Draft Information 

Collection Request for the 

Disinfectants/Disinfection 

Byproducts, Chemical, 

and Radionuclides Rules

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TABLE OF CONTENTS

1 IDENTIFICATION OF THE INFORMATION COLLECTION............................................. 1

1(a) Title and Number of the Information Collection ............................................................ 1

1(b) Short Characterization .................................................................................................... 1

2 NEED FOR AND USE OF THE COLLECTION.................................................................... 3

2(a) Need/Authority for the Collection .................................................................................. 3

2(b) Uses/Users of the Data ................................................................................................... 8

2(b)(i) Uses of the Data ................................................................................................ 8

2(b)(ii) Users of the Data............................................................................................... 9

3 NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA.. 11

3(a) Non-duplication ............................................................................................................ 11

3(b) Public Notice Required Prior to ICR Submission to OMB .......................................... 11

3(c) Consultations................................................................................................................. 11

3(d) Effects of Less Frequent Collection.............................................................................. 11

3(e) General Guidelines........................................................................................................ 12

3(f) Confidentiality .............................................................................................................. 12

3(g) Sensitive Questions....................................................................................................... 12

4 RESPONDENTS AND INFORMATION REQUESTED ..................................................... 13

4(a) Respondents/NAICS Codes.......................................................................................... 13

4(b) Information Requested.................................................................................................. 13

4(b)(i) Data Items......................................................................................................... 13

4(b)(ii) Respondent Activities...................................................................................... 28

5 INFORMATION COLLECTED — AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT............................................ 41

5(a) Agency Activities.......................................................................................................... 41

5(b) Collection Methodology and Management................................................................... 42

5(c) Small Entity Flexibility................................................................................................. 43

5(d) Collection Schedule ...................................................................................................... 44

6 ESTIMATING BURDEN AND COST OF COLLECTION.................................................. 46

6(a) Respondent Burden....................................................................................................... 47

6(a)(i) Burden to Public Water Systems..................................................................... 47

6(a)(ii) Burden to Primacy Agencies........................................................................... 50

6(b) Respondent Costs.......................................................................................................... 52

6(b)(i) Cost to Public Water Systems.......................................................................... 52

6(b)(ii) Cost to Primacy Agencies............................................................................... 52

6(c) Agency Burden and Costs............................................................................................. 54

6(d) Estimating Respondent Universe and Total Burden and Costs.................................... 54

6(e) Bottom Line Burden Hours and Costs.......................................................................... 55

6(f) Reasons for Change in Burden ..................................................................................... 56

6(f)(i) Restructuring Adjustments................................................................................ 57

6(f)(ii) Other Burden Adjustments............................................................................... 58

6(g) Burden Statement.......................................................................................................... 61
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LIST OF EXHIBITS

Exhibit 1: Structure of OGWDW ICRs......................................................................................... 5

Exhibit 2: PWS Recordkeeping and Reporting Requirements ................................................... 14

Exhibit 3: Primacy Agency Recordkeeping and Reporting Requirements.................................. 19

Exhibit 4: Regulated Organic Compounds and Inorganic Chemicals......................................... 35

Exhibit 5: EPA Requirements...................................................................................................... 42

Exhibit 6: Collection Schedule .................................................................................................... 45

Exhibit 7: Annual PWS Burden and Cost January 1, 2016 – December 31, 2018...................... 53

Exhibit 8: Annual Primacy Agency Burden and Cost January 1, 2016 – December 31, 2018 ... 54

Exhibit 9: Bottom Line Annual Burden and Cost January 1, 2016 – December 31, 2018.......... 56

Exhibit 10: Summary of Changes in Annual Burden (Includes both PWS and Primacy 

Agency Burden) ........................................................................................................ 57

Exhibit 11: Restructuring Adjustments to the Annual Burden Inventoryfor the 

DDBP/Chem/Rads Rules ICR(Includes both PWS and Primacy Agency Burden).. 58

Exhibit 12: Adjustments to PWS Burden from Previous ICR Estimates .................................... 59

Exhibit 13: Adjustments to Primacy Agency Burden from Previous ICR Estimates.................. 60

Exhibit 14: Adjustments to Annual Burden Carried Forward from Previous ICR Estimates 

(Includes both PWS and Primacy Agency Burden).................................................. 61
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LIST OF FIGURES

Figure 1: Structure of OGWDW ICRs......................................................................5
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APPENDICES

Appendix A. Federal Register Notices Soliciting Comment on Information Collection Requests

Appendix B. Stage 1 Disinfectants/Disinfection Byproducts Rule Spreadsheets

Appendix C. Stage 2 Disinfectants/Disinfection Byproducts Rule Spreadsheets

Appendix D. Chemical Phase Regulation Spreadsheets

Appendix E. Radionuclides Rule Spreadsheets

Appendix F. Disinfectant Residual Monitoring and Associated Activities under the Surface

Water Treatment Rule Spreadsheets 

Appendix G. Arsenic Rule Spreadsheets

Appendix H. Lead and Copper Rule Spreadsheets
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ACRONYMS

AMWA Association of Metropolitan Water Agencies

ASDWA Association of State Drinking Water Administrators

AWWA American Water Works Association

BATs Best Available Technologies 

BLS Bureau of Labor Statistics

CCR Consumer Confidence Report

CCT Corrosion Control Treatment

CDC Centers for Disease Control and Prevention 

CFR Code of Federal Regulations 

CT Contact Time

CWS Community Water System 

CWSS Community Water System Survey

DBP Disinfection Byproduct 

DBPR Disinfectants and Disinfection Byproducts Rule 

DDBP/Chem/Rads Disinfectants and Disinfection Byproducts, Chemical, and Radionuclides 

Rules

DWSRF Drinking Water State Revolving Fund

EA Economic Analysis

EPA Environmental Protection Agency

ERP Enforcement Response Policy

ETT Enforcement Targeting Tool

FACA Federal Advisory Committee Act

FR Federal Register 

GWR Ground Water Rule

HAA5 Haloacetic Acids 

ICR Information Collection Request

IDSE Initial Distribution System Evaluation 

IESWTR Interim Enhanced Surface Water Treatment Rule

IOCs Inorganic Compounds

LCR Lead and Copper Rule 

LCRMR Lead and Copper Rule Minor Revisions 

LSL Lead Service Line

LSLR Lead Service Line Replacement

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

MDL Method Detection Limit

MRDL Maximum Residual Disinfection Level

mrem Millirem

NAICS North American Industry Classification System

NAWC National Association of Water Companies

NDWAC National Drinking Water Advisory Council 

NPDWRs National Primary Drinking Water Regulations
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NRWA National Rural Water Association

NTNCWS Nontransient Noncommunity Water System 

OECA Office of Enforcement and Compliance Assurance

OGWDW Office of Ground Water and Drinking Water 

O&M Operation and Maintenance

OMB Office of Management and Budget 

pCi/L PicoCuries per liter

PN Public Notification

PRA Paperwork Reduction Act 

PWS Public Water System

PWSS Public Water System Supervision

RegNeg Regulatory Negotiation

RFA Regulatory Flexibility Act

SBREFA Small Business Regulatory Enforcement Fairness Act

SDWA Safe Drinking Water Act

SDWIS Safe Drinking Water Information System

SMF Standardized Monitoring Framework

SOCs Synthetic Organic Compounds

SWAP Source Water Assessment Program

SWTR Surface Water Treatment Rule

TCR Total Coliform Rule

TNCWS Transient Noncommunity Water System

TOC Total Organic Carbon

TTHM Total Trihalomethane

UCMR Unregulated Contaminant Monitoring Rule

UIC Underground Injection Program

VOCs Volatile Organic Compounds 

WQP Water Quality Parameter
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1 IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title and Number of the Information Collection

Title: Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules

OMB Control Number: 2040-0204

EPA Tracking Number: 1896.09

1(b) Short Characterization

The Office of Ground Water and Drinking Water (OGWDW) in the Office of Water at 

the United States Environmental Protection Agency (EPA) is responsible for managing the 

Public Water System Supervision (PWSS) Program, a national program mandated by the Safe 

Drinking Water Act (SDWA). Section 1412 of the SDWA requires EPA to establish National 

Primary Drinking Water Regulations (NPDWRs) for contaminants that may adversely impact 

human health. The Act requires EPA to monitor and enforce these regulations to ensure that the 

nation’s drinking water dependably complies with the maximum contaminant levels (MCLs) or 

maximum residual disinfectant levels (MRDLs), as stipulated in the Code of Federal Regulations 

(CFR), 40 CFR Part 141, Subpart B.

Section 1445 of the SDWA states that public water systems shall conduct monitoring, 

maintain records, and provide such information as is needed for EPA to implement its 

monitoring and enforcement responsibilities with respect to the Act. Primacy agencies, state 

governments that have assumed primary enforcement responsibility under SDWA section 1413, 

ensure that PWSs are complying with these monitoring requirements.

As part of the PWSS Program, OGWDW uses the Safe Drinking Water Information 

System (SDWIS) to record some of the data collected as a result of NPDWR requirements. 

These data assist EPA in fulfilling its SDWA obligations. SDWIS is a database management 

system that assists EPA in tracking and interpreting violations data and other program-related 

data. Revisions are currently being made to SDWIS. EPA expects primacy agencies to fully 

transition to the revised system, a centralized, cloud-based system called SDWIS Prime, in the 

subsequent ICR period.

