 

4.4.7 Special Primacy Requirements Regarding Extending the Initial Tier 2 Public 

Notice Distribution Deadline 

For 40 CFR 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) [40 CFR 142.16(a)(2)(vii)]. 

The PN Rule allows states, in appropriate circumstances, to extend the time period of the Tier 2 initial 

notice from 30 days to up to three months. This special primacy requirement addresses state flexibility to 

determine when deviations from the minimum required timeframe for Tier 2 notices are warranted. These 

determinations must be made in writing. 

Circumstances that may warrant an extension include but are not limited to, coordination with billing 

cycles and return to compliance. An extension for up to three months may allow a system to include the 

initial notice in the same mailing as the quarterly bill. For violations that were quickly resolved and no 

longer pose any risk to persons served, an extension may be appropriate so the system can also report a 

return to compliance. 
PN Rule Implementation Guidance 56 March 2010 

Although there may be a number of reasons to grant an extension, there are two circumstances where 

EPA believes extending the Tier 2 deadline is inappropriate: 1) extensions for unresolved violations; and, 

2) “across-the-board” or “blanket” extensions for all violations of a certain type (e.g., all volatile organic 

contaminant (VOC) MCL violations). EPA strongly believes that in order to meet the public health 

objectives of the PN Rule, the Tier 2 deadline of 30 days is sufficient for water systems to notify their 

consumers of unresolved violations with potential for serious risk. EPA does not intend for extensions to 

be automatic, but to be reviewed on a case-by-case basis. Therefore, EPA views “blanket” extensions as 

contrary to the goals of the Rule. 

Note: This special primacy requirement applies only to extensions of the Tier 2 notice 

deadline. The Rule gives states broad flexibility to deviate from the required timeframe of 

30 days. This includes being more stringent than the Rule. For example, it is acceptable 

for a state to shorten the deadline for issuing PN for a monthly coliform violation to 14 

days. The state does not need to submit documentation when shortening a timeframe. 

A state may identify in its rules the appropriate circumstances under which the Tier 2 notice distribution 

deadline may be extended or describe the criteria it will use to make that determination on a case-by-case 

basis in its primacy revision application. 

4.4.8 Special Primacy Requirements Regarding Extending the Tier 2 Notice Repeat 

Frequency 

For 40 CFR 141.203 (b)(2), a state must provide additional information if they grant a 

different repeat notice frequency for the Tier 2 public notice in appropriate 

circumstances (other than those specifically excluded in the rule), but no less frequently 

than once per year [40 CFR 142.16(a)(2)(viii)]. 

The PN Rule gives states the flexibility to allow a less frequent repeat notice than the PN Rule’s 

requirement of every three months. Notices must be issued no less than once per year for unresolved Tier 

2 violations. However, the PN Rule specifically disallows less frequent repeat notices for unresolved 

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

these case-by-case determinations in its primacy revision application. 

4.4.9 Special Primacy for Requiring a Tier 1 Public Notice (Rather Than Tier 2 

Notice) for a Turbidity MCL Violation under 40 CFR 141.13(b) or a 

SWTR/IESWTR/LT1ESWTR TT Violation Due to a Single Exceedance of 

the Maximum Allowable Turbidity Limit 

For 40 CFR 141.203(b)(3), a state must provide information on any process developed to 

respond within 24 hours to a request for consultation by the public water system to 

determine whether a Tier 1 (rather than a Tier 2) notice is required for a turbidity MCL 

violation under 40 CFR 141.13(b) or a SWTR/IESWTR/LT1ESWTR TT violation due to a 

single exceedance of the maximum allowable turbidity limit [40 CFR 142.16(a)(2)(ix)]. 

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 
PN Rule Implementation Guidance 57 March 2010 

40 CFR 141.13(b) or a SWTR/IESWTR/LT1ESWTR 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 40 CFR 142.16(a)(2)(iii), EPA believes violations of the maximum turbidity level 

are serious situations requiring immediate consultation to determine the best course of action. EPA does 

not believe that all turbidity excursions will require a Tier 1 notice and expects states to evaluate the 

potential health risks of each case during the consultation. 

In order to address this special primacy requirement, a state should describe the process it has developed 

to respond within the 24-hour time frame to a PWS’s request for consultation. Some states already have 

emergency hotlines for systems to use. 

4.4.10 Special Primacy Requirements Regarding Multilingual Notice Requirement 

For 40 CFR 141.205(c), a state must provide additional information if they determine the 

specific multilingual requirement for a public water system, including defining “large 

proportion of non-English-speaking consumers” [40 CFR 142.16(a)(2)(x)]. 

The PN Rule requires systems serving a large proportion of non-English speaking consumers, as 

determined by the state, to include in their notices, in the appropriate languages, information on the 

importance of the notice or a telephone number or address where persons served may contact the water 

system to obtain a translated copy of the notice or to request assistance in the appropriate languages. This 

special primacy requirement addresses state flexibility to determine the specific multilingual requirement 

for systems, including defining a large proportion of non-English speaking populations. States can set 

their own criteria for determining whether there is a large proportion of non-English speaking consumers. 

For example, a state could specify a population threshold such as 10 percent, so that when over 10 percent 

of the population served uses a language or languages other than English as their first language, 

multilingual information must be included in the notice. If a state chooses not to set its own criteria, water 

systems must meet the general requirement set in the federal Rule, which is providing such information 

when appropriate. Information on whether there is a significant non-English speaking population in a 

community can be found through the US Census Bureau’s Web site at factfinder.census.gov. 

EPA strongly encourages the use of multilingual notification if non-English speaking populations are in 

the system’s service area, whether or not there is a large proportion of non-English speaking people, 

because public notification of drinking water violations and other situations is an important means of 

protecting public health. Although full translations of notices are not required, EPA strongly encourages 

systems to go beyond the minimum multilingual requirements in the Rule, particularly for Tier 1 notices 

and other situations that pose a serious health risk, and provide a translated copy of the notice on request 

or offer telephone assistance in the appropriate language. The revised CWS and NTNCWS PN Handbook 

(EPA 816-R-09-013) and the revised TNCWS PN Handbook (EPA 816-R-09-009) contain additional 

hints on implementing this requirement. 

A state has the option of identifying in its rules the more specific multilingual requirements or describing 

the criteria it will use to make such case-by-case determinations in its primacy revision application.
PN Rule Implementation Guidance 58 March 2010 

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Section 5

Violation Determination and 

Safe Drinking Water 

Information System (SDWIS) 

Reporting 
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PN Rule Implementation Guidance 61 March 2010 

5.1 Determining Violations of the PN Rule 

One of the important factors to making the public notification process work is the timely and complete 

reporting of violations of the PN Rule by the states. A 1992 review of the public notification process by 

the General Accounting Office (GAO) provided strong evidence that the program was not working as 

intended. Problems cited included: high rates of non-compliance, even when contaminants pose a health 

risk; limited non-compliance tracking by both EPA and the states; and the complexity of the Rule. In 

order to address those problems, EPA revised the PN requirements to be less complex, more clear, and 

self-implementable. EPA believes these streamlined requirements encourage more water systems to 

comply with the Rule and are less burdensome than the previous Rule for state tracking and reporting of 

violations. However, the program will not succeed without compliance monitoring and follow-up actions 

by the state and EPA. 

Flowcharts 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 or situation. 

5.1.1 What constitutes a violation of the PN Rule? 

The trigger point for public notification is when a system learns that a violation or other situation posing a 

health risk exists. From that point on, the Rule prescribes specific time lines a PWS must meet to: 1) 

distribute the notice to persons served; 2) provide the state with a representative copy of the initial and 

any repeat notices; and 3) certify to the state that all applicable PN requirements were met. The Rule also 

prescribes the form, manner, and frequency of the public notices. 

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

● Prepare and deliver public notice to consumers in accordance with the Rule. 

● Submit to the state within 10 days of completing the public notification requirements, a 

certification that it has fully complied with the PN Rule and a representative copy of the notice. 
PN Rule Implementation Guidance 62 
PN Rule Implementation Guidance 63 
PN Rule Implementation Guidance 64 
PN Rule Implementation Guidance 65 March 2010 

5.1.2 How is a Violation of the PN Rule Identified? 

EPA anticipates that states will primarily rely on the certification (or lack thereof) to track whether a PWS 

has met all applicable PN requirements, unless the state chooses to use additional tracking methods or 

believes that the certification is not reliable. 40 CFR 141.31(d) requires water systems to submit a copy of 

the notice and a certification to the state within 10 days of completing the PN requirements for the initial 

public notice and any repeat notices. If a state has not received a copy of the notices and a certification 

from a PWS within the 10-day time frame, states should assume notice was not given and record a 

violation of the PN Rule for that PWS in its own tracking system, and in its quarterly reporting to EPA. 

States should also record a violation of the PN Rule, if after state review, the state determines the notice 

was inadequate. 

States are expected to record a violation of the PN Rule for a PWS if: 

● The state did not receive copies of the notices and certifications. 

● The state received any notice or certification late. 

● After review, the state concluded that the form, delivery or content of an initial or repeat notice 

was inadequate or otherwise determined the timing or distribution requirements were not met 

(despite the certification). 

5.1.3 State Enforcement, Compliance Monitoring and Assistance, or Other Followup 

Primacy states will have statutory or regulatory enforcement authority adequate to compel compliance 

with the PN requirements that conforms to the requirements in 40 CFR 142.10(b)(6). When violations of 

the PN Rule occur, in addition to an underlying violation for which the state brings an enforcement 

action, the state should include the violations of the PN Rule as part of the enforcement action for the 

underlying violation. For situations where there is no underlying violation, the state should enforce PN 

requirements independently from enforcement of underlying violations and should enforce the PN 

requirements. State and EPA compliance monitoring and tracking programs, as well as the linkages in 

their databases between the public notice violations and underlying violations, will help states and EPA to 

identify, address and ensure the correction of violations of the PN Rule. States should take any informal 

or formal measures necessary to return a PWS to compliance with the PN Rule as quickly as possible. 

EPA encourages states to develop compliance assistance programs in order to help PWSs comply with the 

PN Rule and, in the event of a violation of the PN Rule, to return to compliance with the Rule. For 

example, when a state learns of an NPDWR violation or other situation, the state may remind the PWS of 

its obligation to provide public notice and may inform the PWS of the public notice form, manner, 

content, and delivery requirements. The state may also choose to give notice to the public on behalf of the 

PWS, in accordance with 40 CFR 141.210. However, the owner or operator of the PWS remains legally 

responsible for ensuring that the PN requirements are met. As part of its compliance assistance efforts, a 

state may provide the PWS with guidance documents, templates and other resources. See Section 2 for a 

list of these resources. 

Flowcharts 4, 5, and 6 provide timelines for state actions, once a state learns of a Tier 1, 2, or 3 violation 

or situation. 
PN Rule Implementation Guidance 66 March 2010

5.1.4 Return to Compliance 

Generally, a PWS that has violated the PN Rule returns to compliance with the Rule when it performs the 

action required under the Rule. The following provides some examples of what a PWS should do to 

return to compliance. These examples may not include all return to compliance situations: 

● If the system did not prepare and distribute the public notice in accordance with the Rule, the 

system has subsequently prepared and distributed the notice, as well as provided a copy of the 

notice and a certification to the state. 

● If the system did not submit either a copy of the notice or the certification by the required 

deadline, the system has subsequently sent the state the required documents. 

● If the system prepared an inadequate notice, the system has subsequently prepared a notice that 

addresses all deficiencies identified by the state, delivered it to the state with a certification, and 

distributed it to persons served in accordance with the Rule. 

Return to compliance with the PN Rule does not relieve the PWS from liability for public notice or 

NPDWR violations. 
PN Rule Implementation Guidance 67 
PN Rule Implementation Guidance 68 
PN Rule Implementation Guidance 69 
PN Rule Implementation Guidance 70 March 2010 

5.2 SDWIS Reporting and EPA Follow-up 

The state and EPA compliance monitoring and tracking systems help the states and EPA to identify, 

address, and ensure the correction of violations of the PN Rule. Under the PN Rule, states must maintain 

copies of public notices and records of PN violations for 3 years [40 CFR 142.14(f)]. States must also 

report to EPA’s SDWIS/FED database system, on a quarterly basis, information about PN violations in 

the state during the previous quarter and new enforcement actions taken by the state during the previous 

quarter against PWSs for PN violations. 

In order to help states and EPA to track violations of the PN Rule and to ensure that those violations are 

included in enforcement actions for the underlying SDWA violations or otherwise, SDWIS/FED has a 

mechanism to link the record for the public notification violation to the record for the underlying 

NPDWR violation. The underlying NPDWR violation drives the severity of the public health risk and is 

the basis for the new requirement to link the PN violation to the related NPDWR violation. 

EPA expects that violations of PN requirements will be included as part of enforcement action for the 

underlying NPDWR violation. EPA also anticipates there will be enforcement of public notice 

requirements independent from enforcement of underlying violations and for situations where there is no 

underlying violation. 

When the state records a PN violation in its database, the state should also report the PN violation to 

SDWIS/FED. Under the revised PN Rule, states will have to report the following information to 

SDWIS/FED: 

1) Whether there is a PN violation for the public notice (initial or repeat notice, certification, etc.). 

2) Date of the PN violation. 

3) Link to the underlying NPDWR violation. 

4) When the system has returned to compliance for the PN violation. 

5) If the state brought formal enforcement action, the type of action, the date it was initiated, and the 

date the violation was resolved. 

The PN Rule requires states to report the information specified above to SDWIS/FED within 45 days 

after the quarter in which the PN violation occurred, or in which the system returned to compliance. 

EPA will use this information on violations of the PN Rule to track PWS compliance with the PN Rule 

and to review the adequacy of state implementation, compliance monitoring and enforcement of the PN 

requirements. Based upon a review of this information, EPA may provide compliance assistance 

suggestions and additional guidance to the state or directly to the PWS. When appropriate, EPA may also 

decide to pursue federal enforcement. Table 5-1 summarizes the SDWIS reporting requirements for the 

PN Rule. 
PN Rule Implementation Guidance 71 March 2010 

Table 5-1. Federal Reporting for the PN Rule 

Violation 

Code* 

Rule Code PN Section 

Reference 

Description 

75 7500 40 CFR 141.201 

40 CFR 141.211 

PN Violation for a NPDWR Violation 

(e.g., failure to notify public via initial or repeat 

notice, failure to provide required documents [initial 

or repeat notice or certification] to state) 

76 7500 40 CFR 141.202 

40 CFR 141.203 

40 CFR 141.204 

40 CFR 141.207 

40 CFR 141.208 

40 CFR 141.209 

Other Potential Health Risk Situations/Violations

(i.e., for those situations where there is no 

underlying NPDWR violation such as waterborne 

disease outbreak/other waterborne emergency; 

variance or exemption; availability of unregulated 

contaminant monitoring data; fluoride SMCL 

exceedance; and nitrate exceedances above the 

MCL by NCWS, where granted permission by the 

state) 

* States must report only when violations occur.
PN Rule Implementation Guidance 72 March 2010 

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Appendix A 

Primacy Revision Crosswalk 
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PN Rule Implementation Guidance A-3 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

PART 141- NATIONAL PRIMARY DRINKING WATER REGULATIONS 

SUBPART B—MAXIMUM CONTAMINANT LEVELS§ 141.11 MAXIMUM CONTAMINANT LEVELS FOR INORGANIC CHEMICALS. The non-community water system is meeting the public notification requirements under §141.209, including continuous posting of the fact that nitrate levels exceed 10 mg/l and the potential health effects of exposure; 

§ 141.11(d)(2) 

SUBPART C—MONITORING AND ANALYTICAL REQUIREMENTS§ 141.23 INORGANIC CHEMICAL SAMPLING AND ANALYTICAL REQUIREMENTS. Where nitrate or nitrite sampling results indicate an exceedance of the maximum contaminant level, the system shall take a confirmation sample within 24 hours of the system's receipt of notification of the analytical results of the first sample. Systems unable to comply with the 24-hour sampling requirement must immediately notify persons served by the public water system in accordance with §141.202 and meet other Tier 1 public notification requirements under Subpart Q of this part. Systems exercising this option must take and analyze a confirmation sample within two weeks of notification of the analytical results of the first sample. 

§ 141.23(f)(2)
PN Rule Implementation Guidance A-4 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

SUBPART D—REPORTING AND RECORDKEEPING§ 141.31 REPORTING REQUIREMENTS. The public water system, within 10 days of completing the public notification requirements under Subpart Q of this part for the initial public notice and any repeat notices, must submit to the primacy agency a certification that it has fully complied with the public notification regulations. The public water system must include with this certification a representative copy of each type of notice distributed, published, posted, and made available to the persons served by the system and to the media. 

§ 141.31(d) 

§ 141.33 RECORD MAINTENANCE. Copies of public notices issued pursuant to Subpart Q of this part and certifications made to the primacy agency pursuant to §141.31 must be kept for three years after issuance. 

§ 141.33(e) 

SUBPART H—FILTRATION AND DISINFECTION§ 141.75 REPORTING AND RECORDKEEPING REQUIREMENTS. If at any time the turbidity exceeds 5 NTU, the system must consult with the primacy agency as soon as practical, but no later than 24 hours after the exceedance is known, in accordance with the public notification requirements under §141.203(b)(3). 

§ 141.75(a)(5)(ii) 
PN Rule Implementation Guidance A-5 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

If at any time the turbidity exceeds 5 NTU, the system must consult with the primacy agency as soon as practical, but no later than 24 hours after the exceedance is known, in accordance with the public notification requirements under §141.203(b)(3). 

§ 141.75(b)(3)(ii) 

SUBPART O—CONSUMER CONFIDENCE REPORTS§ 141.153 CONTENT OF THE REPORTS. A report that contains data on contaminants that EPA regulates using any of the following terms must include the applicable definitions: 

§ 141.153(c)(3) 

Maximum residual disinfectant level goal or MRDLG: The level of a drinking water disinfectant below which there is no known or expected risk to health. MRDLGs do not reflect the benefits of the use of disinfectants to control microbial contaminants. 

§ 141.153(c)(iii) 

Maximum residual disinfectant level or MRDL: The highest level of a disinfectant allowed in drinking water. There is convincing evidence that addition of a disinfectant is necessary for control of microbial contaminants. 

§ 141.153(c)(iv) 

Information on detected contaminants: This sub-section specifies the requirements for information to be included in each report for contaminants subject to mandatory monitoring (except Cryptosporidium ), it applies to; contaminants subject to a MCL, action level, maximum residual disinfectant level, or treatment technique (regulated contaminants).

§ 141.153(d)(1)(i) 
PN Rule Implementation Guidance A-6 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

The likely source(s) of detected contaminants to the best of the operator's knowledge. Specific information regarding contaminants may be available in sanitary surveys and source water assessments, and should be used when available to the operator. If the operator lacks specific information on the likely source, the report must include one or more of the typical sources for that contaminant listed in appendix A to this subpart that is most applicable to the system. 

§ 141.153(d)(4)(ix) 

The table(s) must clearly identify any data indicating violations of MCLs, MRDLs, or treatment techniques, and the report must contain a clear and readily understandable explanation of the violation including: the length of the violation, the potential adverse health effects, and actions taken by the system to address the violation. To describe the potential health effects, the system must use the relevant language of Appendix A to this subpart. 

§ 141.153(d)(6) 

Lead and copper control requirements prescribed by subpart I of this part. For systems that fail to take one or more actions prescribed by §§141.80(d), 141.81, 141.82, 141.83 or 141.84, the report must include the applicable language of Appendix A to this subpart for lead, copper, or both. 

§ 141.153(f)(3) 

Treatment techniques for Acrylamide and Epichlorohydrin prescribed by subpart K of this part. For systems that violate the requirements of subpart K of this part, the report must include the relevant language from Appendix A to this subpart. 

§ 141.153(f)(4) 
PN Rule Implementation Guidance A-7 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

§ 141.154 REQUIRED ADDITIONAL HEALTH INFORMATION. Community water systems that detect TTHM above 0.080 mg/l, but below the MCL in §141.12, as an annual average, monitored and calculated under the provisions of §141.30, must include health effects language for TTHMs prescribed by Appendix A. 

§ 141.154(e) 

§ 141.155 REPORT DELIVERY AND RECORDKEEPING. Any system subject to this subpart must retain copies of its Consumer Confidence Report for no less than 3 years.

§ 141.155(h) 

SUBPART Q – PUBLIC NOTIFICATION OF DRINKING WATER REGULATIONS§ 141.201 GENERAL PUBLIC NOTIFICATION REQUIREMENTS.Public water systems in States with primacy for the public water system supervision (PWSS) program must comply with the requirements in this subpart no later than May 6, 2002 or on the date the State-adopted rule becomes effective, whichever comes first. Public water systems in jurisdictions where EPA directly implements the PWSS program must comply with the requirements in this subpart on October 31, 2000. Prior to these dates, public water systems must continue to comply with the public notice requirements in §141.32 of this part. The term “primacy agency” is used in this subpart to refer to either EPA or the State or the Tribe in cases where EPA, the State, or the Tribe exercises primary enforcement responsibility for this subpart. 

§ 141.201 
PN Rule Implementation Guidance A-8 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

Who must give public notice? Each owner or operator of a public water system (community water systems, non-transient non-community water systems, and transient non-community water systems) must give notice for all violations of national primary drinking water regulations (NPDWR) and for other situations, as listed in Table 1. The term “NPDWR violations” is used in this subpart to include violations of the maximum contaminant level (MCL), maximum residual disinfection level (MRDL), treatment technique (TT), monitoring requirements, and testing procedures in this part 141. Appendix A to this subpart identifies the tier assignment for each specific violation or situation requiring a public notice. 

§ 141.201(a) 
PN Rule Implementation Guidance A-9 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

TABLE 1 TO §141.201—VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A PUBLIC NOTICE (1) NPDWR violations:

(i) Failure to comply with an applicable maximum contaminant level (MCL) or maximum residual disinfectant level (MRDL). (ii) Failure to comply with a prescribed treatment technique (TT). (iii) Failure to perform water quality monitoring, as required by the drinking water regulations. (iv) Failure to comply with testing procedures as prescribed by a drinking water regulation. 

2) Variance and exemptions under sections 1415 and 1416 of SDWA:

(i) Operation under a variance or an exemption. (ii) Failure to comply with the requirements of any schedule that has been set under a variance or exemption. 

3) Special public notices:

(i) Occurrence of a waterborne disease outbreak or other waterborne emergency. 

(ii) Exceedance of the nitrate MCL by non-community water systems (NCWS), where granted permission by the primacy agency part. 

(iii) Exceedance of the secondary maximum contaminant level (SMCL) for fluoride. (iv) Availability of unregulated contaminant monitoring data. (v) Other violations and situations determined by the primacy agency to require a public notice under this subpart, not already liste

What type of public notice is required for each violation or situation? Public notice requirements are divided into three tiers, to take into account the seriousness of the violation or situation and of any potential adverse health effects that may be involved. The public notice requirements for each violation or situation listed in Table 1 of this section are determined by the tier to which it is assigned. Table 2 of this section provides the definition of each tier. Appendix A of this part identifies the tier assignment for each specific violation or situation. 

§ 141.201(b) 
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TABLE 2 TO §141.201—DEFINITION OF PUBLIC NOTICE TIERS(1) Tier 1 public notice —required for NPDWR violations and situations with significant potential to have serious adverse effects on hu

short-term exposure. 

(2) Tier 2 public notice —required for all other NPDWR violations and situations with potential to have serious adverse effects on huma(3) Tier 3 public notice —required for all other NPDWR violations and situations not included in Tier 1 and Tier 2. 

Who must be notified?Each public water system must provide public notice to persons served by the water system, in accordance with this subpart. Public water systems that sell or otherwise provide drinking water to other public water systems (i.e. , to consecutive systems) are required to give public 

notice to the owner or operator of the consecutive system; the consecutive system is responsible for providing public notice to the persons it serves. 

§ 141.201(c)(1) 

If a public water system has a violation in a portion of the distribution system that is physically or hydraulically isolated from other parts of the distribution system, the primacy agency may allow the system to limit distribution of the public notice to only persons served by that portion of the system which is out of compliance. Permission by the primacy agency for limiting distribution of the notice must be granted in writing. 

§ 141.201(2) 

A copy of the notice must also be sent to the primacy agency, in accordance with the requirements under §141.31(d). 

§ 141.201(3) 
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§ 141.202 TIER 1 PUBLIC NOTICE —FORM, MANNER, AND FREQUENCY OF NOTICE. Which violations or situations require a Tier 1 public notice? Table 1 of this section lists the violation categories and other situations requiring a Tier 1 public notice. Appendix A to this subpart identifies the tier assignment for each specific violation or situation. 

§ 141.202(a) 
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TABLE 1 TO §141.202—VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A TIER 1 PUBLIC NOTICE(1) Violation of the MCL for total coliforms when fecal coliform or E. coli are present in the water distribution system (as specified in the water system fails to test for fecal coliforms or E. coli when any repeat sample tests positive for coliform (as specified in §141.21((2) Violation of the MCL for nitrate, nitrite, or total nitrate and nitrite, as defined in §141.62, or when the water system fails to take a within 24 hours of the system's receipt of the first sample showing an exceedance of the nitrate or nitrite MCL, as specified in §141.23(3) Exceedance of the nitrate MCL by non-community water systems, where permitted to exceed the MCL by the primacy agency undrequired under §141.209; (4) Violation of the MRDL for chlorine dioxide, as defined in §141.65(a), when one or more samples taken in the distribution system exceedance of the MRDL at the entrance of the distribution system exceed the MRDL, or when the water system does not take the reqdistribution system, as specified in §141.133(c)(2)(i); (5) Violation of the turbidity MCL under §141.13(b), where the primacy agency determines after consultation that a Tier 1 notice is reconsultation does not take place within 24 hours after the system learns of the violation; (6) Violation of the Surface Water Treatment Rule (SWTR), Interim Enhanced Surface Water Treatment Rule (IESWTR) or Long Te

Water Treatment Rule (LT1ESWTR) treatment technique requirement resulting from a single exceedance of the maximum allowable identified in Appendix A), where the primacy agency determines after consultation that a Tier 1 notice is required or where consultatiwithin 24 hours after the system learns of the violation; 

(7) Occurrence of a waterborne disease outbreak, as defined in §141.2, or other waterborne emergency (such as a failure or significant water treatment processes, a natural disaster that disrupts the water supply or distribution system, or a chemical spill or unexpected loa

pathogens into the source water that significantly increases the potential for drinking water contamination); 

(8) Detection of E. coli , enterococci, or coliphage in source water samples as specified in §141.402(a) and §141.402(b); and, (9) Other violations or situations with significant potential to have serious adverse effects on human health as a result of short-term exthe primacy agency either in its regulations or on a case-by-case basis. 
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When is the Tier 1 public notice to be provided? What additional steps are required? Public water systems must:

§ 141.202(b) 

Provide a public notice as soon as practical but no later than 24 hours after the system learns of the violation;

§ 141.202(b)(1) 

Initiate consultation with the primacy agency as soon as practical, but no later than 24 hours after the public water system learns of the violation or situation, to determine additional public notice requirements; and

§ 141.202(b)(2) 

Comply with any additional public notification requirements (including any repeat notices or direction on the duration of the posted notices) that are established as a result of the consultation with the primacy agency. Such requirements may include the timing, form, manner, frequency, and content of repeat notices (if any) and other actions designed to reach all persons served.

§ 141.202(b)(3) 

What is the form and manner of the public notice? Public water systems must provide the notice within 24 hours in a form and manner reasonably calculated to reach all persons served. The form and manner used by the public water system are to fit the specific situation, but must be designed to reach residential, transient, and non-transient users of the water system. In order to reach all persons served, water systems are to use, at a minimum, one or more of the following forms of delivery: 

§ 141.202(c) 
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Appropriate broadcast media (such as radio and television);

§ 141.202(c)(1) 

Posting of the notice in conspicuous locations throughout the area served by the water system;

§ 141.202(c)(2) 

Hand delivery of the notice to persons served by the water system; or

§ 141.202(c)(3) 

Another delivery method approved in writing by the primacy agency. 

§ 141.202(c)(4) 

§ 141.203 TIER 2 PUBLIC NOTICE —FORM, MANNER, AND FREQUENCY OF NOTICE. Which violations or situations require a Tier 2 public notice? Table 1 of this section lists the violation categories and other situations requiring a Tier 2 public notice. Appendix A to this subpart identifies the tier assignment for each specific violation or situation. 

§ 141.203(a) 

TABLE 1 TO §141.203—VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A TIER 2 PUBLIC NOTICE(1) All violations of the MCL, MRDL, and treatment technique requirements, except where a Tier 1 notice is required under §141.202(agency determines that a Tier 1 notice is required; (2) Violations of the monitoring and testing procedure requirements, where the primacy agency determines that a Tier 2 rather than a Trequired, taking into account potential health impacts and persistence of the violation; and (3) Failure to comply with the terms and conditions of any variance or exemption in place. (4) Failure to take corrective action or failure to maintain at least 4-log treatment of viruses (using inactivation, removal, or a State-app

log virus inactivation and removal) before or at the first customer under §141.403(a). 
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When is the Tier 2 public notice to be provided? § 141.203(b) Public water systems must provide the public notice as soon as practical, but no later than 30 days after the system learns of the violation. If the public notice is posted, the notice must remain in place for as long as the violation or situation persists, but in no case for less than seven days, even if the violation or situation is resolved. The primacy agency may, in appropriate circumstances, allow additional time for the initial notice of up to three months from the date the system learns of the violation. It is not appropriate for the primacy agency to grant an extension to the 30-day deadline for any unresolved violation or to allow acrossthe-board extensions by rule or policy for other violations or situations requiring a Tier 2 public notice. Extensions granted by the primacy agency must be in writing.

§ 141.203(b)(1) 
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The public water system must repeat the notice every three months as long as the violation or situation persists, unless the primacy agency determines that appropriate circumstances warrant a different repeat notice frequency. In no circumstance may the repeat notice be given less frequently than once per year. It is not appropriate for the primacy agency to allow less frequent repeat notice for an MCL violation under the Total Coliform Rule or a treatment technique violation under the Surface Water Treatment Rule or Interim Enhanced Surface Water Treatment Rule. It is also not appropriate for the primacy agency to allow through its rules or policies across-the-board reductions in the repeat notice frequency for other ongoing violations requiring a Tier 2 repeat notice. Primacy agency determinations allowing repeat notices to be given less frequently than once every three months must be in writing.

§ 141.203(b)(2) 

For the turbidity violations specified in this paragraph, public water systems must consult with the primacy agency as soon as practical but no later than 24 hours after the public water system learns of the violation, to determine whether a Tier 1 public notice under §141.202(a) is required to protect public health. When consultation does not take place within the 24-hour period, the water system must distribute a Tier 1 notice of the violation within the next 24 hours ( i.e., no later than 48 hours after the system learns of the violation), following the requirements under §141.202(b) and (c). Consultation with the primacy agency is required for: 

§ 141.203(b)(3) 

Violation of the turbidity MCL under §141.13(b); or § 141.203(b)(3)(i) 
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Violation of the SWTR, IESWTR or LT1ESWTR treatment technique requirement resulting from a single exceedance of the maximum allowable turbidity limit. 

§ 141.203(b)(3)(ii) 

What is the form and manner of the Tier 2 public notice? Public water systems must provide the initial public notice and any repeat notices in a form and manner that is reasonably calculated to reach persons served in the required time period. The form and manner of the public notice may vary based on the specific situation and type of water system, but it must at a minimum meet the following requirements: 

§ 141.203(c) 

Unless directed otherwise by the primacy agency in writing, community water systems must provide notice by: 

§ 141.203(c)(1) 

Mail or other direct delivery to each customer receiving a bill and to other service connections to which water is delivered by the public water system; and 

§ 141.203(c)(1)(i) 

Any other method reasonably calculated to reach other persons regularly served by the system, if they would not normally be reached by the notice required in paragraph (c)(1)(i) of this section. Such persons may include those who do not pay water bills or do not have service connection addresses (e.g., house renters, apartment dwellers, university students, nursing home patients, prison inmates, etc.). Other methods may include: Publication in a local newspaper; delivery of multiple copies for distribution by customers that provide their drinking water to others (e.g., apartment building owners or large private employers); posting in public places served by the system or on the Internet; or delivery to community organizations. 

§ 141.203(c)(1)(ii) 
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Unless directed otherwise by the primacy agency in writing, non-community water systems must provide notice by: 

§ 141.203(c)(2) 

Posting the notice in conspicuous locations throughout the distribution system frequented by persons served by the system, or by mail or direct delivery to each customer and service connection (where known); and 

§ 141.203(c)(2)(i) 

Any other method reasonably calculated to reach other persons served by the system if they would not normally be reached by the notice required in paragraph (c)(2)(i) of this section. Such persons may include those served who may not see a posted notice because the posted notice is not in a location they routinely pass by. Other methods may include: Publication in a local newspaper or newsletter distributed to customers; use of E-mail to notify employees or students; or, delivery of multiple copies in central locations (e.g., community centers). 

§ 141.203(c)(2)(ii) 

§ 141.204 TIER 3 PUBLIC NOTICE —FORM, MANNER, AND FREQUENCY OF NOTICE. Which violations or situations require a Tier 3 public notice? Table 1 of this section lists the violation categories and other situations requiring a Tier 3 public notice. Appendix A to this subpart identifies the tier assignment for each specific violation or situation. 

§ 141.204(a) 
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TABLE 1 TO §141.204—VIOLATION CATEGORIES AND OTHER SITUATIONS REQUIRING A TIER 3 PUBLIC NOTICE(1) Monitoring violations under 40 CFR part 141, except where a Tier 1 notice is required under §141.202(a) or where the primacy ageTier 2 notice is required; (2) Failure to comply with a testing procedure established in 40 CFR part 141, except where a Tier 1 notice is required under §141.202agency determines that a Tier 2 notice is required; (3) Operation under a variance granted under Section 1415 or an exemption granted under Section 1416 of the Safe Drinking Water Ac(4) Availability of unregulated contaminant monitoring results, as required under §141.207; and (5) Exceedance of the fluoride secondary maximum contaminant level (SMCL), as required under §141.208. 

When is the Tier 3 public notice to be provided? § 141.204(b) Public water systems must provide the public notice not later than one year after the public water system learns of the violation or situation or begins operating under a variance or exemption. Following the initial notice, the public water system must repeat the notice annually for as long as the violation, variance, exemption, or other situation persists. If the public notice is posted, the notice must remain in place for as long as the violation, variance, exemption, or other situation persists, but in no case less than seven days (even if the violation or situation is resolved).

§ 141.204(b)(1) 

Instead of individual Tier 3 public notices, a public water system may use an annual report detailing all violations and situations that occurred during the previous twelve months, as long as the timing requirements of paragraph (b)(1) of this section are met.

§ 141.204(b)(2) 
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What is the form and manner of the Tier 3 public notice? Public water systems must provide the initial notice and any repeat notices in a form and manner that is reasonably calculated to reach persons served in the required time period. The form and manner of the public notice may vary based on the specific situation and type of water system, but it must at a minimum meet the following requirements: 

§ 141.204(c) 

Unless directed otherwise by the primacy agency in writing, community water systems must provide notice by: 

§ 141.204(c)(1) 

Mail or other direct delivery to each customer receiving a bill and to other service connections to which water is delivered by the public water system; and 

§ 141.204(c)(1)(i) 

Any other method reasonably calculated to reach other persons regularly served by the system, if they would not normally be reached by the notice required in paragraph (c)(1)(i) of this section. Such persons may include those who do not pay water bills or do not have service connection addresses (e.g., house renters, apartment dwellers, university students, nursing home patients, prison inmates, etc.). Other methods may include: Publication in a local newspaper; delivery of multiple copies for distribution by customers that provide their drinking water to others (e.g., apartment building owners or large private employers); posting in public places or on the Internet; or delivery to community organizations. 