This ICR was prepared in accordance with the October 2009 version of EPA’s Guide to 

Writing Information Collection Requests Under the Paperwork Reduction Act (PRA) of 1995 (or 

“ICR Handbook”) prepared by EPA’s Office of Environmental Information, Office of 

Information Collection, Collection Strategies Division. The ICR Handbook provides the most 

current instructions for ICR preparation to ensure compliance with the 1995 PRA amendments 

and the Office of Management and Budget’s (OMB’s) implementing guidelines. 

Many information collection requirements associated with SDWA and its implementing 

regulations are associated with rulemakings that address specific contaminants or groups of 

contaminants. This ICR examines PWS, primacy agency, and EPA burden and cost for chemical 
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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and disinfection byproduct regulations only. Microbial contaminants, such as those regulated 

under the Total Coliform Rule (TCR), are addressed in the Microbial Rules ICR (OMB No. 

2040-0205). Cross-cutting recordkeeping and reporting requirements—are addressed in the 

PWSS Program ICR (OMB No. 2040-0090).

The specific chemical regulations addressed in this ICR include the following:

1) Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR)

2) Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR)

3) Chemical Phase Rules (Phases II/IIB/V)

4) Radionuclides Rule

5) Disinfectant Residual Monitoring and Associated Activities under the

Surface Water Treatment Rule (SWTR)1

6) Arsenic Rule

7) Lead and Copper Rule (LCR)

This ICR estimates burden and costs for January 1, 2016 – December 31, 2018.

The total annual burden associated with this ICR is estimated to be 5.3 million hours per 

year. The total annual cost associated with this ICR is estimated to be approximately $464.9

million. The distribution of annual burden between PWSs and primacy agencies is approximately 

3.3 million hours and 2.0 million hours, respectively (numbers may not add due to rounding).

The distribution of annual costs between PWSs and primacy agencies is approximately $374

million and $90 million, respectively. There is no Agency burden or cost. Section 6 and 

Appendices B through H provide details of all burden and cost estimates.

The approximate annual operation and maintenance (O&M) and capital costs are $259

million, with $253 million attributed for O&M and $5.5 million for capital. This represents the 

“cost burden” as reported in the OMB inventory.

The total annual number of respondents for this ICR is 149,822. Fifty-seven of these 

respondents are primacy agencies and the remaining 149,765 respondents are existing PWSs.

The total annual number of responses for these respondents is 12.9 million; 11.9 million for 

PWSs and 1.0 million for primacy agencies. 

 1 Includes only the SWTR components relating to disinfectant residual monitoring and associated activities. All 

remaining SWTR requirements are included in the Microbial Rules ICR.
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2 NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

This section identifies the regulatory or statutory authority for the information collection 

activities covered in this ICR and explains EPA’s need for the information. A summary of the 

major types of recordkeeping and reporting requirements for the contaminants covered by this 

ICR is provided in Section 4 of this ICR.

To allow the public to better understand the impact of the recordkeeping and reporting 

requirements stemming from the SDWA and 40 CFR Parts 141 and 142, OGWDW has 

organized its ICRs so that related activities are addressed in the same ICR. Specifically, there are 

three primary ICRs —the Microbial Rules ICR, the Disinfectants/Disinfection Byproducts, 

Chemical and Radionuclides Rules (DDBP/Chem/Rads Rules) ICR, and the Public Water 

Systems Supervision Program (PWSS Program) ICR. The Microbial Rules ICR includes rules 

addressing microbial contaminants, such as the TCR, Surface Water Treatment Rule (SWTR), 

and the Ground Water Rule (GWR). The PWSS Program ICR includes public notification and 

rules and programs addressing cross-cutting requirements that are not contaminant-specific. The 

DDBP/Chem/Rads Rules ICR includes rules addressing chemical contaminants. The specific 

chemical regulations addressed in this ICR are:

1) Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR)

2) Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR)

3) Chemical Phase Rules (Phases II/IIB/V)

4) Radionuclides Rule

5) Disinfectant Residual Monitoring and Associated Activities under the Surface

Water Treatment Rule (SWTR)2

6) Arsenic Rule

7) Lead and Copper Rule (LCR), including the Lead and Copper Rule Short Term 

Revisions

For a graphical depiction of the structure of the OGWDW ICRs, see Figure 1. A 

complete itemization of the activities included in the three primary ICRs, as well as other 

drinking water program ICRs, is included as Exhibit 1.

The 1986 Amendments to SDWA required the Agency to publish maximum contaminant 

level goals (MCLGs) and promulgate NPDWRs for 83 specific contaminants. Promulgation of 

the chemical-related rules contained in this ICR complies with the statutory requirements for 

some of these contaminants. Promulgation of the Stage 1 and Stage 2 DBPRs and the Arsenic 

Rule complies with the 1996 amended statutory requirements for these contaminants. 

The 1986 SDWA Amendments required the EPA to propose and promulgate a NPDWR 

specifying criteria under which filtration would be required as a treatment technique for PWSs 

supplied by surface water sources (section 1412 (b)(7)(C)(i)). Promulgation of the SWTR 

 2 Includes only SWTR components relating to disinfectant residual monitoring and associated activities. All 

remaining SWTR requirements are included in the Microbial Rules ICR.
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satisfied this SDWA requirement. The SWTR includes disinfection residual monitoring 

requirements that are addressed in this ICR.

The information collected under this ICR is required by EPA to carry out its monitoring 

and enforcement responsibilities as specified under SDWA and its amendments. Without 

comprehensive, up-to-date information on these contaminants, the Agency would not be able to 

meet these statutory requirements.

Section 1412(b) authorizes EPA to establish NPDWRs to protect public health. Section 

1445 of the SDWA requires that “every person who is a supplier of water shall establish and 

maintain such records, make such reports, conduct such monitoring, and provide such 

information as the Administrator may reasonably require by regulation to assist him in 

establishing regulations, in determining whether such person has acted or is in compliance with 

this title...”

In addition, section 1401(1)(d) of the SDWA 1986 Amendments defines NPDWRs to 

include “criteria and procedures to assure a supply of drinking water which dependably complies 

with such maximum contaminant levels; including accepted methods for quality control and 

testing procedures...” This section authorizes EPA to require systems and laboratories to use 

Agency-approved methods and quality assurance criteria for collecting and analyzing water 

samples.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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Green = Activities remain as in current ICR

Purple = Future rule to be addressed in stand-alone ICR

Figure 1. Structure of OGWDW ICRs

DDBP/Chem/Rads Rules ICR

2040-0204

Chems LCR Stage 1 3

Arsenic Rads Stage 2

Lab QA

2040-0246

Needs Survey

2040-0274

DW SRF

2040-0185

SWAP

2040-0197

Bioterrorism

2040-0253

UCMR 3 

2040-0270

UIC Program ICR

2040-0042

Classes I - VI

PWSS Program ICR

2040-0090

Cap Dev

V&E’s Proficiency

Testing

CCRs PN

State Primacy 

Activities

Op Cert Tribal 

Op Cert

Constructed 

Conveyances

1 RTCR burden and costs incurred after April 2016 are being 

added to TCR.

2 DDBP/Chem/Rads Rules ICR includes disinfectant residual 

monitoring under SWTR

3 Includes LCR Short-Term Revisions 

Microbial Rules ICR

2040-0205

IESWTR SWTR2

LT1

FBRR TCR/

RTCR1

GWR

LT2 ADWR

UCMR 4

2040-0270
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Exhibit 1: Structure of OGWDW ICRs

Currently covered To be covered in the future

PWSS Program ICR (2040-0090)

Consumer Confidence Reports (CCRs)

Variances & Exemptions

Capacity Development Program

General State Primacy Activities 

Public Notification (PN)

Operator Certification Program

Tribal Operator Certification

Constructed Conveyances

Proficiency Testing

Microbial Rules ICR (2040-0205)

Surface Water Treatment Rule, except 

disinfectant residual monitoring and associated 

activities3

Total Coliform Rule/ Revised Total Coliform Rule

Interim Enhanced Surface Water Treatment Rule 

(IESWTR) 

Filter Backwash Recycling Rule

Long Term 1 Enhanced Surface Water Treatment 

Rule (LT1ESWTR)

Long Term 2 Enhanced Surface Water Treatment 

Rule (LT2ESWTR)

Ground Water Rule

Aircraft Drinking Water Rule

Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR (2040-0204)

Stage 1 Disinfectants and Disinfection Byproducts 

Rule Lead and Copper Rule Long Term Revisions

Disinfectant Residual Monitoring and associated 

activities under the SWTR

Stage 2 Disinfectants and Disinfection Byproducts 

Rule

Chemical Phase Rules

Radionuclides Rule 

Arsenic Rule

Lead and Copper Rule

Source Water Assessment Program (SWAP) ICR (2040-0197)

SWAP

Underground Injection Control (UIC) Program ICR (2040-0042) 

UIC Base Program Activities

Classes I-VI Rules

Florida Class I Rule

 3 Disinfectant residual monitoring and associated activities are included in the DDBP/Chem/Rads Rules ICR.
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Currently covered To be covered in the future

Drinking Water State Revolving Fund (DWSRF) Program ICR (2040-0185)

Drinking Water State Revolving Fund Program

Drinking Water Infrastructure Needs Survey ICR (2040-0274)

Drinking Water Infrastructure Needs Survey

Title VI of the Public Health Security and Bioterrorism Preparedness and Response Act of 2002: 

Drinking Water Security and Safety ICR (2040-0253)

Vulnerability Assessments and Emergency 

Response Plans for community water systems 

(CWSs).

Unregulated Contaminant Monitoring Rule ICR (2040-0270)

Monitoring of Unregulated Contaminants (UCMR 

3) UCMR 4

Laboratory Quality Assurance Evaluation Program for Analysis of Cryptosporidium ICR (2040-

0246)

Proficiency Testing Program for Laboratories 

Analyzing Cryptosporidium Samples

To implement its compliance oversight and enforcement responsibilities under the 

SDWA, EPA requires PWSs to monitor for various drinking water contaminants. The results of 

this monitoring must be reported to primacy agencies, which in turn report a specified subset of 

this information in SDWIS. Additionally, both PWSs and primacy agencies must maintain 

records of analytic results and other related activities (e.g., sanitary survey results). Without 

comprehensive, up-to-date information on drinking water contaminants (as provided by SDWIS), 

EPA would not be able to implement the national drinking water program. . If these monitoring 

requirements were voluntary, EPA would not receive timely, comprehensive data on 

contaminant levels and associated acute and long-term public health risks. Specifically, 

voluntary monitoring would not:

• Reliably occur with sufficient frequency.

• Follow uniform national standards on quality of sampling, collection, and 

analysis.

• Ensure that monitoring addresses all contaminants listed in the regulations.

Additionally, EPA uses SDWIS data to estimate the costs of new regulations and to 

conduct economic and policy analyses that promote cost-effective regulatory approaches. These 

uses are discussed in more detail in section 2(b) below.

Section 4 of the ICR contains a summary of the major types of chemical contaminant 

recordkeeping and reporting requirements, as mandated by 40 CFR Parts 141 and 142.

Specifically, most reporting required by PWSs can be found in 40 CFR 141.31, 141.34, and 

141.35.
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Most recordkeeping requirements for PWSs are codified in 40 CFR 141.33, which 

requires that the results of chemical analyses be kept for a period of at least 10 years. Reporting 

and recordkeeping required by states can be found in 40 CFR 142.15 and 142.14, respectively.

2(b) Uses/Users of the Data

2(b)(i) Uses of the Data

Primary users of the data collected under this ICR are EPA, PWS managers, and primacy 

agencies, which include state regulators and Indian Tribes. This section contains more 

information about how chemical-related data are used specifically for analytical monitoring, 

regulatory enforcement, oversight of state programs, implementation assistance, economic and 

policy analyses, and other Agency and public data evaluations. Each of these functions is 

discussed in greater detail below.

Analytical Monitoring

PWSs maintain records on the analytical results of monitoring and use these data to:

• Evaluate the quality of water delivered to customers. 

• Examine treatment efficacy. 

• Determine compliance with national standards.

• Modify monitoring frequencies, schedules, and variances to address potential 

health risks.

• Alert the public, when the system is not in compliance with federal and state 

regulations so that they may take actions to minimize exposure to potentially 

harmful drinking water contaminants.4

Quarterly and annual reports that primacy agencies must submit to EPA include PWS 

information, enforcement information and analytical results for certain violations of the 

NPDWRs. This reporting is required to establish primacy and maintain eligibility for grants. All 

of this information is stored in SDWIS, which supports overall maintenance and retrieval of 

information.

Regulatory Enforcement

Using SDWIS, system-level compliance data may be compared from year to year and 

trends in compliance data can be evaluated at the system, state, and national program levels.

Primacy agencies are responsible for enforcement activities and can use SDWIS data to track 

compliance progress in their jurisdictions, to identify enforcement targets and remedial actions, 

and to monitor progress of capacity development strategies. The primacy agency must also track 

enforcement actions issued against each PWS not in compliance with drinking water standards 

and evaluate the system’s status in meeting schedules designed to return the PWS to compliance. 

 4 The burden associated with implementing the public notification requirements is currently addressed in the PWSS 

Program ICR (OMB No. 2040-0090).
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On a quarterly basis, EPA uses the Enforcement Tracking Tool (ETT) to generate a list of 

PWSs that are considered “priority systems” for enforcement. The Enforcement Response Policy 

(ERP) and ETT prioritize and direct enforcement response to systems with the most systemic 

noncompliance by considering all violations incurred by a system in a comprehensive way. If a 

state has failed to take timely and appropriate action, EPA may become directly involved in 

enforcement by issuing an administrative order. If the system does not comply with the order, 

EPA may seek an administrative penalty or court action.

Oversight of State Programs

State reporting is a condition for maintaining primacy. Primacy agencies play a crucial 

role in implementing the SDWA, and EPA is charged with overseeing the performance of these 

states. EPA uses SDWIS data to develop summary statistics on individual state performance.

Implementation Assistance

EPA and primacy agencies also use the data collected to assist small systems in 

implementing SDWA requirements, including developing variances and exemptions and 

evaluating PWS capacity. If a PWS is unable to meet standard requirements due to source water 

quality or affordability concerns, a variance or exemption may be issued to allow the system to 

comply with slightly different drinking water standards or implementation schedules that are still 

protective of public health. Capacity development is a state program designed to help all 

drinking water systems, particularly small systems, enhance their technical, managerial and /or 

financial capacity to achieve or maintain their compliance with drinking water regulations.

Economic and Policy Analyses

SDWIS data are used in the development of economic analyses for proposed regulations 

or revisions of existing regulations. The data help to determine a system’s susceptibility and 

vulnerability to contaminants. Data are also used by OGWDW to conduct analyses used in 

developing new policies, regulations, and guidance documents. When analyzing economic or 

financial impacts on the public water systems or consumers, EPA uses compliance data from 

SDWIS, together with other national survey data, to estimate the number of systems that would 

have to install treatment technologies or apply contamination reduction measures to reduce 

public health risks. Without such data, EPA would be unable to predict costs and benefits that 

systems would incur under new or revised regulations.

2(b)(ii) Users of the Data

The information collected by EPA is made available to the public upon request, via 

EPA’s public website (http://water.epa.gov/scitech/datait/databases/drink/sdwisfed/pivottables

.cfm) or by requesting the data via the Freedom of Information Act (40 CFR, Chapter 1, Part 2).

Other organizations that utilize the data include:

• Staff from other EPA programs (such as Superfund, the Resource Conservation 

and Recovery Act, and the Office of Enforcement and Compliance (OECA))
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• The Federal Emergency Management Administration

• Centers for Disease Control and Prevention (CDC)

• Military bases

• Farmers Home Administration

• Department of Interior

• Department of Housing and Urban Development

• U.S. Army Corps of Engineers

• White House Task Forces

• American Water Works Association (AWWA)

• Association of Metropolitan Water Agencies (AMWA)

• National Rural Water Association (NRWA)

• National Association of Water Companies (NAWC)

• Association of State Drinking Water Administrators (ASDWA)

• Natural Resources Defense Council (NRDC)
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3 NON-DUPLICATION, CONSULTATIONS, AND OTHER 

COLLECTION CRITERIA

3(a) Non-duplication

EPA has made an effort to ensure that the data collection efforts associated with this ICR 

are not duplicated. EPA has consulted state environmental programs, other federal agencies, and

regulated entities, such as PWSs and their representative trade associations. To the best of EPA's 

knowledge, data currently required by the SDWA and its drinking water regulations, codified at 

40 CFR Parts 141 and 142, are not available from any other source.

3(b) Public Notice Required Prior to ICR Submission to OMB

To comply with the 1995 Amendments to the PRA, EPA solicited public comment on 

this ICR for a 60-day period before it was submitted to OMB. Specifically, EPA published a 

notice in the Federal Register (FR) requesting comment on the estimated respondent burden and 

other aspects of this ICR (Appendix A). EPA did not receive any comments during the 60-day 

comment period.

An additional FR notice will be published prior to submission of this ICR to OMB. The 

public comment period for this additional notice is 30 days.

3(c) Consultations

As part of the revision of the PWSS ICR, in May 2015 EPA consulted with 

representatives of PWSs and states regarding the accuracy of EPA’s burden estimates. The 

groups consulted were NAWC, NRWA, AWWA, AMWA, and ASDWA. EPA received 

comments from ASDWA. ASDWA’s comments were incorporated into this ICR to the extent 

possible. The end of each appendix to the ICR contains a table summarizing EPA’s previous and 

revised burden estimates for the relevant rule. 

3(d) Effects of Less Frequent Collection

EPA has considered a wide range of alternatives for frequency of data collection. EPA 

has chosen to require the least frequent collection that remains consistent with the overall goal of 

protecting public health. If data are collected less frequently, primacy agencies may not identify 

in a timely fashion significant contaminant concentrations that might threaten the health and 

safety of drinking water consumers.

For some rules, the primacy agency has discretion in adjusting monitoring schedules, 

where possible, by granting waivers or reducing the monitoring frequency and/or sites.

Monitoring frequencies vary based on the following:

• Type of contaminant.

• Type and size of system.

• System vulnerability.
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• Contaminant history.

• Factors contributing to DBP formation.