§ 141.204(c)(1)(ii) 

Unless directed otherwise by the primacy agency in writing, non-community water systems must provide notice by: 

§ 141.204(c)(2) 
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Posting the notice in conspicuous locations throughout the distribution system frequented by persons served by the system, or by mail or direct delivery to each customer and service connection (where known); and 

§ 141.204(c)(2)(i) 

Any other method reasonably calculated to reach other persons served by the system, if they would not normally be reached by the notice required in paragraph (c)(2)(i) of this section. Such persons may include those who may not see a posted notice because the notice is not in a location they routinely pass by. Other methods may include: Publication in a local newspaper or newsletter distributed to customers; use of E-mail to notify employees or students; or, delivery of multiple copies in central locations (e.g., community centers). 

§ 141.204(c)(2)(ii) 

In what situations may the Consumer Confidence Report be used to meet the Tier 3 public notice requirements? For community water systems, the Consumer Confidence Report (CCR) required under Subpart O of this part may be used as a vehicle for the initial Tier 3 public notice and all required repeat notices, as long as: 

§ 141.204(d) 

The CCR is provided to persons served no later than 12 months after the system learns of the violation or situation as required under §141.204(b); 

§ 141.204(d)(1) 

The Tier 3 notice contained in the CCR follows the content requirements under §141.205; and 

§ 141.204(d)(2) 

The CCR is distributed following the delivery requirements under §141.204(c). 

§ 141.204(d)(3) 
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§ 141.205 CONTENT OF THE PUBLIC NOTICE.What elements must be included in the public notice for violations of National Primary Drinking Water Regulations (NPDWR) or other situations requiring a public notice? When a public water system violates a NPDWR or has a situation requiring public notification, each public notice must include the following elements: 

§ 141.205(a) 

A description of the violation or situation, including the contaminant(s) of concern, and (as applicable) the contaminant level(s); 

§ 141.205(a)(1) 

When the violation or situation occurred; § 141.205(a)(2) Any potential adverse health effects from the violation or situation, including the standard language under paragraph (d)(1) or (d)(2) of this section, whichever is applicable; 

§ 141.205(a)(3) 

The population at risk, including subpopulations particularly vulnerable if exposed to the contaminant in their drinking water; 

§ 141.205(a)(4) 

Whether alternative water supplies should be used; § 141.205(a)(5) What actions consumers should take, including when they should seek medical help, if known; 

§ 141.205(a)(6) 

What the system is doing to correct the violation or situation; 

§ 141.205(a)(7) 

When the water system expects to return to compliance or resolve the situation; 

§ 141.205(a)(8) 

The name, business address, and phone number of the water system owner, operator, or designee of the public water system as a source of additional information concerning the notice; and 

§ 141.205(a)(9) 
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A statement to encourage the notice recipient to distribute the public notice to other persons served, using the standard language under paragraph (d)(3) of this section, where applicable. 

§ 141.205(a)(10) 

What elements must be included in the public notice for public water systems operating under a variance or exemption?

§ 141.205(b) 

If a public water system has been granted a variance or an exemption, the public notice must contain:

§ 141.205(b)(1) 

An explanation of the reasons for the variance or exemption;

§ 141.205(b)(1)(i) 

The date on which the variance or exemption was issued;

§ 141.205(b)(1)(ii) 

A brief status report on the steps the system is taking to install treatment, find alternative sources of water, or otherwise comply with the terms and schedules of the variance or exemption; and 

§ 141.205(b)(1)(iii) 

A notice of any opportunity for public input in the review of the variance or exemption. 

§ 141.205(b)(1)(iv) 

If a public water system violates the conditions of a variance or exemption, the public notice must contain the ten elements listed in paragraph (a) of this section. 

§ 141.205(b)(2) 

How is the public notice to be presented? § 141.205(c) Each public notice required by this section: § 141.205(c)(1) Must be displayed in a conspicuous way when printed or posted; 

§ 141.205(c)(1)(i) 

Must not contain overly technical language or very small print; 

§ 141.205(c)(1)(ii) 
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Must not be formatted in a way that defeats the purpose of the notice; 

§ 141.205(c)(1)(iii) 

Must not contain language which nullifies the purpose of the notice. 

§ 141.205(c)(1)(iv) 

Each public notice required by this section must comply with multilingual requirements, as follows: 

§ 141.205(c)(2) 

For public water systems serving a large proportion of non-English speaking consumers, as determined by the primacy agency, the public notice must contain information in the appropriate language(s) regarding the importance of the notice or contain a telephone number or address where persons served may contact the water system to obtain a translated copy of the notice or to request assistance in the appropriate language. 

§ 141.205(c) (2)(i) 

In cases where the primacy agency has not determined what constitutes a large proportion of non-English speaking consumers, the public water system must include in the public notice the same information as in paragraph (c)(2)(i) of this section, where appropriate to reach a large proportion of non-English speaking persons served by the water system. 

§ 141.205(c)(2)(ii) 

What standard language must public water systems include in their public notice? Public water systems are required to include the following standard language in their public notice: 

§ 141.205(d) 
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Standard health effects language for MCL or MRDL violations, treatment technique violations, and violations of the condition of a variance or exemption. Public water systems must include in each public notice the health effects language specified in Appendix B to this subpart corresponding to each MCL, MRDL, and treatment technique violation listed in Appendix A to this subpart, and for each violation of a condition of a variance or exemption. 

§ 141.205(d)(1) 

Standard language for monitoring and testing procedure violations. Public water systems must include the following language in their notice, including the language necessary to fill in the blanks, for all monitoring and testing procedure violations listed in Appendix A to this subpart:We are required to monitor your drinking water for specific contaminants on a regular basis. Results of regular monitoring are an indicator of whether or not your drinking water meets health standards. During [compliance period], we “did not monitor or test” or “did not complete all monitoring or testing” for [contaminant(s)], and therefore cannot be sure of the quality of your drinking water during that time.

§ 141.205(d)(2) 
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Standard language to encourage the distribution of the public notice to all persons served. Public water systems must include in their notice the following language (where applicable):Please share this information with all the other people who drink this water, especially those who may not have received this notice directly (for example, people in apartments, nursing homes, schools, and businesses). You can do this by posting this notice in a public place or distributing copies by hand or mail. 

§ 141.205(d)(3) 

§ 141.206 NOTICE TO NEW BILLING UNITS OR NEW CUSTOMERS. What is the requirement for community water systems? Community water systems must give a copy of the most recent public notice for any continuing violation, the existence of a variance or exemption, or other ongoing situations requiring a public notice to all new billing units or new customers prior to or at the time service begins. 

§ 141.206(a) 

What is the requirement for non-community water systems? Non-community water systems must continuously post the public notice in conspicuous locations in order to inform new consumers of any continuing violation, variance or exemption, or other situation requiring a public notice for as long as the violation, variance, exemption, or other situation persists. 

§ 141.206(b) 
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§ 141.207 SPECIAL NOTICE OF THE AVAILABILITY OF UNREGULATED CONTAMINANT MONITORING RESULTS. When is the special notice to be given? The owner or operator of a community water system or non-transient, non-community water system required to monitor under §141.40 must notify persons served by the system of the availability of the results of such sampling no later than 12 months after the monitoring results are known. 

§ 141.207(a) 

What is the form and manner of the special notice? The 

form and manner of the public notice must follow the requirements for a Tier 3 public notice prescribed in §§141.204(c), (d)(1), and (d)(3). The notice must also identify a person and provide the telephone number to contact for information on the monitoring results. 

§ 141.207(b) 
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§ 141.208 SPECIAL NOTICE FOR EXCEEDANCE OF THE SMCL FOR FLUORIDE. When is the special notice to be given? Community water systems that exceed the fluoride secondary maximum contaminant level (SMCL) of 2 mg/l as specified in §143.3 (determined by the last single sample taken in accordance with §141.23), but do not exceed the maximum contaminant level (MCL) of 4 mg/l for fluoride (as specified in §141.62), must provide the public notice in paragraph (c) of this section to persons served. Public notice must be provided as soon as practical but no later than 12 months from the day the water system learns of the exceedance. A copy of the notice must also be sent to all new billing units and new customers at the time service begins and to the State public health officer. The public water system must repeat the notice at least annually for as long as the SMCL is exceeded. If the public notice is posted, the notice must remain in place for as long as the SMCL is exceeded, but in no case less than seven days (even if the exceedance is eliminated). On a case-by-case basis, the primacy agency may require an initial notice sooner than 12 months and repeat notices more frequently than annually. 

§ 141.208(a) 

What is the form and manner of the special notice? The 

form and manner of the public notice (including repeat notices) must follow the requirements for a Tier 3 public notice in §141.204(c) and (d)(1) and (d)(3).

§ 141.208(b) 
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What mandatory language must be contained in the special notice? The notice must contain the following language, including the language necessary to fill in the blanks: This is an alert about your drinking water and a cosmetic dental problem that might affect children under nine years of age. At low levels, fluoride can help prevent cavities, but children drinking water containing more than 2 milligrams per liter (mg/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 fluoridecontaining 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.

§ 141.208(c) 
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SECTION/PARAGRAPH) 

REQ

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.”§ 141.209 SPECIAL NOTICE FOR NITRATE EXCEEDANCES ABOVE MCL BY NON-COMMUNITY WATER SYSTEMS (NCWS), WHERE GRA

PRIMACY AGENCY UNDER §141.11(D). 

When is the special notice to be given? The owner or operator of a non-community water system granted permission by the primacy agency under §141.11(d) to exceed the nitrate MCL must provide notice to persons served according to the requirements for a Tier 1 notice under §141.202(a) and (b).

§ 141.209(a) 

What is the form and manner of the special notice? Non-community water systems granted permission by the primacy agency to exceed the nitrate MCL under §141.11(d) must provide continuous posting of the fact that nitrate levels exceed 10 mg/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.

§ 141.209(b) 

§ 141.210 NOTICE BY PRIMACY AGENCY ON BEHALF OF THE PUBLIC WATER SYSTEM. May the primacy agency give the notice on behalf of the public water system? The primacy agency may give the notice required by this subpart on behalf of the owner and operator of the public water system if the primacy agency complies with the requirements of this subpart.

§ 141.210(a) 
PN Rule Implementation Guidance A-31 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

What is the responsibility of the public water system when notice is given by the primacy agency? The owner 

or operator of the public water system remains responsible for ensuring that the requirements of this subpart are met.

§ 141.210(b) 

§ 141.211 SPECIAL NOTICE FOR REPEATED FAILURE TO CONDUCT MONITORING OF THE SOURCE WATER FOR CRYPTOSPORIDIUM AN

DETERMINE BIN CLASSIFICATION OR MEAN CRYPTOSPORIDIUM LEVEL.

When is the special notice for repeated failure to monitor to be given? The owner or operator of a community or non-community water system that is required to monitor source water under §141.701 must notify persons served by the water system that monitoring has not been completed as specified no later than 30 days after the system has failed to collect any 3 months of monitoring as specified in §141.701(c). The notice must be repeated as specified in §141.203(b).

§ 141.211(a) 

When is the special notice for failure to determine bin classification or mean Cryptosporidium level to be given? The owner or operator of a community or noncommunity water system that is required to determine a bin classification under §141.710, or to determine mean Cryptosporidium level under §141.712, must notify persons served by the water system that the determination has not been made as required no later than 30 days after the system has failed report the determination as specified in §141.710(e) or §141.712(a), respectively. The notice must be repeated as specified in §141.203(b). The notice is not required if the system is complying with a State-approved schedule to address the violation. 

§ 141.211(b) 
PN Rule Implementation Guidance A-32 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

What is the form and manner of the special notice? The 

form and manner of the public notice must follow the requirements for a Tier 2 public notice prescribed in §141.203(c). The public notice must be presented as required in §141.205(c).

§ 141.211(c) 

What mandatory language must be contained in the special notice? The notice must contain the following language, including the language necessary to fill in the blanks.

§ 141.211(d) 

The special notice for repeated failure to conduct monitoring must contain the following language: We are required to monitor the source of your drinking water for Cryptosporidium. Results of the monitoring 

are to be used to determine whether water treatment at the (treatment plant name) is sufficient to adequately remove Cryptosporidium from your drinking water. We 

are required to complete this monitoring and make this determination by (required bin determination date). We “did not monitor or test” or “did not complete all monitoring or testing” on schedule and, therefore, we may not be able to determine by the required date what treatment modifications, if any, must be made to ensure adequate Cryptosporidium removal. Missing this deadline may, in turn, jeopardize our ability to have the required treatment modifications, if any, completed by the deadline required, (date). For more information, please call (name of water system contact) of (name of water system) at (phone number). 

§ 141.211(d)(1) 
PN Rule Implementation Guidance A-33 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

The special notice for failure to determine bin classification or mean Cryptosporidium level must contain the following language: We are required to monitor the source of your drinking water for Cryptosporidium in order to determine by (date) whether water treatment at the (treatment plant name) is sufficient to adequately remove Cryptosporidium from your drinking water. We have not made this determination by the required date. Our failure to do this may jeopardize our ability to have the required treatment modifications, if any, completed by the required deadline of (date). For more information, please call (name of water system contact) of (name of water system) at (phone number). 

§ 141.211(d)(2) 

Each special notice must also include a description of what the system is doing to correct the violation and when the system expects to return to compliance or resolve the situation.

§ 141.211(d)(3) 

Appendix A to Subpart Q Appendix A to Subpart Q Appendix B to Subpart Q Appendix B to Subpart QAppendix C to Subpart Q Appendix C to Subpart Q
PN Rule Implementation Guidance A-34 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

PART 142-NATIONAL PRIMARY DRINKING WATER REGULATIONS IMPLEMENTATION

SUBPART B–PRIMARY ENFORCEMENT RESPONSIBILITY§ 142.10 REQUIREMENTS FOR A DETERMINATION OF PRIMARY ENFORCEMENT RESPONSIBILITY. Authority to require public water systems to give public notice that is no less stringent than the EPA requirements in Subpart Q of Part 141 of this chapter and §142.16(a).

§ 142.10(b)(6)(v) 

Authority to assess civil or criminal penalties for violation of the State's primary drinking water regulations and public notification requirements, including the authority to assess daily penalties or multiple penalties when a violation continues;

§ 142.10(b)(6)(vi)

§ 142.14 RECORDS KEPT BY STATES. Public notification records under Subpart Q of Part 141 of this chapter received from public water systems (including certifications of compliance and copies of public notices) and any state determinations establishing alternative public notification requirements for the water systems must be retained for three years.

§ 142.14(f) 

§ 142.15 REPORTS BY STATES. Each State which has primary enforcement responsibility shall submit quarterly reports to the Administrator on a schedule and in a format prescribed by the Administrator, consisting of the following information:

§ 142.15(a) 
PN Rule Implementation Guidance A-35 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

(1) New violations by public water systems in the State during the previous quarter of State regulations adopted to incorporate the requirements of national primary drinking water regulations, including violations of the public notification requirements under Subpart Q of Part 141 of this chapter.

§ 142.15(a)(1)

§ 142.16 SPECIAL PRIMACY REQUIREMENTS. State public notification requirements § 142.16(a) Each State that has primary enforcement authority under this part must submit complete and final requests for approval of program revisions to adopt the requirements of Subpart Q of Part 141 of this chapter, using the procedures in §142.12(b) through (d). At its option, a State may, by rule, and after notice and comment, establish alternative public notification requirements with respect to the form and content of the public notice required under Subpart Q of Part 141 of this chapter. The alternative requirements must provide the same type and amount of information required under Subpart Q and must meet the primacy requirements under §142.10.

§ 142.16(a)(1) 

As part of the revised primacy program, a State must also establish enforceable requirements and procedures when the State adds to or changes the requirements under:

§ 142.16(a)(2) 

Table 1 to 40 CFR 141.201(a)(Item (3)(v)) —To require public water systems to give a public notice for violations or situations other than those listed in Appendix A of Subpart Q of Part 141 of this chapter; 

§ 142.16(a)(2)(i) 
PN Rule Implementation Guidance A-36 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

40 CFR 141.201(c)(2) —To allow public water systems, under the specific circumstances listed in §141.201(c)(2), to limit the distribution of the public notice to persons served by the portion of the distribution system that is out of compliance;

§ 142.16(a)(2)(ii) 

Table 1 of 40 CFR 141.202(a) (Items (5), (6), and (9)) —To require public water systems to give a Tier 1 public notice (rather than a Tier 2 or Tier 3 notice) for violations or situations listed in Appendix A of Subpart Q of Part 141 of this chapter; 

§ 142.16(a)(2)(iii) 

40 CFR 141.202(b)(3) —To require public water systems to comply with additional Tier 1 public notification requirements set by the State subsequent to the initial 24-hour Tier 1 notice, as a result of their consultation with the State required under §§141.202(b)(2);

§ 142.16(a)(2)(iv) 

40 CFR 141.202(c), 141.203(c) and 141.204(c) —To require a different form and manner of delivery for Tier 1, 2 and 3 public notices.

§ 142.16(a)(2)(v) 

Table 1 to 40 CFR 141.203(a) (Item (2)) —To require the public water systems to provide a Tier 2 public notice (rather than Tier (3)) for monitoring or testing procedure violations specified by the State;

§ 142.16(a)(2)(vi) 

40 CFR 141.203(b)(1) —To grant public water systems an extension up to three months for distributing the Tier 2 public notice in appropriate circumstances (other than those specifically excluded in the rule); 

§ 142.16(a)(2)(vii) 
PN Rule Implementation Guidance A-37 

SUMMARY OF FEDERAL REQUIREMENT

FEDERAL CITATION

40 CFR 

STATE CITATION (DOCUMENT 

TITLE, PAGE NUMBER,

SECTION/PARAGRAPH) 

REQ

40 CFR 141.203(b)(2) —To grant a different repeat notice frequency for the Tier 2 public notice in appropriate circumstances (other than those specifically excluded in the rule), but no less frequently than once per year; 

§ 142.16(a)(2)(viii) 

40 CFR 141.203(b)(3) —To respond within 24 hours to a request for consultation by the public water system to determine whether a Tier 1 (rather than a Tier 2) notice is required for a turbidity MCL violation under §141.13(b) or a SWTR/IESWTR TT violation due to a single exceedance of the maximum allowable turbidity limit;

§ 142.16(a)(2)(ix) 

40 CFR 141.205(c) —To determine the specific multilingual requirement for a public water system, including defining “large proportion of non-Englishspeaking consumers.” 

§ 142.16(a)(2)(x) 
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Appendix B 

Rule Requirements 
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550 

§ 141.201 40 CFR Ch. I (7–1–08 Edition) 

than 2.0 NTU in two consecutive measurements taken 15 minutes apart at 

any time in each of two consecutive 

months, the system must report the 

filter number, the turbidity measurement, and the date(s) on which the exceedance occurred. In addition, the system must arrange for the conduct of a 

comprehensive performance evaluation 

by the State or a third party approved 

by the State no later than 30 days following the exceedance and have the 

evaluation completed and submitted to 

the State no later than 90 days following the exceedance. 

(c) Additional reporting requirements. 

(1) 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. 

(2) If at any time the turbidity in 

representative samples of filtered 

water exceeds the maximum level set 

by the State under §141.173(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. 

[63 FR 69516, Dec. 16, 1998, as amended at 66 

FR 3779, Jan. 16, 2001] 

Subpart Q—Public Notification of 

Drinking Water Violations 

SOURCE: 65 FR 26035, May 4, 2000, unless 

otherwise noted. 

§ 141.201 General public notification 

requirements. 

Public water systems in States with 

primacy for the public water system 

supervision (PWSS) program must 

comply with the requirements in this 

subpart no later than May 6, 2002 or on 

the date the State-adopted rule becomes effective, whichever comes first. 

Public water systems in jurisdictions 

where EPA directly implements the 

PWSS program must comply with the 

requirements in this subpart on October 31, 2000. Prior to these dates, public 

water systems must continue to comply with the public notice requirements in §141.32 of this part. The term 

‘‘primacy agency’’ is used in this subpart to refer to either EPA or the State 

or the Tribe in cases where EPA, the 

State, or the Tribe exercises primary 

enforcement responsibility for this subpart. 

(a) Who must give public notice? Each 

owner or operator of a public water 

system (community water systems, 

non-transient non-community water 

systems, and transient non-community 

water systems) must give notice for all 

violations of national primary drinking water regulations (NPDWR) and for 

other situations, as listed in Table 1. 

The term ‘‘NPDWR violations’’ is used 

in this subpart to include violations of 

the maximum contaminant level 

(MCL), maximum residual disinfection 

level (MRDL), treatment technique 

(TT), monitoring requirements, and 

testing procedures in this part 141. Appendix A to this subpart identifies the 

tier assignment for each specific violation or situation requiring a public notice. 

TABLE 1 TO § 141.201—VIOLATION CATEGORIES

AND OTHER SITUATIONS REQUIRING A PUBLIC

NOTICE

(1) NPDWR violations: 

(i) Failure to comply with an applicable 

maximum contaminant level (MCL) or 

maximum residual disinfectant level 

(MRDL). 

(ii) Failure to comply with a prescribed 

treatment technique (TT). 

(iii) Failure to perform water quality monitoring, as required by the drinking 

water regulations. 

(iv) Failure to comply with testing procedures as prescribed by a drinking 

water regulation. 

(2) Variance and exemptions under sections 

1415 and 1416 of SDWA: 

(i) Operation under a variance or an exemption. 

(ii) Failure to comply with the requirements of any schedule that has been 

set under a variance or exemption. 

(3) Special public notices: 

(i) Occurrence of a waterborne disease 

outbreak or other waterborne emergency. 


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Environmental Protection Agency § 141.202 

TABLE 1 TO § 141.201—VIOLATION CATEGORIES

AND OTHER SITUATIONS REQUIRING A PUBLIC

NOTICE—Continued 

(ii) Exceedance of the nitrate MCL by 

non-community water systems 

(NCWS), where granted permission by 

the primacy agency under 141.11(d) of 

this part. 

(iii) Exceedance of the secondary maximum contaminant level (SMCL) for 

fluoride. 

(iv) Availability of unregulated contaminant monitoring data. 

(v) Other violations and situations determined by the primacy agency to require a public notice under this subpart, not already listed in Appendix A. 

(b) What type of public notice is required for each violation or situation? 

Public notice requirements are divided 

into three tiers, to take into account 

the seriousness of the violation or situation and of any potential adverse 

health effects that may be involved. 

The public notice requirements for 

each violation or situation listed in 

Table 1 of this section are determined 

by the tier to which it is assigned. 

Table 2 of this section provides the definition of each tier. Appendix A of this 

part identifies the tier assignment for 

each specific violation or situation. 

TABLE 2 TO § 141.201—DEFINITION OF PUBLIC

NOTICE TIERS

(1) Tier 1 public notice—required for NPDWR 

violations and situations with significant potential to have serious adverse effects on 

human health as a result of short-term exposure. 

(2) Tier 2 public notice—required for all other 

NPDWR violations and situations with potential to have serious adverse effects on 

human health. 

(3) Tier 3 public notice—required for all other 

NPDWR violations and situations not included in Tier 1 and Tier 2. 

(c) Who must be notified? 

(1) Each public water system must 

provide public notice to persons served 

by the water system, in accordance 

with this subpart. Public water systems that sell or otherwise provide 

drinking water to other public water 

systems (i.e., to consecutive systems) 

are required to give public notice to 

the owner or operator of the consecutive system; the consecutive system is 

responsible for providing public notice 

to the persons it serves. 

(2) If a public water system has a violation in a portion of the distribution 

system that is physically or hydraulically isolated from other parts of the 

distribution system, the primacy agency may allow the system to limit distribution of the public notice to only 

persons served by that portion of the 

system which is out of compliance. 

Permission by the primacy agency for 

limiting distribution of the notice 

must be granted in writing. 

(3) A copy of the notice must also be 

sent to the primacy agency, in accordance with the requirements under 

§141.31(d). 

§ 141.202 Tier 1 Public Notice—Form, 

manner, and frequency of notice. 

(a) Which violations or situations require a Tier 1 public notice? Table 1 of 

this section lists the violation categories and other situations requiring 

a Tier 1 public notice. Appendix A to 

this subpart identifies the tier assignment for each specific violation or situation. 

TABLE 1 TO § 141.202—VIOLATION CATEGORIES

AND OTHER SITUATIONS REQUIRING A TIER 1 

PUBLIC NOTICE

(1) Violation of the MCL for total coliforms 

when fecal coliform or E. coli are present 

in the water distribution system (as specified in § 141.63(b)), or when the water system fails to test for fecal coliforms or E. 

coli when any repeat sample tests positive 

for coliform (as specified in § 141.21(e)); 

(2) Violation of the MCL for nitrate, nitrite, or 

total nitrate and nitrite, as defined in 

§ 141.62, or when the water system fails to 

take a confirmation sample within 24 hours 

of the system’s receipt of the first sample 

showing an exceedance of the nitrate or 

nitrite MCL, as specified in § 141.23(f)(2); 

(3) Exceedance of the nitrate MCL by noncommunity water systems, where permitted 

to exceed the MCL by the primacy agency 

under § 141.11(d), as required under 

§ 141.209; 


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§ 141.203 40 CFR Ch. I (7–1–08 Edition) 

TABLE 1 TO § 141.202—VIOLATION CATEGORIES

AND OTHER SITUATIONS REQUIRING A TIER 1 

PUBLIC NOTICE—Continued 

(4) Violation of the MRDL for chlorine dioxide, as defined in § 141.65(a), when one or 

more samples taken in the distribution system the day following an exceedance of 

the MRDL at the entrance of the distribution system exceed the MRDL, or when 

the water system does not take the required samples in the distribution system, 

as specified in § 141.133(c)(2)(i); 

(5) Violation of the turbidity MCL under 

§ 141.13(b), where the primacy agency determines after consultation that a Tier 1 notice is required or where consultation does 

not take place within 24 hours after the 

system learns of the violation; 

(6) Violation of the Surface Water Treatment 

Rule (SWTR), Interim Enhanced Surface 

Water Treatment Rule (IESWTR) or Long 

Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) treatment technique requirement resulting from a single 

exceedance of the maximum allowable turbidity limit (as identified in Appendix A), 

where the primacy agency determines after 

consultation that a Tier 1 notice is required 

or where consultation does not take place 

within 24 hours after the system learns of 

the violation; 

(7) Occurrence of a waterborne disease outbreak, as defined in § 141.2, or other waterborne emergency (such as a failure or 

significant interruption in key water treatment processes, a natural disaster that disrupts the water supply or distribution system, or a chemical spill or unexpected 

loading of possible pathogens into the 

source water that significantly increases 

the potential for drinking water contamination); 

(8) Detection of E. coli, enterococci, or 

coliphage in source water samples as 

specified in § 141.402(a) and § 141.402(b); 

(9) Other violations or situations with significant potential to have serious adverse effects on human health as a result of shortterm exposure, as determined by the primacy agency either in its regulations or on 

a case-by-case basis. 

(b) When is the Tier 1 public notice to 

be provided? What additional steps are 

required? Public water systems must: 

(1) Provide a public notice as soon as 

practical but no later than 24 hours 

after the system learns of the violation; 

(2) Initiate consultation with the primacy agency as soon as practical, but 

no later than 24 hours after the public 

water system learns of the violation or 

situation, to determine additional public notice requirements; and 

(3) Comply with any additional public 

notification requirements (including 

any repeat notices or direction on the 

duration of the posted notices) that are 

established as a result of the consultation with the primacy agency. Such requirements may include the timing, 

form, manner, frequency, and content 

of repeat notices (if any) and other actions designed to reach all persons 

served. 

(c) What is the form and manner of the 

public notice? Public water systems 

must provide the notice within 24 

hours in a form and manner reasonably 

calculated to reach all persons served. 

The form and manner used by the public water system are to fit the specific 

situation, but must be designed to 

reach residential, transient, and nontransient users of the water system. In 

order to reach all persons served, water 

systems are to use, at a minimum, one 

or more of the following forms of delivery: 

(1) Appropriate broadcast media 

(such as radio and television); 

(2) Posting of the notice in conspicuous locations throughout the area 

served by the water system; 

(3) Hand delivery of the notice to persons served by the water system; or 

(4) Another delivery method approved 

in writing by the primacy agency. 

[65 FR 26035, May 4, 2000, as amended at 67 

FR 1836, Jan. 14, 2002; 71 FR 65652, Nov. 8, 

2006] 

§ 141.203 Tier 2 Public Notice—Form, 

manner, and frequency of notice. 

(a) Which violations or situations require a Tier 2 public notice? Table 1 of 

this section lists the violation categories and other situations requiring 

a Tier 2 public notice. Appendix A to 

this subpart identifies the tier assignment for each specific violation or situation. 


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Environmental Protection Agency § 141.203 

TABLE 1 TO § 141.203—VIOLATION CATEGORIES

AND OTHER SITUATIONS REQUIRING A TIER 2 

PUBLIC NOTICE

(1) All violations of the MCL, MRDL, and 

treatment technique requirements, except 

where a Tier 1 notice is required under 

§ 141.202(a) or where the primacy agency 

determines that a Tier 1 notice is required; 

(2) Violations of the monitoring and testing 

procedure requirements, where the primacy agency determines that a Tier 2 rather than a Tier 3 public notice is required, 

taking into account potential health impacts 

and persistence of the violation; and 

(3) Failure to comply with the terms and conditions of any variance or exemption in 

place. 

(4) Failure to take corrective action or failure 

to maintain at least 4-log treatment of viruses (using inactivation, removal, or a 

State-approved combination of 4-log virus 

inactivation and removal) before or at the 

first customer under § 141.403(a). 

(b) When is the Tier 2 public notice to 

be provided? 

(1) Public water systems must provide the public notice as soon as practical, but no later than 30 days after 

the system learns of the violation. If 

the public notice is posted, the notice 

must remain in place for as long as the 

violation or situation persists, but in 

no case for less than seven days, even if 

the violation or situation is resolved. 

The primacy agency may, in appropriate circumstances, allow additional 

time for the initial notice of up to 

three months from the date the system 

learns of the violation. It is not appropriate for the primacy agency to grant 

an extension to the 30-day deadline for 

any unresolved violation or to allow 

across-the-board extensions by rule or 

policy for other violations or situations requiring a Tier 2 public notice. 

Extensions granted by the primacy 

agency must be in writing. 

(2) The public water system must repeat the notice every three months as 

long as the violation or situation persists, unless the primacy agency determines that appropriate circumstances 

warrant a different repeat notice frequency. In no circumstance may the 

repeat notice be given less frequently 

than once per year. It is not appropriate for the primacy agency to allow 

less frequent repeat notice for an MCL 

violation under the Total Coliform 

Rule or a treatment technique violation under the Surface Water Treatment Rule or Interim Enhanced Surface Water Treatment Rule. It is also 

not appropriate for the primacy agency 

to allow through its rules or policies 

across-the-board reductions in the repeat notice frequency for other ongoing 

violations requiring a Tier 2 repeat notice. Primacy agency determinations 

allowing repeat notices to be given less 

frequently than once every three 

months must be in writing. 

(3) For the turbidity violations specified in this paragraph, public water 

systems must consult with the primacy 

agency as soon as practical but no 

later than 24 hours after the public 

water system learns of the violation, to 

determine whether a Tier 1 public notice under §141.202(a) is required to protect public health. When consultation 

does not take place within the 24-hour 

period, the water system must distribute a Tier 1 notice of the violation 

within the next 24 hours (i.e., no later 

than 48 hours after the system learns of 

the violation), following the requirements under §141.202(b) and (c). Consultation with the primacy agency is 

required for: 

(i) Violation of the turbidity MCL 

under §141.13(b); or 

(ii) Violation of the SWTR, IESWTR 

or LT1ESWTR treatment technique requirement resulting from a single exceedance of the maximum allowable 

turbidity limit. 

(c) What is the form and manner of the 

Tier 2 public notice? Public water systems must provide the initial public 

notice and any repeat notices in a form 

and manner that is reasonably calculated to reach persons served in the 

required time period. The form and 

manner of the public notice may vary 

based on the specific situation and type 

of water system, but it must at a minimum meet the following requirements: 

(1) Unless directed otherwise by the 

primacy agency in writing, community 

water systems must provide notice by: 

(i) Mail or other direct delivery to 

each customer receiving a bill and to 

other service connections to which 


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§ 141.204 40 CFR Ch. I (7–1–08 Edition) 

water is delivered by the public water 

system; and 

(ii) Any other method reasonably calculated to reach other persons regularly served by the system, if they 

would not normally be reached by the 

notice required in paragraph (c)(1)(i) of 

this section. Such persons may include 

those who do not pay water bills or do 

not have service connection addresses 

(e.g., house renters, apartment dwellers, university students, nursing home 

patients, prison inmates, etc.). Other 

methods may include: Publication in a 

local newspaper; delivery of multiple 

copies for distribution by customers 

that provide their drinking water to 

others (e.g., apartment building owners 

or large private employers); posting in 

public places served by the system or 

on the Internet; or delivery to community organizations. 

(2) Unless directed otherwise by the 

primacy agency in writing, non-community water systems must provide 

notice by: 

(i) Posting the notice in conspicuous 

locations throughout the distribution 

system frequented by persons served by 

the system, or by mail or direct delivery to each customer and service connection (where known); and 

(ii) Any other method reasonably calculated to reach other persons served 

by the system if they would not normally be reached by the notice required in paragraph (c)(2)(i) of this section. Such persons may include those 

served who may not see a posted notice 

because the posted notice is not in a location they routinely pass by. Other 

methods may include: Publication in a 

local newspaper or newsletter distributed to customers; use of E-mail to notify employees or students; or, delivery 

of multiple copies in central locations 

(e.g., community centers). 

[65 FR 26035, May 4, 2000, as amended at 67 

FR 1836, Jan. 14, 2002; 71 FR 65652, Nov. 8, 

2006] 

§ 141.204 Tier 3 Public Notice—Form, 

manner, and frequency of notice. 

(a) Which violations or situations require a Tier 3 public notice? Table 1 of 

this section lists the violation categories and other situations requiring 

a Tier 3 public notice. Appendix A to 

this subpart identifies the tier assignment for each specific violation or situation. 

TABLE 1 TO § 141.204—VIOLATION CATEGORIES

AND OTHER SITUATIONS REQUIRING A TIER 3 

PUBLIC NOTICE

(1) Monitoring violations under 40 CFR part 

141, except where a Tier 1 notice is required under § 141.202(a) or where the primacy agency determines that a Tier 2 notice is required; 

(2) Failure to comply with a testing procedure 

established in 40 CFR part 141, except 

where a Tier 1 notice is required under 

§ 141.202(a)) or where the primacy agency 

determines that a Tier 2 notice is required; 

(3) Operation under a variance granted under 

Section 1415 or an exemption granted 

under Section 1416 of the Safe Drinking 

Water Act; 

(4) Availability of unregulated contaminant 

monitoring results, as required under 

§ 141.207; and 

(5) Exceedance of the fluoride secondary 

maximum contaminant level (SMCL), as 

required under § 141.208. 

(b) When is the Tier 3 public notice to 

be provided? 