3(e) General Guidelines

As previously mentioned, this ICR was prepared in accordance with the October 2009

version of the ICR Handbook prepared by EPA’s Office of Environmental Information.

3(f) Confidentiality 

No confidential information will be collected as a result of this ICR. 

3(g) Sensitive Questions

No information of a sensitive nature will be collected as a result of this ICR.
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4 RESPONDENTS AND INFORMATION REQUESTED

4(a) Respondents/NAICS Codes

Data associated with this ICR are collected and maintained at the PWS, state, and federal 

levels. Respondents include:

• Owners/operators of PWSs, who must report to their primacy agency.

• Primacy agencies, and EPA Regions that act as primacy agencies in Indian lands 

and states that do not have primacy.

The North American Industry Classification System (NAICS) code for PWSs is 22131.

The NAICS codes for state agencies that include drinking water programs are 92411 

(Administration of Air and Water Resources and Solid Waste Management Programs) or 92312 

(Administration of Public Health Programs). Ancillary systems (i.e., those that supplement the 

function of other establishments like factories, power plants, mobile home parks, etc.) cannot be 

categorized in a single NAICS code. For ancillary systems, the NAICS code is that of the 

primary establishment or industry.

4(b) Information Requested

4(b)(i) Data Items

The data items that respondents will collect in implementing their responsibilities under 

the chemical-related drinking water regulations included in this ICR are summarized below. 

Each PWS is required to report to its primacy agency monitoring results received from 

laboratories. As required by 40 CFR 141.33, PWSs must either maintain analytical reports or 

transfer the following information regarding sample results:

• Date, place, and time of sampling. 

• Name of the person who collected the sample.

• Identification of the sample as a routine distribution system sample, check sample, 

raw or process water sample, or other special purpose sample.

• Date of analysis.

• Laboratory and person responsible for performing analysis.

• Contaminants for which the analysis was performed.

• Analytical technique/method used.

• Results of the analysis. 

PWSs are required to submit and keep records on additional information such as public 

education on lead, monitoring plans, waiver applications, and disinfection calculations.

Exhibit 2 further describes the respondent information collection requirements covered 

by the DDBP/Chem/Rads Rules ICR.
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Exhibit 2

PWS Recordkeeping and Reporting Requirements

Requirement Regulatory Citation Frequency/ Retention Period

General Requirements (apply to all regulations)

Reporting

Except where a different period is specified in an individual drinking water regulation, PWSs are 

required to submit the following to the state:

Results of any test 

measurement or analysis 

required in 40 CFR Part 141.

40 CFR 141.31(a) At the end of the required 

monitoring period

Failure to comply with any 

NPDWR, including failure to 

monitor.

40 CFR 141.31(b) and (c)

As necessary, unless state lab 

performs analysis and reports 

results to state

Copies of records required to be 

maintained under 40 CFR 

141.33 and/or copies of 

documents that the state is 

entitled to under section 1445 of 

SDWA or state law.

40 CFR 141.31(e) As requested

Recordkeeping

Except where a different period is specified in an individual drinking water regulation, PWSs are 

required to retain the following information:

Records of bacteriological, or 

chemical analyses and related 

information.

40 CFR 141.33(a)

5 years for bacteriological data; 

10 years for chemical data

Records of actions taken by the 

PWS to correct violations of 

NPDWRs.

40 CFR 141.33(b) 3 years after last action taken 

related to the violation

Copies of any written reports, 

summaries, or communications 

relating to sanitary surveys.

40 CFR 141.33(c) 10 years

Records concerning a variance 

or exemption granted. 40 CFR 141.33(d) 5 years following the expiration of the variance or exemption

Stage 1 DBPR

Reporting

Report to the state specified 

sampling information (including 

MCL or MRDL exceedances) 

about disinfectants, disinfection 

byproducts (DBPs), and DBP

precursors.

40 CFR 141.134(a) through (d) 

Quarterly or as necessary for 

systems sampling less 

frequently than quarterly

Develop and submit application 

to state for approval of 

alternative minimum total 

organic carbon (TOC) removal 

levels.

40 CFR 141.135(b)(3)and (4) As necessary

Develop and submit application 

to state for approval of waiver of 

enhanced coagulation 

requirements.

40 CFR 141.135(b)(4)(v) One time
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Requirement Regulatory Citation Frequency/ Retention Period

Stage 2 DBPR

Reporting

Develop and submit an Initial 

Distribution System Evaluation

(IDSE) Plan and Report or 40/30 

certification or very small system 

waiver.

40 CFR 141.600 One time

Recordkeeping

Records of IDSE Reports 40 CFR 141.601(c)(4) Ten years

Results of operational 

evaluations to be discussed with 

states

40 CFR 141.626 Ten years

Chemical Phase Rules (Phases II, IIB, and V)

Reporting 

Apply to state for asbestos 

monitoring waiver. 40 CFR 141.23(b)(2) and (4) Every 3 years, if applicable

Apply to state for inorganic 

compound (IOC) monitoring 

waiver.

40 CFR 141.23(c)(2) and (3) Every 9 years, if applicable

Apply to the state to conduct 

more frequent IOC monitoring. 40 CFR 141.23(h) One time, if applicable

Apply to state for volatile organic 

compounds (VOC) monitoring 

waiver.

40 CFR 141.24(f)(7) and (10) Every 6 years or frequency 

specified by state, if applicable

Apply to state for synthetic 

organic compound (SOC)

monitoring waiver.

40 CFR 141.24(h)(5) and 

141.24(h)(7)(iv) Every 3 years, if applicable

Notify state of MCL 

exceedances. 40 CFR 141.23(m) through (o) As necessary

Submit written treatment 

technique certification to state 

regarding acrylamide and 

epichlorohydrin levels.

40 CFR 141.111 Annually, if applicable

Radionuclides 

Reporting

Notify state of MCL 

exceedances for contaminants 

specified in 40 CFR 141.66(b)-

(e).

40 CFR 141.26(c)(5) As necessary

SWTR (only disinfection residual monitoring and associated activities)

Unfiltered Systems – Reporting

Disinfection information 

specified in 40 CFR 141.74(b) 40 CFR 141.75(a)(2)

Within 10 days after the end of 

each month the system serves 

water to the public

Filtered Systems - Reporting

Disinfection information 

specified in 40 CFR 141.74(c) 40 CFR 141.75(b)(2)

Within 10 days after the end of 

each month the system serves 

water to the public

Arsenic Rule

Subject to general requirements as listed above.
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Requirement Regulatory Citation Frequency/ Retention Period

Lead and Copper Rule, Including October 2008 Short Term Revisions

Reporting

Report to the state any 

information required by the 

treatment provisions in Subpart I 

(especially 40 CFR 141.90).

40 CFR 141.80(i) As required

Tap water and water quality parameters (WQP) monitoring requirements 

Water systems that exceed the 

lead action level must 

reevaluate lead service lines 

(LSLs) classified as “replaced” 

through testing if they resume 

lead service line replacement 

(LSLR) programs.

40 CFR 141.84(b) & (c) As necessary

Allows systems with less than 5 

taps to take one sample per tap 

if approved by state.

40 CFR 141.86 (c)

141.80(c)(3)(v) One time

Report the specified information 

for all tap water samples and all 

WQP samples.

40 CFR 141.90(a)(1) End of the applicable monitoring 

period

Provide written documentation 

to the state identifying standing 

times and locations for enough 

non-first-draw samples to make 

up its sampling pool under 40 

CFR 141.86(b)(5). 

40 CFR 141.90(a)(2)(i) As necessary

If the state has waived prior 

approval of non-first-draw 

sample sites selected by the 

system, identify, in writing, each 

site that did not meet the sixhour minimum standing time and 

the length of standing time for 

that particular substitute sample.

40 CFR 141.90(a)(2)(ii) As necessary

For a water system deemed to 

have optimized corrosion 

control, a water system subject 

to reduced monitoring, or a 

water system subject to a 

monitoring waiver, send written 

documentation to the state 

describing any addition of a new 

source or any change in water 

treatment. 

40 CFR 141.81(b)(3)(iii); As necessary

For a water system, prohibit 

systems that exceed the lead 

action level from initiating or 

remaining on reduced 

monitoring based solely on 

results of WQP monitoring

40 CFR 141.86(d)(4)(vi)(B)

As necessary
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Requirement Regulatory Citation Frequency/ Retention Period

For any small water system 

applying for a monitoring waiver, 

provide documentation to the 

state demonstrating that it meets 

the waiver criteria.

40 CFR 141.90(a)(4)(i) As necessary

For each small system desiring 

to maintain its monitoring 

waiver, provide written 

information to the state. 

40 CFR 141.90(a)(4)(ii) Every 9 years

For each small system with a 

monitoring waiver, provide 

written notification to the state if 

the system is no longer free of 

lead-containing or coppercontaining materials. 

40 CFR 141.90(a)(4)(iii) As necessary, within 60 days 

after becoming aware of change

For each ground water system 

that limits WQP monitoring to a 

subset of entry points, provide 

written correspondence to the 

state that identifies selected 

entry points and includes 

information sufficient to 

demonstrate that the sites are 

representative of water quality 

and treatment conditions 

throughout the system.

40 CFR 141.90(a)(5) One time, as necessary

Provide the specified information 

to the state if the state 

calculates the 90th percentile 

concentrations.

40 CFR 141.90(h)(2) End of monitoring period

Source water monitoring reporting requirements

Report the sampling results for 

all source water samples 

collected in accordance with 40 

CFR 141.88.

40 CFR 141.90(b)(1) End of monitoring period 

Specify any site which was not 

sampled during the previous 

monitoring period and explain 

why the sampling point has 

changed.

40 CFR 141.90(b)(2)

As necessary, end of monitoring 

period

Corrosion control treatment reporting requirements

For systems demonstrating 

optimized corrosion control, 

provide the state information 

demonstrating that the PWS has 

conducted activities equivalent 

to the applicable corrosion 

control steps.

40 CFR 141.81(b)(2), 

141.90(c)(1) One time, as necessary
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Requirement Regulatory Citation Frequency/ Retention Period

For systems demonstrating 

optimized corrosion control, 

submit results of tap water 

monitoring and source water 

monitoring. 

40 CFR 141.81(b)(3) As necessary

For systems deemed to have 

optimized corrosion control, 

notify the state in writing prior to 

any change in treatment or of 

the addition of a new source.

40 CFR 141.81(b)(3)(iii)

141.86(d)(4)(vii); 

141.86(g)(4)(iii); 141.90(a)(3) As necessary

Submit monitoring results that 

show two consecutive 

monitoring periods that meet 

both lead and copper action 

levels.

40 CFR 141.81(c) As necessary

Request in writing a modification 

of optimal CCT. 40 CFR 141.82(h) As necessary

For systems required to 

evaluate the effectiveness of 

CCTs, report the information 

required by 40 CFR 141.82(c). 

40 CFR 141.90(c)(3) As necessary

For systems required to install 

optimal corrosion control, submit 

a letter certifying that the system 

has completed installation. 

40 CFR 141.90(c)(4) As necessary

Source water treatment reporting requirements

Provide to the state a 

recommendation regarding 

source water treatment.

40 CFR 141.83(a)(1),

40 CFR 141.83(b)(1),

40 CFR 141.90(d)(1)

As necessary, within 6 months 

of exceeding action level

Request in writing a modification 

of source water treatment or 

maximum permissible lead and 

copper concentrations.

40 CFR 141.83(b)(6) As necessary

For systems required to install 

source water treatment, submit 

a letter certifying that the system 

has completed installation of the 

designated treatment. 

40 CFR 141.90(d)(2)

As necessary, within 24 months 

after state designates treatment

Public education program reporting requirements

Deliver written public education 

materials if a water system 

exceeds the lead action level 

based on tap water samples.

40 CFR 141.85(a) & (c)

As necessary, timing varies by 

type of system

Broadcast public service 

announcements if a CWS 

exceeds the lead action level 

based on tap water samples.

40 CFR 141.85(b) & (c) As necessary
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Requirement Regulatory Citation Frequency/ Retention Period

Water systems that exceed the 

lead action level must provide 

information to additional at-risk 

populations and must conduct 

specified public education 

activities. Water systems must 

include a statement on lead in 

their CCR. Water systems certify 

to state that activities have been 

conducted.

40 CFR 141.85(a) & (b);141.154 As necessary

Apply to the state in writing to 

alter specified public education 

language (CWSs only).

40 CFR 141.85(c)(7) As necessary

Water systems must provide 

consumers who occupy homes 

or buildings that are part of the 

utility’s monitoring program, with 

testing results when their 

drinking water is tested for lead 

and copper. Water systems 

certify to state that results have 

been distributed.

40 CFR 141.80(g); 141.85(d); 

141.90(f)(3) As necessary

For any water system that is 

subject to public education 

requirements, send written 

documentation to the state that 

contains specified information. 

40 CFR 141.90(f)(1) As necessary; end of each 

public education period

Primacy agencies review and maintain records on monitoring results, approve monitoring 

plans, waivers, treatment changes, public education, and other documents submitted by PWSs.

Primacy agencies report compliance and enforcement data to EPA, and apply to EPA for 

primacy to implement new drinking water regulations. Reporting and recordkeeping 

requirements for states are described in more detail in Exhibit 3.

Exhibit 3

Primacy Agency Recordkeeping and Reporting Requirements

Requirement Regulatory Citation Frequency/Retention Period

General Requirements (apply to all regulations)

Reporting

Submit reports to the 

Administrator containing new 

violations by PWS and new 

enforcement actions by states 

that occurred during the 

previous quarter.

40 CFR 142.15(a)(1) and (2) Quarterly
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Requirement Regulatory Citation Frequency/Retention Period

Recordkeeping

Maintain records of tests, 

measurements, analyses, 

decisions, and determinations 

performed on each PWS to 

determine compliance with 

applicable provisions of state 

primary drinking water 

regulations.

40 CFR 142.14(a) Varies 

Retain files, which shall include 

for each PWS in the state, 

records of any state approvals 

and records of any enforcement 

actions.

40 CFR 142.14(d)(2) and (3) 12 years

Stage 1 DBPR

Reporting 

Review and make determination 

regarding approval of 

application for use of alternative 

minimum TOC removal levels.

40 CFR 141.135(b)(1) As necessary

Review and make determination 

regarding application for 

approval of waiver of enhanced 

coagulation requirements.

40 CFR 141.135(b)(4)(v) One time, as necessary

Recordkeeping

Records of the currently 

applicable or most recent state 

determinations, including all 

supporting information and an 

explanation of the technical 

basis for each decision, made 

under the following provisions of 

40 CFR Part 141, Subpart L for 

the control of disinfectants and 

DBPs. 

40 CFR 142.14(d)(12) 12 years

Records of systems that are 

installing granular activated 

carbon or membrane 

technology. 

40 CFR 142.14(d)(12)(i) 12 years

Records of systems that are 

required, by the state, to meet 

alternative minimum TOC 

removal requirements or for 

whom the state has determined 

that the source water is not 

amenable to enhanced 

coagulation.

40 CFR 142.14(d)(12)(ii) 12 years

Records of Subpart H systems 

using conventional treatment 

meeting any of the alternative 

compliance criteria.

40 CFR 142.14(d)(12)(iii) 12 years

A register of qualified operators 

that have met the state 

requirements.

40 CFR 142.14(d)(12)(iv) 12 years
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Requirement Regulatory Citation Frequency/Retention Period

Records of systems with 

multiple wells considered to be 

one treatment plant.

40 CFR 142.14(d)(13) 12 years

Monitoring plans for Subpart H 

systems serving more than 

3,300 persons.

40 CFR 142.14(d)(14) 12 years

List of laboratories approved for 

analyses.

40 CFR 142.14(d)(15) 12 years

List of systems required to 

monitor for disinfectants and 

DBPs in accordance with Part 

141, Subpart L.

40 CFR 142.14(d)(16) 12 years

Stage 2 DBPR

Recordkeeping

A record of all current 

monitoring requirements and 

the most recent monitoring 

frequency decision pertaining to 

the contaminant.

40 CFR 142.14(a)(8) In perpetuity, until replaced or 

revised

Records of IDSE monitoring 

plans submitted by PWSs plus 

any modifications, until replaced 

by approved IDSE reports.

40 CFR 142.14(a)(8)(i) In perpetuity, until replaced or 

revised

Records of IDSE reports and 

40/30 certifications and any 

modifications required by the 

state, until replaced or revised.

40 CFR 142.14(a)(8)(ii) In perpetuity, until replaced or 

revised

Operational evaluations 

submitted by a system.

40 CFR 142.14(a)(8)(iii) Ten years

Special Primacy 

Requirements

An application for approval of a 

state program revision that 

adopts 40 CFR Part 141, 

Subpart L, must contain a 

description of how the state will 

accomplish the program 

requirements.

40 CFR 142.16(h) One time

Chemical Phase Rules (Phases II, IIB, and V)

Reporting 

Make determination regarding

asbestos waiver requests.

40 CFR 141.23(b)(3) and (4) 3 years, as necessary

Make determination regarding 

IOC waiver requests.

40 CFR 141.23(c)(2) through (4) 9 years, as necessary

Make determination regarding 

VOC waiver.

40 CFR 141.24(f)(7), (8), and 

(10)

6 years or frequency specified 

by state, as necessary

Make determination regarding

SOC waiver requests.

40 CFR 141.24(h)(5) and (6) 3 years, as necessary
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Requirement Regulatory Citation Frequency/Retention Period

Recordkeeping

Records for most recent 

vulnerability determination, 

including monitoring results and 

other data supporting the 

determination, the state’s 

findings, and any additional 

bases for such determination. 

40 CFR 142.14(d)(4) In perpetuity or until more 

current vulnerability 

determination has been issued

Records of all current 

monitoring requirements and 

most recent monitoring 

frequency decision pertaining to 

each contaminant, including the 

monitoring results and other 

data supporting the decision, 

the state’s findings, and any 

additional bases for such 

decision. 

40 CFR 142.14(d)(5) In perpetuity or until a more 

recent monitoring frequency 

decision has been issued

Records of most recent 

asbestos repeat monitoring 

determination, including 

monitoring results and other 

data supporting the 

determination, the state’s 

findings, and any additional 

bases for the determination and 

the repeat monitoring 

frequency.