(1) Public water systems must provide the public notice not later than 

one year after the public water system 

learns of the violation or situation or 

begins operating under a variance or 

exemption. Following the initial notice, the public water system must repeat the notice annually for as long as 

the violation, variance, exemption, or 

other situation persists. If the public 

notice is posted, the notice must remain in place for as long as the violation, variance, exemption, or other situation persists, but in no case less than 

seven days (even if the violation or situation is resolved). 

(2) Instead of individual Tier 3 public 

notices, a public water system may use 

an annual report detailing all violations and situations that occurred during the previous twelve months, as 

long as the timing requirements of 

paragraph (b)(1) of this section are met. 

(c) What is the form and manner of the 

Tier 3 public notice? Public water systems must provide the initial notice 

and any repeat notices in a form and 

manner that is reasonably calculated 

to reach persons served in the required 


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Environmental Protection Agency § 141.205 

time period. The form and manner of 

the public notice may vary based on 

the specific situation and type of water 

system, but it must at a minimum 

meet the following requirements: 

(1) Unless directed otherwise by the 

primacy agency in writing, community 

water systems must provide notice by: 

(i) Mail or other direct delivery to 

each customer receiving a bill and to 

other service connections to which 

water is delivered by the public water 

system; and 

(ii) Any other method reasonably calculated to reach other persons regularly served by the system, if they 

would not normally be reached by the 

notice required in paragraph (c)(1)(i) of 

this section. Such persons may include 

those who do not pay water bills or do 

not have service connection addresses 

(e.g., house renters, apartment dwellers, university students, nursing home 

patients, prison inmates, etc.). Other 

methods may include: Publication in a 

local newspaper; delivery of multiple 

copies for distribution by customers 

that provide their drinking water to 

others (e.g., apartment building owners 

or large private employers); posting in 

public places or on the Internet; or delivery to community organizations. 

(2) Unless directed otherwise by the 

primacy agency in writing, non-community water systems must provide 

notice by: 

(i) Posting the notice in conspicuous 

locations throughout the distribution 

system frequented by persons served by 

the system, or by mail or direct delivery to each customer and service connection (where known); and 

(ii) Any other method reasonably calculated to reach other persons served 

by the system, if they would not normally be reached by the notice required in paragraph (c)(2)(i) of this section. Such persons may include those 

who may not see a posted notice because the notice is not in a location 

they routinely pass by. Other methods 

may include: Publication in a local 

newspaper or newsletter distributed to 

customers; use of E-mail to notify employees or students; or, delivery of 

multiple copies in central locations 

(e.g., community centers). 

(d) In what situations may the Consumer Confidence Report be used to meet 

the Tier 3 public notice requirements? For 

community water systems, the Consumer Confidence Report (CCR) required under Subpart O of this part 

may be used as a vehicle for the initial 

Tier 3 public notice and all required repeat notices, as long as: 

(1) The CCR is provided to persons 

served no later than 12 months after 

the system learns of the violation or 

situation as required under §141.204(b); 

(2) The Tier 3 notice contained in the 

CCR follows the content requirements 

under §141.205; and 

(3) The CCR is distributed following 

the delivery requirements under 

§141.204(c). 

[65 FR 26035, May 4, 2000; 65 FR 38629, June 21, 

2000] 

§ 141.205 Content of the public notice. 

(a) What elements must be included in 

the public notice for violations of National 

Primary Drinking Water Regulations 

(NPDWR) or other situations requiring a 

public notice? When a public water system violates a NPDWR or has a situation requiring public notification, each 

public notice must include the following elements: 

(1) A description of the violation or 

situation, including the 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 the standard language under 

paragraph (d)(1) or (d)(2) of this section, whichever is applicable; 

(4) The population at risk, including 

subpopulations particularly vulnerable 

if exposed to the contaminant in their 

drinking water; 

(5) Whether alternative water supplies should be used; 

(6) What actions consumers should 

take, including when they should seek 

medical help, if known; 

(7) What the system is doing to correct the violation or situation; 

(8) When the water system expects to 

return to compliance or resolve the situation; 

(9) The name, business address, and 

phone number of the water system 


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§ 141.205 40 CFR Ch. I (7–1–08 Edition) 

owner, operator, or designee of the public water system as a source of additional information concerning the notice; and 

(10) A statement to encourage the notice recipient to distribute the public 

notice to other persons served, using 

the standard language under paragraph 

(d)(3) of this section, where applicable. 

(b) What elements must be included in 

the public notice for public water systems 

operating under a variance or exemption? 

(1) If a public water system has been 

granted a variance or an exemption, 

the public notice must contain: 

(i) An explanation of the reasons for 

the variance or exemption; 

(ii) The date on which the variance or 

exemption was issued; 

(iii) A brief status report on the steps 

the system is taking to install treatment, find alternative sources of water, 

or otherwise comply with the terms 

and schedules of the variance or exemption; and 

(iv) A notice of any opportunity for 

public input in the review of the variance or exemption. 

(2) If a public water system violates 

the conditions of a variance or exemption, the public notice must contain 

the ten elements listed in paragraph (a) 

of this section. 

(c) How is the public notice to be presented? 

(1) Each public notice required by 

this section: 

(i) Must be displayed in a conspicuous way when printed or posted; 

(ii) Must not contain overly technical 

language or very small print; 

(iii) Must not be formatted in a way 

that defeats the purpose of the notice; 

(iv) Must not contain language which 

nullifies the purpose of the notice. 

(2) Each public notice required by 

this section must comply with multilingual requirements, as follows: 

(i) For public water systems serving 

a large proportion of non-English 

speaking consumers, as determined by 

the primacy agency, the public notice 

must contain information in the appropriate language(s) regarding the importance of the notice or contain a telephone number or address where persons 

served may contact the water system 

to obtain a translated copy of the notice or to request assistance in the appropriate language. 

(ii) In cases where the primacy agency has not determined what constitutes a large proportion of nonEnglish speaking consumers, the public 

water system must include in the public notice the same information as in 

paragraph (c)(2)(i) of this section, 

where appropriate to reach a large proportion of non-English speaking persons served by the water system. 

(d) What standard language must public water systems include in their public 

notice? Public water systems are required to include the following standard language in their public notice: 

(1) Standard health effects language 

for MCL or MRDL violations, treatment technique violations, and violations of the condition of a variance or 

exemption. Public water systems must 

include in each public notice the 

health effects language specified in Appendix B to this subpart corresponding 

to each MCL, MRDL, and treatment 

technique violation listed in Appendix 

A to this subpart, and for each violation of a condition of a variance or exemption. 

(2) Standard language for monitoring 

and testing procedure violations. Public water systems must include the following language in their notice, including the language necessary to fill in 

the blanks, for all monitoring and testing procedure violations listed in Appendix A to this subpart: 

We are required to monitor your drinking 

water for specific contaminants on a regular 

basis. Results of regular monitoring are an 

indicator of whether or not your drinking 

water meets health standards. During [compliance period], we ‘‘did not monitor or test’’ 

or ‘‘did not complete all monitoring or testing’’ for [contaminant(s)], and therefore cannot be sure of the quality of your drinking 

water during that time. 

(3) Standard language to encourage 

the distribution of the public notice to 

all persons served. Public water systems must include in their notice the 

following language (where applicable): 

Please share this information with all the 

other people who drink this water, especially 

those who may not have received this notice 

directly (for example, people in apartments, 

nursing homes, schools, and businesses). You 

can do this by posting this notice in a public 

place or distributing copies by hand or mail. 


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Environmental Protection Agency § 141.208 

§ 141.206 Notice to new billing units or 

new customers. 

(a) What is the requirement for community water systems? Community water 

systems must give a copy of the most 

recent public notice for any continuing 

violation, the existence of a variance 

or exemption, or other ongoing situations requiring a public notice to all 

new billing units or new customers 

prior to or at the time service begins. 

(b) What is the requirement for noncommunity water systems? Non-community water systems must continuously 

post the public notice in conspicuous 

locations in order to inform new consumers of any continuing violation, 

variance or exemption, or other situation requiring a public notice for as 

long as the violation, variance, exemption, or other situation persists. 

§ 141.207 Special notice of the availability of unregulated contaminant 

monitoring results. 

(a) When is the special notice to be 

given? The owner or operator of a community water system or non-transient, 

non-community water system required 

to monitor under §141.40 must notify 

persons served by the system of the 

availability of the results of such sampling no later than 12 months after the 

monitoring results are known. 

(b) What is the form and manner of the 

special notice? The form and manner of 

the public notice must follow the requirements for a Tier 3 public notice 

prescribed in §§141.204(c), (d)(1), and 

(d)(3). The notice must also identify a 

person and provide the telephone number to contact for information on the 

monitoring results. 

§ 141.208 Special notice for exceedance 

of the SMCL for fluoride. 

(a) When is the special notice to be 

given? Community water systems that 

exceed the fluoride secondary maximum contaminant level (SMCL) of 2 

mg/l as specified in §143.3 (determined 

by the last single sample taken in accordance with §141.23), but do not exceed the maximum contaminant level 

(MCL) of 4 mg/l for fluoride (as specified in §141.62), must provide the public 

notice in paragraph (c) of this section 

to persons served. Public notice must 

be provided as soon as practical but no 

later than 12 months from the day the 

water system learns of the exceedance. 

A copy of the notice must also be sent 

to all new billing units and new customers at the time service begins and 

to the State public health officer. The 

public water system must repeat the 

notice at least annually for as long as 

the SMCL is exceeded. If the public notice is posted, the notice must remain 

in place for as long as the SMCL is exceeded, but in no case less than seven 

days (even if the exceedance is eliminated). On a case-by-case basis, the primacy agency may require an initial notice sooner than 12 months and repeat 

notices more frequently than annually. 

(b) What is the form and manner of the 

special notice? The form and manner of 

the public notice (including repeat notices) must follow the requirements for 

a Tier 3 public notice in §141.204(c) and 

(d)(1) and (d)(3). 

(c) What mandatory language must be 

contained in the special notice? The notice must contain the following language, including the language necessary to fill in the blanks: 

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. 


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§ 141.209 40 CFR Ch. I (7–1–08 Edition) 

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.’’ 

§ 141.209 Special notice for nitrate 

exceedances above MCL by noncommunity water systems (NCWS), 

where granted permission by the 

primacy agency under § 141.11(d) 

(a) When is the special notice to be 

given? The owner or operator of a noncommunity water system granted permission by the primacy agency under 

§141.11(d) to exceed the nitrate MCL 

must provide notice to persons served 

according to the requirements for a 

Tier 1 notice under §141.202(a) and (b). 

(b) What is the form and manner of the 

special notice? Non-community water 

systems granted permission by the primacy agency to exceed the nitrate 

MCL under §141.11(d) must provide continuous posting of the fact that nitrate 

levels exceed 10 mg/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. 

§ 141.210 Notice by primacy agency on 

behalf of the public water system. 

(a) May the primacy agency give the 

notice on behalf of the public water system? The primacy agency may give the 

notice required by this subpart on behalf of the owner and operator of the 

public water system if the primacy 

agency complies with the requirements 

of this subpart. 

(b) What is the responsibility of the 

public water system when notice is given 

by the primacy agency? The owner or operator of the public water system remains responsible for ensuring that the 

requirements of this subpart are met. 

§ 141.211 Special notice for repeated 

failure to conduct monitoring of the 

source water for Cryptosporidium 

and for failure to determine bin 

classification or mean 

Cryptosporidium level. 

(a) When is the special notice for repeated failure to monitor to be given? The 

owner or operator of a community or 

non-community water system that is 

required to monitor source water under 

§141.701 must notify persons served by 

the water system that monitoring has 

not been completed as specified no 

later than 30 days after the system has 

failed to collect any 3 months of monitoring as specified in §141.701(c). The 

notice must be repeated as specified in 

§141.203(b). 

(b) When is the special notice for failure 

to determine bin classification or mean 

Cryptosporidium level to be given? The 

owner or operator of a community or 

non-community water system that is 

required to determine a bin classification under §141.710, or to determine 

mean Cryptosporidium level under 

§141.712, must notify persons served by 

the water system that the determination has not been made as required no 

later than 30 days after the system has 

failed report the determination as 

specified in §141.710(e) or §141.712(a), respectively. The notice must be repeated as specified in §141.203(b). The 

notice is not required if the system is 

complying with a State-approved 

schedule to address the violation. 

(c) What is the form and manner of the 

special notice? The form and manner of 

the public notice must follow the requirements for a Tier 2 public notice 

prescribed in §141.203(c). The public notice must be presented as required in 

§141.205(c). 

(d) What mandatory language must be 

contained in the special notice? The notice must contain the following language, including the language necessary to fill in the blanks. 

(1) The special notice for repeated 

failure to conduct monitoring must 

contain the following language: 

We are required to monitor the source of 

your drinking water for Cryptosporidium. Results of the monitoring are to be used to determine whether water treatment at the 

(treatment plant name) is sufficient to adequately remove Cryptosporidium from your 

drinking water. We are required to complete 

this monitoring and make this determination by (required bin determination date). 

We ‘‘did not monitor or test’’ or ‘‘did not 

complete all monitoring or testing’’ on 

schedule and, therefore, we may not be able 

to determine by the required date what 

treatment modifications, if any, must be 

made to ensure adequate Cryptosporidium removal. Missing this deadline may, in turn, 

jeopardize our ability to have the required 


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Environmental Protection Agency § 141.211 

treatment modifications, if any, completed 

by the deadline required, (date). 

For more information, please call (name of 

water system contact) of (name of water system) at (phone number). 

(2) The special notice for failure to 

determine bin classification or mean 

Cryptosporidium level must contain the 

following language: 

We are required to monitor the source of 

your drinking water for Cryptosporidium in 

order to determine by (date) whether water 

treatment at the (treatment plant name) is 

sufficient to adequately remove 

Cryptosporidium from your drinking water. 

We have not made this determination by the 

required date. Our failure to do this may 

jeopardize our ability to have the required 

treatment modifications, if any, completed 

by the required deadline of (date). For more 

information, please call (name of water system contact) of (name of water system) at 

(phone number). 

(3) Each special notice must also include a description of what the system 

is doing to correct the violation and 

when the system expects to return to 

compliance or resolve the situation. 

[71 FR 768, Jan. 5, 2006] 


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Appendix C 

Rule Factsheets and Quick 

Reference Guide 
This Page Intentionally Left Blank 
The Public Notification Rule: 

A Quick Reference Guide

Overview of the Rule

Title Public	Notification	(PN)	Rule,	65	FR	25982,	May	4,	2000.

To notify the public of drinking water violations or situations that may pose a risk to public Purpose health.

The PN Rule requires all public water systems (PWSs) to notify their consumers any time a General PWS violates a national primary drinking water regulation or has a situation posing a risk to Description public health. Notices must be provided to persons served (not just billing customers).

Utilities All PWSs. Covered

Timing and Notices must be sent within 24 hours, 30 days, or one year depending on the tier to which the 

Distribution violation	is	assigned.	The	clock	for	notification	starts	when	the	PWS	learns	of	the	violation.

Tier 1 (Immediate Notice, Within 24 Hours)

Tier 1 PN is required to be issued as soon as practical but no later than 24 hours after the PWS learns of the 

violation or situation including: 

►	 Distribution system sample violation when fecal coliform or E. coli are present; failure to test for fecal 

coliform or E. coli after initial total coliform distribution system sample tests positive.

►	 Nitrate, nitrite, or total nitrate and nitrite maximum contaminant level (MCL) violation; failure to take 

confirmation	sample.

►	 Special notice for noncommunity water systems (NCWSs) with nitrate exceedances between 10 mg/L and 

20 mg/L, where system is allowed to exceed 10 mg/L by primacy agency.

►	 Chlorine dioxide maximum residual disinfectant level (MRDL) violation when one or more of the samples 

taken in the distribution system exceeds the MRDL on the day after a chlorine dioxide measurement taken 

at the entrance to the distribution system exceeds the MRDL, or when required samples are not taken in the 

distribution system.

►	 Exceedance of maximum allowable turbidity level, if elevated to a Tier 1 notice by primacy agency.

►	 Waterborne disease outbreak or other waterborne emergency.

►	 Detection of E. coli, enterococci, or coliphage in a ground water source sample.

►	 Other violations or situations determined by the primacy agency.

Tier 2 (Notice as Soon as Practical, Within 30 Days)

Tier 2 PN is required to be issued as soon as practical or within 30 days. Repeat notice every 3 months until 

violation or situation is resolved. 

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

►	 Monitoring violations, if elevated to Tier 2 notice by primacy agency.

►	 Failure	to	comply	with	variance	and	exemption	conditions.

►	 For	ground	water	systems	providing	4-log	treatment	and	conducting	Ground	Water	Rule	(GWR)	compliance	

monitoring, failure to maintain required treatment for more than 4 hours.

►	 Failure	to	take	any	required	corrective	action	or	be	in	compliance	with	a	corrective	action	plan	for	a	fecal	

indicator-positive	ground	water	source	sample.

►	 Failure	to	take	any	required	corrective	action	or	be	in	compliance	with	a	corrective	action	plan	for	a	

significant	deficiency	under	the	GWR.

►	 Special public notice for repeated failure to conduct monitoring for Cryptosporidium.

Turbidity consultation is required when a PWS has a treatment technique violation resulting from a single 

exceedance of the maximum allowable turbidity limit or an MCL violation resulting from an exceedance of the 

2-day	turbidity	limit.	The	PWS	must	consult	their	primacy	agency	within	24	hours.	Primacy	agencies	will	then	

determine whether a Tier 1 PN is necessary. If consultation does not occur within 24 hours, violations are 

automatically elevated to require Tier 1 PN.

Tier 3 (Annual Notice)

Tier 3 PN is required to be issued within 12 months and repeated annually for unresolved violations. 

►	 All monitoring or testing procedure violations, unless primacy agency elevates to Tier 2, including failure 

to	conduct	benchmarking	and	profiling	(surface	water	systems)	and	failure	to	develop	a	monitoring	plan	

(disinfecting systems).

►	 Operating under a variance and exemption.

►	 Special public notice for availability of unregulated contaminant monitoring results.

►	 Special	public	notice	for	fluoride	secondary	maximum	contaminant	level	(SMCL)	exceedance.

For additional information 

on the PN Rule

Call the Safe Drinking 

Water	Hotline	at	1-800-

426-4791;	visit	the	EPA	

Web site at www.epa.

gov/safewater/pn.html; or 

contact your state or local 

primacy agency’s drinking 

water representative. Log 

onto the PNiWriter Web site 

to use EPA’s templates at 

www.PNiWriter.com.
Ten Required Elements of a Public Notice

Unless	otherwise	specified	in	the	regulations,*	each	notice	must	contain:

1. Description of the violation or situation, including the contaminant(s) of concern, and (as applicable) the contaminant level(s).

2. When the violation or situation occurred (i.e., date the sample was collected or was supposed to be collected).

3. Any	potential	adverse	health	effects	from	drinking	the	water	and	standard	language	regarding	the	violation	or	situation.	(For	MCL,	MRDL,	

treatment technique violations, or violations of the conditions of a variance or exemption, use health effects language from Appendix B of the 

PN	Rule.	For	monitoring	and	testing	procedure	violations,	use	the	standard	monitoring	language	below.)

4. The population at risk, including subpopulations that may be particularly vulnerable if exposed to the contaminant in their drinking water.

5.	 Whether alternate water supplies should be used.

6.	 Actions consumers should take, including when they should seek medical help, if known.

7.	 What the PWS is doing to correct the violation or situation.

8.	 When the PWS expects to return to compliance or resolve the situation.

9.	 The name, business address, and phone number or those of a designee of the PWS as a source of additional information concerning the 

notice.

10. A statement (see standard distribution language below) encouraging notice recipients to distribute the notice to others, where applicable.

* These elements do not apply to notices for fluoride SMCL exceedances, availability of unregulated contaminant monitoring data, and operation under 

a variance or exemption. Content requirements for these notices are specified in the PN Rule.

Standard Language:

Standard Monitoring Language:	We	are	required	to	monitor	your	drinking	water	for	specific	contaminants	on	a	regular	basis.	Results	of	regular	

monitoring are an indicator of whether or not our drinking water meets health standards. During [period] we [did not monitor or test/did not complete all 

monitoring or testing] for [contaminant(s)], and therefore cannot be sure of the quality of the drinking water during that time.

Standard Distribution Language: 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.

Presentation and Distribution

►	 The	Tier	1	PN	must	be	issued	via	radio,	TV,	hand	delivery,	posting,	or	other	method	specified	by	the	primacy	agency	to	reach	all	persons	served.	

PWSs must also initiate consultation with the primacy agency within 24 hours. Primacy agency may establish additional requirements during 

consultation.

►	 The Tier 2 and Tier 3 PNs must be issued by Community Water Systems (CWSs) via mail or direct delivery and by NCWSs via posting, direct 

delivery, or mail. Primacy agencies may permit alternate methods. All PWSs must use additional delivery methods reasonably calculated to reach 

other	consumers	not	notified	by	the	first	method.*

►	 Notices	for	individual	violations	can	be	combined	into	an	annual	notice	(including	the	Consumer	Confidence	Report	[CCR],	if	PN	requirements	can	

still be met). 

►	 Each PN:

► Must be displayed in a conspicuous way.

► Must not include overly technical language or very small print.

► Must not be formatted in a way that defeats the purpose of the notice.

► Must	not	include	language	that	nullifies	the	purpose	of	the	notice.

►	 If the notice is posted, it must remain in place for as long as the violation or situation persists, but in no case for less than seven days, even if the 

violation or situation is resolved.

*PWSs	should	check	with	their	primacy	agency	to	determine	the	most	appropriate	delivery	methods.	

Multilingual Requirements

►	 Where	the	PWS	serves	a	large	proportion	of	non-English	speakers,	the	PWS	must	provide	information	in	the	appropriate	language(s)	on	the	

importance of the notice or on how to get assistance or a translated copy.

Notices to New Customers

►	 All	new	billing	units	and	customers	must	be	notified	of	ongoing	violations	or	situations	requiring	PN.

Reporting and Recordkeeping

►	 PWSs	have	10	days	to	send	a	certification	of	compliance	and	a	copy	of	the	completed	notice	to	the	primacy	agency.

►	 PWS	and	primacy	agency	must	keep	notices	on	file	for	3	years.
The Required Elements of a Public Notice

IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER

Tests Showed Presence of Coliform Bacteria

1. Description of the 2. When the violation The Jonesville Water System routinely monitors for coliform bacteria. During violation occurred the	month	of	July,	7	percent	of	our	samples	tested	positive.	The	standard	is	that	

no	more	than	5	percent	of	samples	may	test	positive.	

6.	Actions	consumers	 What should I do?

should take

• You do not need to boil your water or take other corrective actions. 5.	Should	alternate	 However,	if	you	have	specific	health	concerns,	consult	your	doctor.	 water supplies be 

•	 You do not need to use an alternate (e.g., bottled) water supply. used

•	 People with severely compromised immune systems, infants, pregnant 4. The population at women, and some elderly may be at increased risk. These people should risk

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 

3. Potential adverse are bacteria which are naturally present in the environment and are used as 

health effects 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 the system's 

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	

7.	What	is	being	 these bacteria in our subsequent testing.

done to correct the 

violation or situation What was done?

We took additional samples for coliform bacteria which all came back negative. 8.	When	the	system	

As	an	added	precaution,	we	chlorinated	and	flushed	the	pipes	in	the	distribution	 expects to return to 

system to make sure bacteria were eliminated. This situation is now resolved. compliance

9.	Phone	number	for	 For	more	information,	or	to	learn	more	about	protecting	your	drinking	water	 more information please	contact	John	Jones	at	(502)	555-1212.

Please share this information with all the other people who drink this water, 10. Required especially those who may not have received this notice directly (for example, distribution language people in apartments, nursing homes, schools, and businesses). You can do 

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

mail.

This is being sent by the Jonesville Water System.

State	Water	System	ID#1234567.	Date	Distributed:	8/8/09
 Drinking Water Public Notification 

Public notification changes – Quick Look 

EPA published revised public notification regulations on May 4, 2000 (65 FR 25981), as required by the 1996 SDWA 

Amendments. These changes make notification easier and more effective for:

Consumers - Faster notice in emergencies, fewer notices overall, notices that are easier to understand. 

The new public notice requirements direct water suppliers to let people know within 24 hours of any situation that 

may immediately pose a health risk. Formerly, water systems had up to 72 hours to provide this notice. This 

change will make it easier for consumers to avoid drinking contaminated water. Water suppliers can now also 

combine notices for less serious problems and make notices shorter and easier to understand. 

States & water systems - concise standard language and notices.

The new public notification requirements make the standard health effects language more concise. The new rule 

also gives water systems a standard set of procedures to follow, to make notices easier for water systems to issue, 

while providing better information for consumers. 

Public notification helps to ensure that consumers will always know if there is a problem with their 

drinking water. These notices immediately alert consumers if there is a serious problem with their 

drinking water (e.g., a boil water emergency). For less serious problems (e.g., a missed water test), 

water suppliers must notify consumers in a timely manner. Public notice requirements have always 

been a part of the Safe Drinking Water Act; EPA recently changed these requirements to make them 

even more effective. 

Water suppliers across the United States consistently deliver drinking water that meets EPA and state 

standards. Systems also test regularly for approximately 90 contaminants to make sure that no 

contaminant is present at levels which may pose a risk to human health. Water suppliers serving the 

same customers year-round summarize this information in an annual report which provides consumers 

with a snapshot of their everyday water quality. 

Unfortunately, water quality can sometimes change. Despite the efforts of water suppliers, problems 

with drinking water can and do occur. When a problem with drinking water happens, the people who 

drink the water have a right to know what happened and what they need to do. The public notice 

requirements of the Safe Drinking Water Act require water suppliers to provide this notice. 

As water suppliers test their water, they may discover that levels of certain contaminants are higher 

than the standards set by EPA or states. This might happen due to a change in local water conditions, 

heavy rainstorms, or an accidental spill of a hazardous substance. Water suppliers may also fail to 
take one or a series of their required samples. Any time a water supplier fails to meet all EPA and 

state standards for drinking water (including missing required samples or taking them late), the water 

supplier must inform the people who drink the water. 

How quickly do water systems have to send notices?

Depending on the severity of the situation, water suppliers have from 24 hours to one year to notify 

their customers after a violation occurs. EPA specifies three categories, or tiers, of public notification. 

Depending on what tier a violation situation falls into, water systems have different amounts of time 

to distribute the notice and different ways to deliver the notice: 

Immediate Notice (Tier 1): Any time a situation occurs where there is the potential for 

human health to be immediately impacted, water suppliers have 24 hours to notify people 

who may drink the water of the situation. Water suppliers must use media outlets such as 

television, radio, and newspapers, post their notice in public places, or personally deliver a 

notice to their customers in these situations. 

Notice as soon as possible (Tier 2): Any time a water system provides water with levels of 

a contaminant that exceed EPA or state standards or that hasn't been treated properly, but 

that doesn't pose an immediate risk to human health, the water system must notify its 

customers as soon as possible, but within 30 days of the violation. Notice may be provided 

via the media, posting, or through the mail. 

Annual Notice (Tier 3): When water systems violate a drinking water standard that does not 

have a direct impact on human health (for example, failing to take a required sample on 

time) the water supplier has up to a year to provide a notice of this situation to its 

customers. The extra time gives water suppliers the opportunity to consolidate these notices 

and send them with annual water quality reports (consumer confidence reports). 

What information must be included in a notice? 

All notices must include: 

A description of the violation that occurred, including the potential health effects 

The population at risk and if alternate water supplies need to be used 

What the water system is doing to correct the problem 

Actions consumers can take 

When the violation occurred and when the system expects it to be resolved 

How to contact the water system for more information 

Language encouraging broader distribution of the notice 

How often do violations occur that require a public notice?

Serious water quality problems are rare. Approximately 25 percent of the nation's 170,000 public 

water suppliers violate at least one drinking water standard every year and are required to provide 

public notice. In fiscal year 1998, there were more than 124,000 of these violations. Ninety percent of 

these violations are due to the failure of water systems to complete all sampling in a timely manner. 

About one percent of the time, water systems incur a violation for a serious situation where 

notification must be provided immediately (Tier 1). 

EPA 816-F-00-021 

May 2000
 

 

Final Drinking Water Public

Notification Regulations 

What is public notification?

Public notification is intended to ensure that consumers will always know if there is a problem with 

their drinking water. Public water systems must notify the people who drink their water if the level of 

a contaminant in the water exceeds Environmental Protection Agency (EPA) and State drinking water 

regulations, if there is a waterborne disease outbreak or any other situation that may pose a risk to 

public health, if the water system fails to test its water as required, or if the system has a variance or 

exemption from the regulations. Depending on the severity of the situation, water suppliers have from 

24 hours to one year to notify their customers. EPA sets strict requirements on the form, manner, 

content, and frequency of public notices. Public notification is provided in addition to the annual water 

quality report (consumer confidence report, or CCR), which provides customers with a more complete 

picture of drinking water quality and system operations. The annual CCR tells consumers what's in 

their water, where it comes from, and where they can obtain additional information. 

In fiscal year 1998, there were more than 124,000 violations of drinking water regulations requiring a 

public notice, involving over 25 percent of the 170,000 public water systems. Over 90 percent of the 

violations were for failure to fully meet the monitoring or testing procedure requirements. Fewer than 

1.5 percent of the violations posed an immediate risk of adverse health effects from short-term 

exposure. 

What action is EPA taking?

EPA published final regulations in the Federal Register on May 4, 2000 (65 FR 25981) to revise the 

general public notification regulations. The revised regulations require faster notice in emergencies 

and fewer notices overall, and will result in notices that better communicate the potential health risks 

from drinking water violations and how to avoid such risks. The new rule will enable water systems to 

better target notices to the seriousness of the risk and make the existing notification process less 

burdensome for water suppliers and make notices easier to read for consumers. 

The revised regulations (under 40 CFR Part 141, subpart Q) are effective on June 5, 2000. However, 

they do not apply to public water systems in States with approved primacy programs until May 6, 

2002, unless a primacy State chooses to adopt the new requirements earlier. Public water systems 

where EPA directly implements the drinking water program (i.e., Wyoming, Washington, D.C., and 

Tribal lands) must start complying with the new regulations on October 31, 2000. EPA proposed the 

public notification rule revisions on May 13, 1999 (64 FR 25963). 
What changes were made to the public notification requirements?

24-hour notice. Water systems are required to distribute Tier 1 notices in 24 hours (instead 

of 72) for violations posing acute health risks due to short-term exposure. The number of 

violations and situations requiring a Tier 1 notice were significantly expanded from the 

previous rule. 

Consultation requirement. Water systems must consult with the State or EPA within 24 

hours of a Tier 1 violation to receive direction on subsequent requirements. 

30-day notice for other serious violations. The notice deadline for violations of maximum 

contaminant levels or treatment techniques which do not pose an immediate threat to 

human health is extended from 14 days to 30 days, with possible extension to 3 months 

(Tier 2). 

12-month notice for non-serious violations. The notice deadline for all other violations is 

extended from 3 months to 12 months, allowing a single annual report where applicable 

(Tier 3). Systems may choose to include this notice in their annual consumer confidence 

report. 

Simplified standard language. The existing standard health effects language is simplified, 

consistent with the consumer confidence report (CCR) requirements. New standard language 

is now required for monitoring violations. Recipients of public notices are also encouraged, 

through standard distribution language in notices, to further distribute the notices to people 

who may not receive a notice (such as tenants or hospital patients). 

Streamlined distribution of notices. Under the previous rule, water systems were required 

to use specific multiple delivery methods when distributing notices. The revised rule requires 

water systems to select a single minimum method for each tier from a regulatory list and to 

take additional steps of their own choosing that are reasonably calculated to reach all the 

other persons served. The minimum required methods of delivery listed in the revised 

regulation include the media, hand delivery, or posting for tier 1 notices, and direct mail, 

hand delivery, or posting for Tier 2 and Tier 3 notices. 

Certification of Compliance. The revised rule requires a water system to certify to the State 

or primacy agency within 10 days that it has met all public notice requirements. The 

previous rule required only that a copy of the notices be sent to the State. 

How does the final regulation work?

The final regulation divides public notice into three tiers: 

Tier 1, for 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. 

Tier 2, for other violations and situations with potential to have serious, but not immediate, 

adverse effects on human health. Notice is required within 30 days, or as soon as possible, 

with extension of up to three months for resolved violations at the discretion of the State or 

primacy agency. 

Tier 3, for all other violations and situations not included in Tier 1 and Tier 2. Notice is 

required within 12 months of the violation, and may be part of a single annual report, 

including in some cases the annual CCR already required by EPA. 

What types of violations and situations are covered under each tier?

The final regulation contains an Appendix listing out every violation and situation requiring a public 

notice and its tier. The requirements for the timing of the public notice and the form and manner of its 

delivery are determined by the tier to which the violation or situation is assigned. For example, a total 

coliform violation where fecal coliform is present falls under Tier 1, which requires notification delivery 

within 24 hours by (at a minimum) appropriate broadcast media, posting, or hand delivery. 
See Table 1 for the list of violation types and situations identified under each tier. 

What are EPA requirements for the form, manner, and content of the public notices?

The final rule sets minimum methods of delivery under each tier, but also requires that water systems 

take steps reasonably calculated to reach others not reached by the minimum method. Each notice 

must contain information addressing ten elements, including use of standard health effects language 

for maximum contaminant level (MCL) and treatment technique violations and standard language for 

monitoring violations. Public water systems serving a large proportion of non-English speaking 

consumers are also required to include information in the notice in languages other than English. 

See Figure 1 for an example of a completed notice, including the required ten elements. 

PDF File (1 pp, 7 K) (About PDF) 

New Implementation Requirements 

Which public water systems are affected by the regulation?

Once the rule goes into effect in each State, it will require all the public water systems to make 

changes to their current public notification programs to incorporate the revised regulations. The final 

rule will requir States with primary enforcement authority to revise their approved primacy programs 

to adopt regulations no less stringent than the revised EPA regulations. The final regulation gives 

States considerable discretion, at their option, to work with EPA to tailor public notification programs 

to fit unique needs, policies, and programs. 

How is EPA helping public water systems with new requirements?

EPA and the Association of State Drinking Water Administrators (ASDWA) are issuing a Public 

Notification Handbook to assist water systems in implementing the revised regulation. This Handbook

provide templates for notices and other aids to help water systems develop notices for violation 

situations. 

Figure 1: The Required Elements of a Public Notice PDF (1 pp, 7 K) (About PDF) 

Tier 1 Public Notice - Required Within 24 Hours

• Fecal coliform maximum contaminant level (MCL) violation or failure to test for fecal 

contamination after total coliform test is positive 

• Nitrate/nitrite/combined nitrate and nitrite MCL violation or failure to take confirmation 

sample 

• Chlorine dioxide maximum residual distribution level (MRDL) violation in distribution 

system or failure to take repeat samples in distribution system 

• Exceedance of maximum allowable turbidity level resulting in an MCL or treatment 

technique (TT) violation, when the State or EPA determines a Tier 1 notice is warranted 

• Special public notice for non-community water systems with nitrate exceedances 

between 10 mg/l and 20 mg/l, when allowed to exceed MCL (10 mg/l) by the State 

• Waterborne disease outbreak or other waterborne emergency 
• Other situations as determined by the primacy agency 

Tier 2 Public Notice - Required Within 30 Days (unless extended to 90 days by State)

• All other MCL, MRDL, and TT violations not identified as a Tier 1 notice 

• Monitoring and testing procedure violations, when the primacy agency requires a Tier 2 

(rather than Tier 3) notice 

• Failure to comply with variance and exemption (V&E) conditions 

Tier 3 Public Notice - Required Within 1 Year

• All other monitoring or testing procedure violations not already requiring a Tier 1 or Tier 

2 notice 

• Operation under a V & E 

• Special public notices (i.e., exceedance of the fluoride secondary maximum contaminant 

level (SMCL); announcing the availability of unregulated contaminant monitoring results) 

Figure 1: The Required Elements of a Public Notice PDF (1 pp, 7 K) (About PDF) 

EPA 816-F-00-020 

May 2000 
Ground Water Rule Factsheet: Public 

Notification, Consumer Confidence Report, 

and Special Notice Requirements for 

Community Water Systems 

WHAT IS THE GROUND WATER RULE?