40 CFR 142.14(d)(6) In perpetuity or until more 

current repeat monitoring 

determination has been issued

Records of annual certifications 

received from systems pursuant 

to Part 141, Subpart K 

demonstrating the system’s 

compliance with the treatment 

techniques for acrylamide 

and/or epichlorohydrin.

40 CFR 142.14(d)(7) 12 years

Radionuclides 

Reporting

Evaluate and draft written 

response for a system request 

to use historical monitoring 

data.

40 CFR 141.26(a)(2)(ii)(C) As necessary

Determine whether to designate 

a system as vulnerable and 

notify system of the 

determination.

40 CFR 141.26(b)(1) As necessary

Designate system using waters 

contaminated by nuclear facility 

effluent and notify system of 

determination.

40 CFR 141.26(b)(2) As necessary

Recordkeeping

Subject to general requirements as listed above.

SWTR (only disinfection residual monitoring and associated activities)

Reporting
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Requirement Regulatory Citation Frequency/Retention Period

Subject to general requirements as listed above

Recordkeeping

Records of disinfectant residual 

measurements and other 

parameters necessary to 

document disinfection 

effectiveness.

40 CFR 142.14(a)(4)(i) 1 year

Records of decisions to allow an 

unfiltered or filtered PWS to 

sample residual disinfectant 

concentration at alternate 

locations if it also has ground 

water source(s).

40 CFR 142.14(a)(4)(ii)(A)(4) 

and (6)

40 years, or 1 year after 

decision is reversed or revised

Records of any decision that a 

violation of monthly contact time 

(CT) compliance requirements 

was caused by circumstances 

that were unusual and 

unpredictable.

40 CFR 142.14(a)(4)(ii)(B)(1) 1 year

Records of any decision that a 

violation of the disinfection 

effectiveness criteria was not 

caused by a deficiency in 

treatment of the source water.

40 CFR 142.14(a)(4)(ii)(B)(2) 1 year

Records of any decision that 

failure to meet the disinfectant 

residual concentration 

requirements of 40 CFR 

141.72(a)(3)(i) was caused by 

circumstances that were 

unusual and unpredictable. A 

copy of the decision must be 

provided to the system.

40 CFR 142.14(a)(4)(ii)(C)(2) 40 years, unless filtration is 

installed

Records of decisions that an 

unfiltered or filtered system has 

no means for having a sample 

transported and analyzed for 

heterotrophic plate count by a 

certified laboratory under the 

requisite time and temperature 

conditions and that the system 

is providing adequate 

disinfection in the distribution 

system, so that the disinfection 

requirements do not apply, and 

the basis for the decision. A 

copy of the decision must be 

provided to the system.

40 CFR 142.14(a)(4)(ii)(C)(9) 

and (10), respectively

Until the decision is reversed or 

revised
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Requirement Regulatory Citation Frequency/Retention Period

Records of decisions that a 

system using a disinfectant 

other than chlorine may use CT 

99.9 values other than those in 

tables 2.1 or 3.1 and /or other 

operational parameters to 

determine if the minimum total 

inactivation rates are being met. 

A copy of the decision must be 

provided to the system.

40 CFR 142.14(a)(4)(ii)(C)(13) Until the decision is reversed or 

revised

Arsenic Rule

Reporting

Subject to general requirements 

as listed above

Recordkeeping

Subject to general requirements 

as listed above

Lead and Copper Rule

Reporting

Notify the system after an 

approval decision has been 

made in regards to the system’s 

request to add a new source of 

water or change a treatment 

process prior to implementation.

40 CFR 141.81(b)(3)(iii);

141.86(d)(4)(vii); 

141.86(g)(4)(iii); 141.90(a)(3)

As necessary

Provide written notice to PWSs 

explaining the basis for 

determining if the PWS has 

optimized corrosion control and 

specifying the water quality 

control parameters that 

represent optimal corrosion 

control.

40 CFR 141.81(b)(2) As necessary

Notify a system in writing of any 

determination requiring a 

system to repeat treatment 

steps previously completed.

40 CFR 141.81(c) As necessary

Specify corrosion control 

studies or optimal CCT (after a 

small or medium system 

exceeds the lead or copper 

action level).

40 CFR 141.81(e)(2) Within 18 months (medium 

systems) or 24 months (small 

systems) of exceedance

Designate optimal CCT (if a 

small or medium system has 

performed corrosion control 

studies).

40 CFR 141.81(e)(4) As necessary, within 6 months 

of system completing studies

For small and medium systems, 

designate optimal WQPs.

40 CFR 141.81(e)(7) As necessary, within 6 months 

of system completing follow-up 

sampling

Notify PWSs in writing of 

decisions on optimal CCT.

40 CFR 141.82(d)(2) As necessary

Modify determinations of 

optimal CCT in writing.

40 CFR 141.82(h) As necessary or as requested
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Requirement Regulatory Citation Frequency/Retention Period

Notify the system in writing of 

determinations regarding 

necessary source water 

treatment.

40 CFR 

141.83(a)(2),141.83(b)(2)

As necessary, within 6 months 

of submission of monitoring 

results

Notify the system in writing of 

designations for maximum 

permissible source water levels.

40 CFR 141.83(a)(5), 

141.83(b)(4)

As necessary within 6 months of 

completing tap and source water 

monitoring.

Provide in writing revised 

source water treatment or 

maximum permissible lead and 

copper concentrations along 

with a basis for the decision and 

an implementation schedule.

40 CFR 141.83(b)(6) As necessary or as requested

Review public education

materials content and consult 

on activities. Review and track 

system certification.

40 CFR 141.85(a) As necessary

Notify a system in writing if a 

shorter LSLR schedule is 

required.

40 CFR 141.84(e) As necessary, within 6 months 

after system triggered into LSLR

Review and track system 

certification regarding 

distribution of tap samples to 

individual monitoring locations.

40 CFR 141.80(g); 141.85(d); 

141.90(f)(3)

As necessary

Notify the system of approval of 

non-first-draw sample sites.

40 CFR 141.86(b)(5) As necessary

If applicable, review system 

request and approve in writing 

or by site verification the 

number of taps for sampling.

40 CFR 141.80(c)(3)(v); 141.86 

(c)

One time

Specify sampling locations 

when a system is conducting 

reduced monitoring.

40 CFR 141.86(c) As necessary

Notify the system in writing 

when the state determines that 

a system is eligible to 

commence reduced monitoring.

40 CFR 141.86(d)(4)(ii) & (iii) As necessary

Notify system of alternate period 

for collecting reduced lead and 

copper tap samples.

40 CFR 141.86(d)(4)(iv)(B) As necessary

Document in writing the 

decision and rationale for 

invalidating a sample.

40 CFR 141.86(f)(3) As necessary 

Notify the system in writing of its 

waiver determination and the 

conditions of the waiver.

40 CFR 141.86(g)(3) As necessary

Notify a system if its waiver has 

been revoked.

40 CFR 141.86(g)(5)(iii) As necessary

Review additional monitoring 

data and reports from systems 

that have exceeded the lead 

action level.

40 CFR 141.86(d)(4)(vi)(B)

As necessary
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Requirement Regulatory Citation Frequency/Retention Period

Report to EPA the following information related to each system’s compliance with lead and copper 

requirements:

For each large and medium 

PWS, all 90th percentile lead 

levels calculated during each 

monitoring period, and the first 

and last day of the monitoring 

period for which the 90th 

percentile lead level was 

calculated.

40 CFR 142.15(c)(4)(iii)(A) Quarterly

For each small PWS, the 90th 

percentile lead level calculated 

during each monitoring period in 

which the systems exceeds the 

lead action level, and the first 

and last day of each monitoring 

period in which an exceedance 

occurred.

40 CFR 142.15(c)(4)(iii)(B) Quarterly

For each PWS, the 90th 

percentile copper level 

calculated during each 

monitoring period in which the 

system exceeds the copper 

action level, and the first and 

last day of each monitoring 

period in which an exceedance 

occurred.

40 CFR 142.15(c)(4)(iii)(C) Quarterly

For each PWS for which the 

state has designated optimal 

WQPs or which the state has 

deemed to have optimized 

corrosion control, the date of the 

determination and the 

paragraph(s) under which the 

state made its determination.

40 CFR 142.15(c)(4)(iii)(D) Quarterly

For each PWS required to begin 

replacing LSLs, the date each 

system must begin 

replacement.

40 CFR 142.15(c)(4)(iii)(E) Quarterly

For each PWS that has 

implemented optimal corrosion 

control, completed applicable 

source water treatment 

requirements or completed 

LSLR requirements and the 

date of the state's determination 

that these requirements have 

been met.

40 CFR 142.15(c)(4)(iii)(F) Quarterly
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Requirement Regulatory Citation Frequency/Retention Period

Recordkeeping

Maintain records of currently 

applicable or most recent state 

determinations, including all 

supporting information and 

explanation of technical basis 

for each decision.

40 CFR 142.14(d)(8) 12 years

For any system deemed to be 

optimized, maintain records of 

any conditions imposed by the 

state to ensure the continued 

operation and maintenance of 

CCT in place.

40 CFR 142.14(d)(8)(i) 12 years

Maintain records of decisions to 

require a system to conduct 

CCT studies.

40 CFR 142.14(d)(8)(ii) 12 years

Maintain records of 

designations of optimal CCT. 