The U.S. Environmental Protection Agency (EPA) published the Ground Water Rule (GWR) on November 

8, 2006. One goal of the GWR is to provide increased protection against microbial pathogens, 

specifically bacterial and viral pathogens, in public water systems (PWSs) that use ground water. 

Instead of requiring disinfection for all ground water sources, the GWR establishes a risk-targeted 

approach to identifying ground water sources that are susceptible to fecal contamination. The GWR 

requires ground water systems (GWSs) at risk of microbial contamination to take corrective action to 

protect consumers from harmful bacteria and viruses. Notifying the public of potential risks is a key 

element of this risk-targeted approach. Procedures for notifying the public differ depending on whether 

a system is a community or a non-community water system (NCWS). This factsheet describes the GWR 

notification requirements for community water systems (CWSs). 

A system is a CWS if it is a PWS that is connected to at least 15 year-round residences or regularly 

serves at least 25 persons in a residential setting on a year-round basis.1

WHY DOES THE GWR REQUIRE PUBLIC NOTIFICATION? 

The GWR addresses pathogens that can be found in GWSs and steps GWSs must take to protect their 

customers. Violations and situations of the GWR are also addressed by two other drinking water 

regulations related to notifying the public: the Public Notification (PN) Rule and the Consumer 

Confidence Report (CCR) Rule. The GWR requires PN for additional situations and violations related to 

ground water and adds to the required content of CCRs. 

GWSs are required to notify the public because these circumstances can present moderate to severe 

risks to public health. 

The GWR, the PN Rule, and the CCR Rule

The PN Rule requires all PWSs to give notice to persons served by the 

water system for significant events, including violations of national 

primary drinking water regulations (NPDWRs) and waterborne 

emergencies. 

The GWR amends the PN Rule by requiring notice for detection of a 

fecal indicator in a ground water source sample, treatment technique 

violations, and monitoring violations. 

The CCR Rule requires CWSs to provide CCRs to their customers, giving an 

annual report on water quality. 

The GWR amends the CCR requirements and includes language to be 

used when informing the public of significant deficiencies and fecal 

indicator-positive results in ground water source samples. 

1. All other PWSs that do not fit these criteria are classified as NCWSs. For information on requirements for NCWSs, 

please see “Ground Water Rule Factsheet: Public Notification and Special Notice Requirements for Non-Community 

Water Systems.”
WHAT TYPES OF NOTIFICATION ARE REQUIRED BY THE GWR? 

The type of notification required will differ depending on the severity of the situation or violation. The 

general categories of notification are: 

Tier 1, 2, or 3 PN 

Special Notice (in CCRs) 

CCR (other notice) 

The state has the authority to alter the designated tier of a certain situation or violation, or to require 

additional or repeated notices. 

The following table outlines the various situations or violations that require notification and the 

corresponding types of notification that are required. 

Issue Notification Required 

Fecal indicator-positive ground water source sample1 Tier 1 PN, Special Notice in CCR, and CCR 

Failure to take corrective action Tier 2 PN, CCR 

Failure to maintain at least 4-log treatment of viruses Tier 2 PN, CCR 

Failure to meet monitoring requirements Tier 3 PN, CCR 

Uncorrected significant deficiency2 Special Notice in CCR 

Unaddressed fecal indicator-positive ground water source sample3 Special Notice in CCR 

1. Consecutive systems served by the ground water source must also notify the public. 

2. Systems must continue to notify the public annually until the significant deficiency has been corrected. 

3. Systems must put a notice in the CCR annually until the positive source water sample has been addressed.

Each issue outlined above can result from one of the following situations or requirements: 

Fecal indicator-positive ground water source 

samples are detected during 1) triggered source 

water monitoring, 2) additional source water 

monitoring (if it is required by the state), and 3)

assessment source water monitoring (if it is required 

by the state). (See “Ground Water Rule Factsheet: 

Monitoring Requirements” for more information). 

State corrective action requirements can result from 

1) the discovery of a significant deficiency, or 2) a 

fecal indicator-positive source water sample. 

Failure to maintain at least 4-log treatment of 

viruses occurs when a system is unable to correct 

treatment failures within 4 hours. This situation 

results in a treatment technique violation. 

Monitoring violations can result from failure to 

adhere to state requirements for 1) triggered source 

water monitoring, 2) additional source water 

monitoring, 3) assessment source water monitoring, 

and 4) compliance monitoring (for systems that 

maintain 4-log treatment of viruses). (See “Ground 

Water Rule Factsheet: Monitoring Requirements” for 

more information). 

Tiers of Public Notification

Tier 1 (Immediate notice): 

This tier is for violations and situations with 

significant potential to have serious and 

immediate adverse effects on human health as a 

result of short-term exposure. Notice is required 

within 24 hours. 

Tier 2 (Notice as soon as possible): 

This tier is for other violations and situations 

with the potential to have adverse effects on 

human health that do not pose an immediate 

risk. Notice is required within 30 days. 

Tier 3 (Annual notice): 

This tier is for all other violations and situations 

requiring a public notice not included in Tier 1 

and Tier 2 or that do not have a direct impact on 

human health. These violations are typically 

monitoring and reporting violations. Notice is 

required within 12 months and may be included 

in the CCR, since CWSs must produce CCRs by 

July 1st of every year. 
Significant Deficiencies are identified by the state during sanitary surveys and on other occasions. 

(See “Ground Water Rule Factsheet: Sanitary Surveys” for more information). 

WHAT TYPES OF SITUATIONS REQUIRE NOTIFICATION UNDER THE GWR? 

Situations requiring Tier 1 PN 

A system is notified of a fecal indicator-positive ground water source sample (either a triggered 

source water monitoring sample, one of its five additional samples required by a positive triggered 

source water monitoring sample, or an assessment source water monitoring sample) that is not 

invalidated by the state. 

A system has a replacement source water sample that is fecal indicator-positive. 

For these types of situations, CWSs must also place a Special Notice in the year’s CCR and must 

add the fecal indicator-positive result to the regulated contaminant table in the CCR. 

Situations requiring Tier 2 PN

A GWS has a treatment technique (TT) violation under the GWR. TT violations result from: 

o

o

o

Failing to comply with or be on a compliance schedule for a state-approved corrective action 

plan within 120 days of being notified of a significant deficiency. 

Failing to comply with or be on a compliance schedule for a state-approved corrective action 

plan within 120 days of being notified of a fecal indicator-positive source water sample. 

Failing to maintain at least 4-log treatment of viruses for more than 4 hours. 

CWSs that have TT violations must also place information about the violation in the year’s 

CCR. 

Situations requiring Tier 3 PN

A GWS fails to meet GWR monitoring requirements if the system: 

o

o

o

o

Fails to conduct triggered source water monitoring within 24 hours of being notified of a total 

coliform-positive routine sample. 

Fails to collect five additional samples after a fecal indicator-positive triggered source water 

sample (unless the state requires corrective action). 

Fails to collect a replacement source water sample within 24 hours of being notified that a 

fecal indicator-positive sample has been invalidated by the state. 

Fails to conduct or follow the requirements for assessment source water monitoring as directed 

by the state for existing or new sources (coming into services after November 30, 2009). 

A GWS fails to meet compliance monitoring requirements if the system:

o Does not conduct triggered source water monitoring and fails to conduct monitoring to 

demonstrate compliance with 4-log treatment requirements. 

CWSs that violate monitoring requirements must also place information about the 

monitoring violation in the year’s CCR. 
Situations requiring Special Notice 

Fecal Indicator-Positive Source Water 

Sample. 

o A CWS is notified of a fecal indicatorpositive triggered source water sample

that is not invalidated by the state. 

o A CWS is notified that one of its required 

five additional samples that is fecal 

indicator-positive. 

o A CWS is notified that an assessment 

source water monitoring sample is fecal 

indicator-positive.

Uncorrected significant deficiency or 

unaddressed fecal comtanimation. 

o A CWS is unable to correct a significant 

deficiency or address the fecal 

contamination before the next CCR is distributed. 

CWSs must include the Special Notice in their CCR and must continue to notify the public 

annually until the significant deficiency or the fecal contamination has been addressed. 

WHAT ARE THE NOTIFICATION REQUIREMENTS? 

Each category of notification has different requirements. CWSs may use a variety of delivery methods 

as long as these methods have been approved by the state and are used to reach as many consumers as 

possible. The following table describes the GWR notification requirements. 

Notification Requirements 

Notice 

Type 

Tier 1 PN 

Deadline for 

Initial Notice 

24 hours 

Repeated 

Notices1

As dictated by 

the state 

Consultation with the 

State2

24 hours 

Delivery Methods3

Broadcast media (radio or television), hand 

delivery, posting, or any other method as needed to 

reach as many consumers as possible. 

Tier 2 PN 30 days Every 3 months Within 48 hours 

 

Mail, hand delivery, or any other method as 

needed to reach as many consumers as possible. 

Tier 3 PN 1 year4 Annually As soon as is practical/ 

possible 

Mail, hand delivery (public notice delivery may be 

provided by CCR if one year requirement is met), or 

any other method as needed to reach as many 

consumers as possible. 

Special 

Notice 

With the 

year’s CCR 

Annually As soon as is practical/ 

possible 

A special notice must be placed in the CCR and 

must include the special elements described above. 

CCR 

(other 

notice) 

With the 

year’s CCR 

Annually As soon as is practical/ 

possible 

Information about fecal indicator detections, TT 

violations, and monitoring violations must also be 

included in the CCR. 

1. Repeated notices are required if the violation or situation persists, unless otherwise directed by the primacy agency. Posted notices 

must remain posted and may need periodic updating. 

2. Systems are required to send a copy of the PN to the state within 10 days of the notification. Systems must also keep 

documentation of public notices as required under § 141.403(a)(7) for a period of not less than 3 years. 

3. Primacy agencies may approve other methods. 

4. EPA recommends consolidating all Tier 3 notifications required within a given year into one notice as long as the notice is issued 

within 12 months of the earliest violation.

What special elements must be included in a 

Special Notice? 

The nature of the significant deficiency or the source 

of the fecal contamination (if known). 

The date the significant deficiency was identified by 

the state or the dates of the fecal indicator-positive 

ground water source samples. 

If the fecal contamination has been addressed and the 

date of such action. 

For each significant deficiency or fecal contamination, 

the state-approved plan and schedule for correction, 

including interim measures, progress to date, and any 

interim measures completed. 

The potential health effects of a valid fecal indicatorpositive ground water source sample (using the health 

effects language of Appendix A of subpart O). 

For GWSs with large populations of non-English 

speaking consumers, information on the importance 

of the notice in the appropriate language(s), as 

determined by the state. 
WHAT IS THE STATE’S ROLE IN GWR NOTIFICATION? 

State primacy agencies can serve as a valuable resource for helping systems maintain compliance with 

the GWR. States also have authority to determine the appropriate notification requirements for a GWS 

following a situation or violation. Under the GWR, states must: 

Be available to consult with GWSs after a significant deficiency has been identified or a fecal 

indicator-positive sample has been detected. (However, GWSs must still notify the public by the 

required deadline even if the state has not been consulted.) 

Approve notification processes. 

Under this rule states can: 

Require a more stringent PN tier for certain violations if it is deemed necessary to protect public 

health. 

Invalidate a positive ground water source sample if it is determined that the sample is not related 

to source water quality (thus, not requiring notification unless an additional sample is positive). 

Require systems to distribute additional notices if it is deemed necessary. 

ADDITIONAL GUIDANCE MATERIALS

The following guidance materials for states and PWSs have been released or will be released in 2008: 

Ground Water Rule: A Quick Reference Guide – This guide provides a description of the GWR and 

includes critical deadlines and requirements. 

www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Ground Water Rule Factsheets – Including factsheets on GWR general requirements, monitoring 

requirements, and Public Notice, Consumer Confidence Reports, and Special Notices. 

Ground Water Sanitary Survey Guidance Manual. November 2007. EPA 815-D-07-006 – This guidance 

provides states, tribes, and other primacy agencies with a brief review of the sanitary survey regulatory 

provisions, give examples of what may constitute a significant deficiency, and provide a checklist of 

elements that should be evaluated during the course of a sanitary survey inspection. 

www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Source Water Assessment Guidance Manual. September 2007. EPA 815-R-07-023 – This guidance 

provides states, tribes, and other primacy agencies with a brief review of hydrogeologic sensitivity 

assessments, an overview of the characteristics of a sensitive aquifer, information about how source 

water assessments may be used, and information about how to determine if a sensitive aquifer has a 

hydrogeologic barrier. www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Ground Water Rule Source Water Monitoring Methods Guidance Manual. July 2007. EPA 815-R-07-

019 – This guidance provides GWSs, states, tribes, and other primacy agencies with a brief review of 

the source water monitoring provisions. Primacy agencies may select fecal indicators (e.g., E. coli, 

enterococci, coliphage) that systems would be required to test for in the ground water source sample. 

The source water monitoring guidance manual provides criteria to assist primacy agencies in their 

determination of which fecal indicator(s) may be most appropriate. 

www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 
Corrective Action Guidance Manual (under development) – This guidance will provide states, tribes, 

other primacy agencies and GWSs with an overview of the treatment technique requirements of the 

GWR. The guidance manual will provide assistance with determining the information that should be 

included in a system’s corrective action plan. 

Consecutive System Guide for the Ground Water Rule. July 2007. EPA 815-R-07-020 – This guidance 

describes the regulatory requirements of the GWR that apply to wholesale GWSs and the consecutive 

systems that receive and distribute that ground water supply. 

www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Complying with the Ground Water Rule: Small Entity Compliance Guide: One of the Simple Tools for 

Effective Performance (STEP) Guide Series. July 2007. EPA 815-R-07-018 – This document is 

intended to be an official compliance guide to the GWR for small PWSs, as required by the Small 

Business Regulatory Enforcement Fairness Act of 1996. This guide contains a general introduction and 

background for the GWR, describes the specific requirements of the GWR and provides information on 

how to comply with those requirements. www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791, or 

visit www.epa.gov/safewater/disinfection/gwr.

Office of Water (4606M) EPA 816-F-08-026 www.epa.gov/safewater/disinfection/gwr June 2008 
Ground Water Rule Factsheet: Public 

Notification and Special Notice 

Requirements for Noncommunity 

Water Systems 

WHAT IS THE GROUND WATER RULE?

The U.S. Environmental Protection Agency (EPA) published the Ground Water Rule (GWR) on November 

8, 2006. One goal of the GWR is to provide increased protection against microbial pathogens, 

specifically bacterial and viral pathogens, in public water systems (PWSs) that use ground water (or 

ground water systems [GWSs)). Instead of requiring disinfection for all ground water sources, the GWR 

establishes a risk-targeted approach to identifying ground water sources that are susceptible to fecal 

contamination. The GWR requires GWSs at risk of microbial contamination to take corrective action to 

protect consumers from harmful bacteria and viruses. Notifying the public of potential risks is a key 

element of this risk-targeted approach. Procedures for notifying the public differ depending on whether 

a system is a community or a noncommunity water system (NCWS). This factsheet describes the GWR 

notification requirements for NCWSs. 

The GWR and the PN Rule

The PN Rule requires PWSs to give notice to persons served by 

the water system for significant events, including violations of 

national primary drinking water regulations (NPDWRs) and 

waterborne emergencies. 

The GWR amends the PN Rule by requiring notice for detection 

of a fecal indicator in a ground water source sample, treatment 

technique violations, and monitoring violations. 

A system is a NCWS if it is a PWS that is not connected to 15 or more year-round residences or does not 

serve 25 or more persons in a residential setting on a year-round basis.1 A NCWS may be a transient noncommunity water system or a nontransient noncommunity water system. 

WHY DOES THE GWR REQUIRE PUBLIC NOTIFICATION? 

The GWR addresses pathogens that can be found in GWSs and the steps that systems must take to 

protect their customers. The GWR requires 

NCWSs to make public notification (PN) for a 

number of situations and violations related 

to ground water. 

GWS are required to notify the public 

because these and other circumstances can 

present risks to public health. 

WHAT TYPES OF NOTIFICATION ARE 

REQUIRED BY THE GWR? 

The type of notification required will differ depending on the severity of the situation or violation. 

There are two general categories of notification required by the GWR for NCWSs: 

Tier 1, 2, or 3 PN 

Special Notice 

The state also has the authority to alter the designated tier of a certain violation or to require 

additional or repeated notices. 

1. Systems that do not fit these criteria are classified as community water systems (CWSs). For information on 

requirements for CWSs, please see “Ground Water Rule Factsheet: Public Notification, CCR, and Special Notice 

Requirements for Community Water Systems.”
WHAT TYPES OF SITUATIONS REQUIRE PUBLIC NOTIFICATION UNDER THE GWR?

The following table outlines the various situations or violations that require notification to the public 

and the corresponding types of notification required. 

 

Issue Notification Required 

Fecal indicator-positive ground water source sample1 Tier 1 PN 

Failure to take corrective action Tier 2 PN 

Failure to maintain at least 4-log treatment of viruses Tier 2 PN 

Failure to meet monitoring requirements Tier 3 PN 

2 Uncorrected significant deficiency Special Notice

1. Consecutive systems served by the ground water source must also notify the public. 

2. Systems must continue to notify the public annually until the significant deficiency has been corrected. 

Fecal indicator-positive ground water source samples are detected during 1) triggered source 

water monitoring, 2) additional source water monitoring (optional), or 3) assessment source water 

monitoring (if it is required by the state). (See “Ground Water Rule Factsheet: Monitoring 

Requirements” for more information.) 

State requirements for corrective action can result from 1) the discovery of a significant 

deficiency or 2) a fecal indicator-positive source water sample. 

Failure to maintain at least 4-log treatment of 

viruses occurs when a system is unable to correct 

system failures within 4 hours. This situation 

results in a treatment technique violation. 

Monitoring violations can result from failure to 

adhere to state requirements for 1) triggered 

source water monitoring, 2) additional source 

water monitoring, 3) assessment source water 

monitoring, or 4) compliance monitoring for 

systems that maintain 4-log treatment of viruses. 

(See “Ground Water Rule Factsheet: Monitoring 

Requirements” for more information.) 

Significant deficiencies are identified by the 

state during sanitary surveys and on other 

occasions. (See “Ground Water Rule Factsheet: 

Sanitary Surveys” for more information.) 

Situations requiring Tier 1 PN 

A system is notified of a fecal indicator-positive ground water source sample (either a triggered 

source water monitoring sample, one of its five additional samples required by a positive triggered 

source water monitoring sample, or an assessment source water monitoring sample) that is not 

invalidated by the state. 

A system has a replacement source water sample that is fecal indicator-positive. 

Tiers of Public Notification

Tier 1 (Immediate notice): 

This tier is for violations and situations with 

significant potential to have serious and immediate 

adverse effects on human health as a result of shortterm exposure. Notice is required within 24 hours. 

Tier 2 (Notice as soon as possible): 

This tier is for other violations and situations with the 

potential to have adverse effects on human health 

that do not pose an immediate risk. Notice is 

required within 30 days. 

Tier 3 (Annual notice): 

This tier is for all other violations and situations 

requiring public notice not included in Tier 1 and Tier 

2 or that do not have a direct impact on human 

health. These violations are typically monitoring and 

reporting violations. Notice is required within 12 

months. 
Situations requiring Tier 2 PN

A system has a treatment technique (TT) violation under the GWR. TT violations result from: 

o Failing to comply with or be on a compliance schedule for a state-approved corrective action 

plan within 120 days of being notified of a significant deficiency.

o Failing to comply with or be on a compliance schedule for a state-approved corrective action 

plan within 120 days of being notified of a fecal indicator-positive source water sample. 

o Failing to maintain at least 4-log treatment of viruses for more than 4 hours. 

Situations requiring Tier 3 PN

A GWS fails to meet GWR monitoring requirements if the system: 

o Fails to conduct triggered source water monitoring within 24 hours of being notified of a total 

coliform-positive routine sample. 

o Fails to collect five additional samples after a fecal indicator-positive triggered source water 

sample (unless the state requires corrective action). 

o Fails to collect a replacement source water sample within 24 hours of being notified that a 

fecal indicator-positive sample has been invalidated by the state. 

o Fails to conduct or follow the requirements for assessment source water monitoring as directed 

by the state for existing or new sources (coming into service after November 30, 2009). 

A GWS fails to meet compliance monitoring requirements if the system:

o Fails to conduct monitoring to demonstrate compliance with 4-log treatment requirements. 

Situations requiring Special Notice 

Uncorrected significant deficiency. 

o A system is unable to correct a significant deficiency within 1 year of being notified of the 

significant deficiency. 

o The system must continue to notify the public annually until the significant deficiency has been 

addressed. 

o A state may direct a system to make special notice even if the significant deficiency has been 

corrected. 

What must be included in a Special Notice? 

The nature of the significant deficiency. 

The date the significant deficiency was identified by the state. 

For each significant deficiency, the state-approved plan and schedule for correction, including interim measures, 

progress to date, and any interim measures completed. 

For GWSs with large populations of non-English speaking consumers, information on the importance of the notice

in the appropriate language(s), as determined by the state. 

WHAT ARE THE NOTIFICATION REQUIREMENTS? 

Each category of notification has different requirements. NCWSs may use a variety of delivery methods 

as long as these methods have been approved by the state and are used to reach as many consumers as 

possible. The following table describes the GWR notification requirements. 
Notice Deadline for Repeated Consultation with the Delivery Methods3

Type initial Notices1 State2

notice 

Notification Requirements 

Tier 1 PN 24 hours As dictated by

the state 

Within 24 hours Broadcast media (radio or television), hand 

elivery, posting, or any other method as needed to 

each as many consumers as possible. 

d

r

Tier 2 PN 30 days Every 3 

months 

Within 48 hours 

 

Posting, hand delivery, or mail, or any other method

as needed to reach as many consumers as possible. 

Tier 3 PN 1 year4

 Annually As soon as is practical/

possible 

Posting, hand delivery, mail or any other method as 

needed to reach as many consumers as possible. 

Special 

Notice 

1 year Annually As soon as is practical/

possible 

Posting, hand delivery, mail or any other method as 

needed to reach as many consumers as possible. 

1. Repeated notices are required if the violation or situation persists, unless otherwise directed by the primacy agency. Posted 

notices must remain posted and may need periodic updating. 

2. Systems are required to send a copy of the PN to the state within 10 days of the notification. Systems must also keep 

documentation of public notices as required under § 141.403(a)(7) for a period of not less than 3 years. 

3. Primacy agencies may approve other methods. 

4. EPA recommends consolidating all Tier 3 notifications required within a given year into one notice as long as the notice is issued 

within 12 months of the earliest violation.

WHAT IS THE STATE’S ROLE IN GWR NOTIFICATION? 

State primacy agencies can serve as a valuable resource for helping systems maintain compliance with 

the GWR. States also have authority to determine the appropriate notification requirements for a GWS 

following a situation or violation. Under the GWR, states must: 

Be available to consult with GWSs after a significant deficiency has been identified or a fecal 

indicator-positive sample has been detected. (However, GWSs must still notify the public by the 

required deadline even if consultation has not occurred.) 

Determine the appropriate method(s) for NCWSs to inform the public of uncorrected significant 

deficiencies in their Special Notices. 

Approve notification processes for noncommunity water systems. 

Under this rule states can: 

Require a more stringent PN tier (e.g. Tier 1 instead of Tier 2) for certain violations if it is deemed 

necessary to protect public health. 

Invalidate a positive ground water source sample if it is determined that the sample is not related 

to source water quality (thus, not requiring notification unless an additional sample is positive). 

Require systems to distribute additional notices if it is deemed necessary. 

ADDITIONAL GUIDANCE MATERIALS

The following guidance materials for states and PWSs have been released or will be released in 2008: 

Ground Water Rule: A Quick Reference Guide – This guide provides a description of the GWR and 

includes critical deadlines and requirements. 

www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Ground Water Rule Factsheets – Including factsheets on GWR general requirements, monitoring 

requirements, and Public Notice, Consumer Confidence Reports, and Special Notices. 
Ground Water Sanitary Survey Guidance Manual. November 2007. EPA 815-D-07-006 – This guidance 

provides states, tribes, and other primacy agencies with a brief review of the sanitary survey regulatory 

provisions, give examples of what may constitute a significant deficiency, and provide a checklist of 

elements that should be evaluated during the course of a sanitary survey inspection. 

www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Source Water Assessment Guidance Manual. September 2007. EPA 815-R-07-023 – This guidance 

provides states, tribes, and other primacy agencies with a brief review of hydrogeologic sensitivity 

assessments, an overview of the characteristics of a sensitive aquifer, information about how source 

water assessments may be used, and information about how to determine if a sensitive aquifer has a 

hydrogeologic barrier. www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Ground Water Rule Source Water Monitoring Methods Guidance Manual. July 2007. EPA 815-R-07-

019 – This guidance provides GWSs, states, tribes, and other primacy agencies with a brief review of 

the source water monitoring provisions. Primacy agencies may select fecal indicators (e.g., E. coli, 

enterococci, coliphage) that systems would be required to test for in the ground water source sample. 

The source water monitoring guidance manual provides criteria to assist primacy agencies in their 

determination of which fecal indicator(s) may be most appropriate. 

www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Corrective Action Guidance Manual (under development) – This guidance will provide states, tribes, 

other primacy agencies and GWSs with an overview of the treatment technique requirements of the 

GWR. The guidance manual will provide assistance with determining the information that should be 

included in a system’s corrective action plan. 

Consecutive System Guide for the Ground Water Rule. July 2007. EPA 815-R-07-020 – This guidance 

describes the regulatory requirements of the GWR that apply to wholesale GWSs and the consecutive 

systems that receive and distribute that ground water supply. 

www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

Complying with the Ground Water Rule: Small Entity Compliance Guide: One of the Simple Tools for 

Effective Performance (STEP) Guide Series. July 2007. EPA 815-R-07-018 – This document is 

intended to be an official compliance guide to the GWR for small PWSs, as required by the Small 

Business Regulatory Enforcement Fairness Act of 1996. This guide contains a general introduction and 

background for the GWR, describes the specific requirements of the GWR and provides information on 

how to comply with those requirements. www.epa.gov/ogwdw/disinfection/gwr/compliancehelp.html. 

For additional information, please contact the Safe Drinking Water Hotline at 1-800-426-4791, or 

visit www.epa.gov/safewater/disinfection/gwr.

Office of Water (4606M) EPA 816-F-08-030 www.epa.gov/safewater/disinfection/gwr June 2008 
Appendix D 

Flowcharts 
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Appendix E 

Example Forms, Letters and 

Checklists 
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PN Rule Implementation Guidance E-3 March 2010 

State Primacy Revision Checklist 

 
 

PN Rule Implementation Guidance E-4 March 2010 

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PN Rule Implementation Guidance E-5 March 2010 

Required Program Elements Revision to 

State Program 

EPA 

Findings/Comments 

§142.10 Primary Enforcement 

- Definition of Public Water System* 

 

§142.10(a) Regulations No Less Stringent 

§142.10(b)(1) Maintain Inventory 

§142.10(b)(6)(i) Authority to Apply Regulations 

§142.10(b)(6)(ii) Authority to Sue in Courts of Competent 

Jurisdiction 

 

§142.10(b)(6)(iii) Right of Entry 

§142.10(b)(6)(iv) Authority to Require Records 

§142.10(b)(6)(v) Authority to Require Public Notification 

§142.10(b)(6)(vi) Authority to Assess Civil and Criminal 

Penalties 

 

§142.10(c) Maintenance of Records 

§142.10(f) Administrative Penalty Authority* 

§142.10(g) Electronic Reporting Regulations** 

* Requirement from the 1996 Amendments. Regulations published in the April 28, 1998 Federal Register. 

** Regulations published in the October 13, 2005 Federal Register.
 

PN Rule Implementation Guidance E-6 March 2010 

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PN Rule Implementation Guidance E-7 March 2010 

Example Extension Request Checklist 
 

PN Rule Implementation Guidance E-8 March 2010 

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PN Rule Implementation Guidance E-9 March 2010 

{Date}

{Regional Administrator}

Regional Administrator 

U.S. EPA Region {Region}

{Street Address}

{City, State, Zip}

RE: Request/approval for an Extension Agreement 

Dear {Regional Administrator}: 

 The State of {State} is requesting an extension to the date that final primacy revisions are due to EPA for 

the Public Notification (PN) Rule until {insert date - no later than August 21, 2002}, as allowed by 40 CFR 

142.12, and would appreciate your approval. Staff of the {State Department/Agency} have conferred with your 

staff and have agreed to the requirements listed below for this extension. This extension is being requested because 

the State of {State}: 

 Is planning to group two or more program revisions into a single legislative or regulatory action. 

 Currently lacks the legislative or regulatory authority to enforce the new or revised requirements. 

 Currently lacks adequate program capability to implement the new or revised requirements. 

{State Department/Agency} will be working with EPA to implement the PN Rule within the scope of its 

current authority and capability, as outlined in the six areas identified in 40 CFR 142.12(b)(3)(i-vi): 

i) Informing public water systems (PWSs) of the new EPA (and upcoming state) requirements and the fact that 

EPA will be overseeing implementation of the requirements until EPA approves the state revision. 

State EPA 

____ ____ Provide copies of regulation and guidance to other state agencies, PWSs, technical assistance 

providers, associations, or other interested parties. 

____ ____ Educate and coordinate with state staff, PWSs, the public, and other water associations about the 

requirements of this regulation. 

____ ____ Notify affected systems of their requirements under the PN Rule. 

____ ____ Other: 

ii) Collecting, storing, and managing laboratory results, public notices, and other compliance and operation data 

required by the EPA regulations. 

State EPA 

____ ____ Devise a tracking system for PWS reporting pursuant to the PN Rule. 

____ ____ Keep PWSs informed of reporting requirements during development and implementation. 

____ ____ Report PN Rule violation and enforcement information to SDWIS as required. 

____ ____ Other: 

iii) Assisting EPA in the development of the technical aspects of the enforcement actions and conducting informal 

follow-up on violations (telephones calls, letters, etc.). 

State EPA 

____ ____ Issue notices of violation (NOVs) for treatment technique and monitoring/ reporting violations of 

the PN Rule. 

____ ____ Provide immediate technical assistance to PWSs with treatment technique, MCL and/or 

monitoring/reporting violations to try to bring them into compliance. 
PN Rule Implementation Guidance E-10 March 2010 

____ ____ Refer all violations to EPA for enforcement if they have not been resolved within 60 days of the 

incident that triggered the violation. Provide information as requested to conduct and complete 

any enforcement action referred to EPA. 

____ ____ Other: 

iv) Providing technical assistance to PWSs. 

State EPA 

____ ____ Conduct training within the state for PWSs on PN Rule requirements. 

____ ____ Provide technical assistance through written and/or verbal correspondence with PWSs. 

____ ____ Provide on-site technical assistance to PWSs as requested and needed to ensure compliance with 

this regulation. 

____ ____ Coordinate with other technical assistance providers and organizations to provide accurate 

information and aid in a timely manner. 

____ ____ Other: 

v) Providing EPA with all information prescribed by the State Reporting Requirements in 40 CFR 142.15. 

State EPA 

____ ____ Report any violations incurred by PWSs for this regulation each quarter. 

____ ____ Report any enforcement actions taken against PWSs for this regulation each quarter. 

____ ____ Report any variances or exemptions granted for PWSs for this regulation each quarter. 

____ ____ Other: 

vi) For states whose request for an extension is based on a current lack of program capability to implement the new 

or revised requirements, taking the following steps to remedy the capability deficiency. 

State EPA 

____ ____ Acquire additional resources to implement these regulations (list of specific steps being taken 

attached as {List A}). 

____ ____ Provide quarterly updates describing the status of acquiring additional resources. 

____ ____ Other: 

I affirm that the {State Department/Agency} will implement provisions of the PN Rule as outlined above. 

______________________________________________________________________________ 

{Agency Director or Secretary} Date 

______________________________________________________________________________ 

{Name of State Agency}

I have consulted with my staff and approve your extension for the aforementioned regulation. I affirm that EPA 

Region {Region} will implement provisions of the PN Rule as outlined above. 

______________________________________________________________________________ 

Regional Administrator Date 

EPA Region {Region}

This Extension Agreement will take effect upon the date of the last signature. 
PN Rule Implementation Guidance E-11 March 2010 

Example of Attorney General’s Statement 
PN Rule Implementation Guidance E-12 March 2010 

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PN Rule Implementation Guidance E-13 March 2010 

Model Language 

I hereby certify, pursuant to my authority as (1) and in accordance with the Safe Drinking Water Act as 

amended, and (2), that in my opinion the laws of the [State/Commonwealth of (3)] [or tribal ordinances 

of (4)] to carry out the program set forth in the “Program Description” submitted by the (5) have been 

duly adopted and are enforceable. The specific authorities provided are contained in statutes or 

regulations that are lawfully adopted at the time this Statement is approved and signed and will be fully 

effective by the time the program is approved. 

I. For States with No Audit Privilege and/or Immunity Laws 

Furthermore, I certify that [State/Commonwealth of (3)] has not enacted any environmental audit 

privilege and/or immunity laws. 

II. For States with Audit Laws that do Not Apply to the State Agency Administering the Safe 

Drinking Water Act 

Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the 

[State/Commonwealth of (3)] does not affect the ability of (3) to meet enforcement and information 

gathering requirements under the Safe Drinking Water Act because the [audit privilege and/or immunity 

law] does not apply to the program set forth in the “Program Description.” The Safe Drinking Water Act 

program set forth in the “Program Description” is administered by (5); the [audit privilege and/or 

immunity law] does not affect programs implemented by (5), thus the program set forth in the “Program 

Description” is unaffected by the provisions of [State/Commonwealth of (3)] [audit privilege and/or 

immunity law]. 

III. For States with Audit Privilege and/or Immunity Laws that Worked with EPA to Satisfy 

Requirements for Federally Authorized, Delegated, or Approved Environmental Programs 

Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the 

[State/Commonwealth of (3)] does not affect the ability of (3) to meet enforcement and information 

gathering requirements under the Safe Drinking Water Act because [State/Commonwealth of (3)] has 

enacted statutory revisions and/or issued a clarifying Attorney General’s Statement to satisfy 

requirements for federally authorized, delegated, or approved environmental programs. 

Seal of Office 

 _______________________________________ 

 Signature 

 _______________________________________ 

 Name and Title 

 _______________________________________ 

 Date 

(1) State Attorney General or attorney for the state if it has independent legal counsel. 

(2) 40 CFR 142.11(a)(6)(i) for initial primacy applications or 40 CFR 142.12(c)(1)(iii) for primacy 

program revision applications. 

(3) Name of state or commonwealth. 

(4) Name of tribe. 

(5) Name of state.