40 CFR 142.14(d)(8)(iii) 12 years

Maintain records of 

designations of optimal WQPs.

40 CFR 142.14(d)(8)(iv) 12 years

Maintain records of decisions to 

modify a PWS’s optimal CCT or 

WQPs.

40 CFR 142.14(d)(8)(v) 12 years

Maintain records of 

determinations of source water 

treatment.

40 CFR 142.14(d)(8)(vi) 12 years

Maintain records of 

designations of maximum 

permissible concentrations of 

lead and copper in source 

water.

40 CFR 142.14(d)(8)(vii) 12 years

Maintain records of 

determinations establishing 

shorter LSLR schedules.

40 CFR 142.14(d)(8)(viii) 12 years

Maintain records of 

determinations of additional 

monitoring requirements and/or 

other actions required to 

maintain optimal corrosion 

control by systems monitoring 

for lead and copper at the tap 

less frequently than once every 

six months that change 

treatment or add a new source 

of water.

40 CFR 142.14(d)(8)(ix) 12 years

Maintain records of systemspecific decisions regarding the 

content of written public 

education materials and/or the 

distribution of these materials.

40 CFR 142.14(d)(8)(x) 12 years
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Requirement Regulatory Citation Frequency/Retention Period

Maintain records of systemspecific determinations 

regarding use of non-first-draw 

samples at NTNCWSs and 

CWSs that operate 24 hours a 

day. 

40 CFR 142.14(d)(8)(xi) 12 years

Maintain records of systemspecific designations of 

sampling locations for systems 

subject to reduced monitoring.

40 CFR 142.14(d)(8)(xii) 12 years

Maintain records of systemspecific determinations 

pertaining to alternative sample 

collection periods for systems 

subject to reduced monitoring.

40 CFR 142.14(d)(8)(xiii) 12 years

Maintain records of 

determinations of small system 

monitoring waivers, waiver 

recertifications, and waiver 

revocations.

40 CFR 142.14(d)(8)(xiv) 12 years

Maintain records of 

determinations regarding 

representative entry point 

locations at ground water 

systems.

40 CFR 142.14(d)(8)(xv) 12 years

Maintain records of reports and 

any other information submitted 

by PWSs.

40 CFR 142.14(d)(9) 12 years

Maintain records of state 

activities to verify compliance 

with state determinations. 

40 CFR 142.14(d)(10)(i) 12 years 

Maintain records of state 

activities to verify compliance 

with the requirements related to 

partial LSLR and compliance 

with LSLR schedules. 

40 CFR 142.14(d)(10)(ii) 12 years

Maintain records of state 

activities to invalidate tap water 

lead and copper samples. 

40 CFR 142.14(d)(10)(iii) 12 years 

Maintain records of each 

system’s currently applicable or 

most recently designated 

monitoring requirements.

40 CFR 142.14(d)(11) 12 years or until a new decision, 

determination, or designation 

has been issued

4(b)(ii) Respondent Activities

PWSs and primacy agencies must complete the activities described in the sections below.
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Public Water Systems

PWSs are required to monitor for compliance with the MCLs or MRDLs as established in 

40 CFR Part 141, Subpart B. Public water system owners and operators are required to report 

laboratory results to the state at frequencies specified in EPA regulations. In addition, they are 

required to record, maintain, and report the analytical results of these monitoring efforts in 

accordance with 40 CFR Part 141, Subparts C and D. General activities carried out by PWSs 

implementing the regulations addressed in this ICR include:

• Planning activities associated with rule implementation, such as establishing 

monitoring plans.

• Data collection such as identifying sample sites and collecting samples.

• Analyzing samples collected.

• Processing, compiling, and reviewing information created.

• Developing and distributing reports and other documents.

• Recording and maintaining the information.

Specific activities are described in Exhibit 2.

Primacy Agencies

States are currently required to maintain records of state verification activities and each 

determination made and to report to EPA through SDWIS in accordance with state reporting 

requirements (section 142.14). Primacy agencies ensure the implementation of the rules covered 

by this ICR. To meet their responsibilities, the primacy agencies conduct the following 

activities:5

• Coordinate with EPA.

• Notify systems of requirements.

• Make compliance determinations.

• Provide training and technical assistance to PWSs.

• Maintain data management systems.

• Establish the monitoring schedules.

• Review plans and specifications.

• Enter monitoring and enforcement data.

• Keep records and supporting information, including state determinations and 

explanations for technical decisions regarding rule implementation.

Following is a detailed description of monitoring and other data collection and reporting 

requirements for each of the drinking water rules included in this ICR (see also Exhibit 3).

1) Stage 1 Disinfectants and Disinfection Byproducts Rule

The Stage 1 DBPR applies primarily to community water systems (CWSs) and 

nontransient noncommunity water systems (NTNCWSs) that add a chemical disinfectant 

 5 Some of the general activities conducted by states are included in the PWSS Program ICR (OMB 2040-0090).
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anywhere in the treatment process. Transient noncommunity water systems (TNCWSs) that add 

a disinfectant are subject to requirements on chlorine dioxide only. The regulation establishes: 

• MCL for total trihalomethanes (TTHMs) (40 CFR 141.64).

• MCLs for haloacetic acids (HAA5), bromate, and chlorite (40 CFR 141.64).

• MRDLs for chlorine, chloramines, and chlorine dioxide (40 CFR 141.65).

• Treatment techniques for DBP precursors (40 CFR 141.135).

• Best Available Technologies (BATs) for controlling DBPs and disinfectants (40 

CFR 141.64 and 141.65, respectively).

The information collection requirements necessary to comply with these requirements 

include monitoring, reporting, and recordkeeping. Public water systems must report the number 

of samples and the sampling site, date, and results of each sample taken in the last monitoring 

period. For many of the DBPs and disinfectants, systems must also calculate the running annual 

average of sample results to determine compliance with the MCL or MRDL. All systems are 

required to conduct compliance monitoring in this ICR period. The Stage 2 DBPR modified how

compliance with the MCLs for TTHM and HAA5 is calculated. For public water systems that 

take samples at more than one sampling site, the MCL is now calculated based on a running 

annual average at each sampling location rather than by averaging the sampling results at 

different locations. Other Stage 1 DBPR requirements remain unchanged.

MAXIMUM CONTAMINANT LEVELS (MCLs)

TTHM and HAA5 MCLs

(a) Small Subpart H6 Systems Serving Fewer Than 500 People

• Routine Monitoring (40 CFR 141.132). CWSs and NTNCWSs must take one 

sample per plant per year for both TTHM and HAA5.

• Reduced Monitoring (40 CFR 141.132). No reduced monitoring is allowed.

• Compliance Requirements (40 CFR 141.133). If the average of samples taken 

during the year exceeds the MCL, the system must increase monitoring to one 

sample per plant per quarter. Compliance with the MCL is based on an annual 

arithmetic average. 

(b) Small Subpart H Systems Serving 500-9,999 People

• Routine Monitoring (40 CFR 141.132). CWSs and NTNCWSs must take one 

sample per plant per quarter for both TTHM and HAA5.

• Reduced Monitoring (40 CFR 141.132). Systems with annual average TTHM < 

0.040 mg/L and HAA5 < 0.030 mg/L and source water TOC < 4.0 mg/L prior to 

treatment may reduce monitoring to one sample per plant per year. If a system 

exceeds 0.060 mg/L or 0.045 mg/L for TTHM or HAA5 respectively, it must 

revert to routine monitoring.

 6 Subpart H systems include all PWSs using surface water or ground water under the direct influence of surface 

water as a source (40 CFR 141.2).
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(c) Large Subpart H Systems Serving at Least 10,000 People

• Routine Monitoring (40 CFR 141.132). CWSs and NTNCWSs must take four 

samples per plant per quarter for both TTHM and HAA5.

• Reduced Monitoring (40 CFR 141.132). Systems with annual average TTHM < 

0.040 mg/L and HAA5 < 0.030 mg/L and source water TOC < 4.0 mg/L prior to 

treatment may reduce samples to one sample per plant per quarter. If a system 

exceeds 0.060 mg/L or 0.045 mg/L for TTHM or HAA5 respectively, it must 

revert to routine monitoring.

(d) Small Ground Water Systems Serving Fewer Than 10,000 People

• Routine Monitoring (40 CFR 141.132). CWSs and NTNCWSs must take one 

sample per plant per year for both TTHM and HAA5.

• Reduced Monitoring (40 CFR 141.132). Systems with annual average TTHM < 

0.040 mg/L and HAA5 < 0.030 mg/L for 2 consecutive years or TTHM < 0.020 / 

HAA5 < 0.015 for one year may reduce samples to one sample per plant per 

three-year monitoring cycle.

• Compliance Requirements (40 CFR 141.133). If the average of samples taken 

during the year exceeds the MCL, the system must increase monitoring to one 

sample per plant per quarter. Compliance with the MCL is based on an annual 

arithmetic average.

(e) Large Ground Water Systems Serving at Least 10,000 People

• Routine Monitoring (40 CFR 141.132). CWSs and NTNCWSs must take one 

sample per plant per quarter for both TTHM and HAA5.

• Reduced Monitoring (40 CFR 141.132). Systems with annual average TTHM < 

0.040 mg/L and HAA5 < 0.030 mg/L may reduce samples to one sample per plant 

per year. If a system exceeds 0.060 mg/L or 0.045 mg/L for TTHM or HAA5 

respectively, it must revert to routine monitoring.

Chlorite MCL

Chlorite is an inorganic DBP formed when drinking water is treated with chlorine 

dioxide. The MCL for chlorite is 1.0 mg/L. CWSs and NTNCWSs that use chlorine dioxide must 

conduct chlorite monitoring.

• Routine Daily Monitoring (40 CFR 141.132). Systems must take daily samples 

at the entrance to the distribution system. If any sample exceeds the MCL, the 

system must take additional samples the following day at the following three 

locations: as close as possible to the first customer; a location representative of 

average residence time; and a location reflecting the maximum residence time.

• Routine Monthly Monitoring (40 CFR 141.132). Each month, systems must 

take one sample at each of the three following distribution system locations: near 
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the first customer, at a location representative of average residence time, and at a 

location reflecting maximum residence time in the distribution system.

• Reduced Monthly Monitoring (40 CFR 141.132). After one year of routine 

monitoring, systems may reduce to one 3-sample set per quarter if the MCL has 

not been exceeded during that year by any individual sample and the system has 

not been required to take any follow-up samples. A system may remain on 

reduced monitoring if all three of the individual chlorite samples do not exceed 

the MCL. If a system conducting reduced monitoring exceeds the MCL and the 

daily sample does not exceed the MCL, it must revert to routine monitoring.

Bromate MCL

Bromate is one of the principal byproducts of ozonation in source water containing 

bromide. The MCL for bromate is 0.010 mg/L. CWSs and NTNCWSs that use ozone for 

disinfection or oxidation must conduct bromate monitoring. 

• Routine Monitoring (40 CFR 141.132). Systems must take one sample per 

month for each plant using ozone at the entrance to the distribution system while 

the ozonation system is in operation.

• Reduced Monitoring (40 CFR 141.132). A system may take one sample per 

plant per quarter if its annual average source water bromide concentration is less 

than 0.05 mg/L, based on a monthly measurement. If the running annual average 

bromide concentration is >0.05 mg/L, the system must conduct routine 

monitoring. The system must continue to monitor for bromide to remain on 

reduced bromate monitoring.

MAXIMUM RESIDUAL DISINFECTANT LEVELS (MRDLs) 

Disinfectants are added during water treatment to control waterborne microbial 

contaminants. Some residual disinfectants will remain in water after treatment. Setting MRDLs 

protects public health by limiting the level of residual disinfectant in drinking water while 

ensuring sufficient disinfectant remains in the drinking water to protect against waterborne 

microbial contaminants.

Chlorine and Chloramines MRDLs

Chlorine is a widely used disinfectant. The MRDL for chlorine is 4.0 mg/L. Chloramines 

are formed when ammonia is added during chlorination to suppress formation of many 

byproducts. The MRDL for chloramines is 4.0 mg/L (measured as Cl2).

• Routine Monitoring (40 CFR 141.132). CWSs and NTNCWSs must take 

samples for the residual disinfectant levels at the same points in the distribution 

system and at the same time as total coliform samples.
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Chlorine Dioxide MRDL

Chlorine dioxide is used primarily for the oxidation of taste- and odor-causing organic 

compounds in water. About 60 to 70 percent of the chlorine dioxide is converted to chlorite in 

the treatment process. This provision applies to CWSs, NTNCWSs, and TNCWSs.

• Routine Monitoring (40 CFR 141.132). Systems must take a daily sample at the 

entrance to the distribution system. If any sample exceeds the MRDL, the system 

must take three additional samples the following day in the distribution system.

DBP PRECURSORS

Subpart H systems employing conventional filtration must monitor for TOC and 

alkalinity in their source and finished water. These samples determine treatment technique 

requirements.

• Routine Monitoring (40 CFR 141.132). Systems must take one paired sample 

per month of TOC in source water and treated water. These samples must be 

taken simultaneously. Additionally, systems must take one alkalinity sample per 

month at the same time as the source water TOC sample.

• Reduced Monitoring (40 CFR 141.132). Systems may take one paired sample 

per quarter if their average treated water TOC is less than 2.0 mg/L for two 

consecutive years or less than 1.0 mg/L for one year. The alkalinity sample is 

taken at the same time. If the average treated water TOC in these systems is > 2.0 

mg/L, the public water system must conduct routine monitoring.

MONITORING PLANS

Under the Stage 1 DBPR, each public water system was required to develop a monitoring 

plan (40 CFR 141.132), and have the plan readily available to the public and the state. The state 

may require changes in any element of the system’s monitoring plan.

2) Stage 2 Disinfectants and Disinfectant Byproducts Rule

The Stage 2 DBPR builds on the 1998 Stage 1 DBPR by requiring reduced levels of 

disinfectant byproducts (DBPs) in distribution systems. The Stage 2 DBPR is designed to reduce 

DBP occurrence peaks in the distribution system. The numerical MCLs for the Stage 2 DBPR 

are the same as for the Stage 1 DBPR MCLs. In Stage 2 DBPR, the TTHM and HAA5 MCLs 

compliance is determined at each monitoring location, while Stage 1 DBPR requires a system to 

average results over all monitoring locations.

Each rule activity is described below. Implementation activities and IDSEs, along with 

Stage 2 monitoring plans, were completed during previous ICR periods.

Systems

Most PWSs will be involved in the following collection activities:
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Additional Routine Monitoring

Under Stage 2 DBPR, public water systems determined the number of samples and the locations 

of the sampling sites to comply with the regulation. In some cases, the number of samples and 

locations remained the same as in Stage 1 DBPR. These activities continue during this ICR 

period and are based on the monitoring plan submitted during a previous ICR period. The 

compliance date varies based on system size and other factors. Systems activities are included 

below:

• Conduct additional routine monitoring.

• Determine if provisions for reduced monitoring are satisfied.

• Determine if increased monitoring is required.

Operational Evaluations 

A system exceeds an operational evaluation level at any monitoring location when the 

sum of the two previous quarters’ compliance monitoring results plus twice the current quarter’s 

result at one location, divided by 4, exceeds 80 μg/L for TTHM or 60 μg/L for HAA5. If an 

operational evaluation level is exceeded, systems must:

• Conduct an operational evaluation.

• Submit a written report to the state no later than 90 days after being notified of the 

analytical result that resulted in the operational evaluation level exceedances.

States

State officials serve as respondents when reporting compliance data to EPA. States are 

currently required to maintain records of verification activities and each determination made and 

report to EPA through SDWIS.

States are anticipated to be involved in several activities as described below. Note that

state review of IDSE reports and proposed monitoring plans was completed during a previous 

ICR period.

Additional Routine Monitoring

• Review and evaluate monitoring data submitted by systems.

Operational Evaluations

• Review operational evaluations from systems.
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Recordkeeping

In addition to existing recordkeeping requirements, states must follow Stage 2 DBPR

specific recordkeeping requirements in section 142.14(a)(8) which include: 

• Any decisions made pursuant to IDSE and Stage 2 DBPR site requirements, until 

replaced or revised.

• Records of IDSE reports and 40/30 certifications and any modifications required by 

the state, until replaced or revised.

• Operational evaluations submitted by a system, for 10 years following submission.

3) Chemical Phase Rules

The chemical monitoring requirements apply only to CWSs and NTNCWSs, except that 

TNCWSs must sample for nitrate and nitrite. Monitoring requirements follow the standardized 

monitoring framework (SMF) schedule established by the rule. Under the SMF, 9-year 

compliance cycles were established; the first cycle lasted from January 1, 1993 to December 31, 

2001; the second cycle began on January 1, 2002, and ends on December 31, 2010; and the third 

cycle began January 1, 2011 and will end December 31, 2019. Each nine-year cycle consists of 

three, 3-year compliance periods (e.g., from January 1, 2011, to December 31, 2013; from 

January 1, 2014, to December 31, 2016; and from January 1, 2017, to December 31, 2019).

The compounds and contaminants addressed by the Chemical Phase Rules are listed in 

Exhibit 4. A more detailed description of the monitoring requirements for inorganic compounds 

(IOCs), volatile organic compounds (VOCs), and synthetic organic compounds (SOCs) follows.

Exhibit 4

Regulated Organic Compounds and Inorganic Chemicals

Phase of 

Regulation

Inorganic Chemicals Synthetic Organic 

Compounds

Volatile Organic 

Compounds

Phase I7 N/A N/A Benzene

Carbon tetrachloride

p-Dichlorobenzene

Trichloroethylene

Vinyl Chloride

1,1,1-Trichloroethane

1,1-Dichloroethylene

1,2-Dichloroethane

 7 The Phase I rule contaminants were included for completeness. However, the Phase II rule superseded the Phase I 

rule. Some of the Phase I unregulated contaminants became regulated under Phase II and additional contaminants 

were added to the list of unregulated contaminants.
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Phase of 

Regulation

Inorganic Chemicals Synthetic Organic 

Compounds

Volatile Organic 

Compounds

Phase II Asbestos

Cadmium

Chromium

Fluoride

Mercury

Nitrate

Nitrite

Selenium

Alachlor

Atrazine

Carbofuran

Chlordane

Ethylene dibromide

DBCP

Heptachlor

Heptachlor epoxide

Lindane

Methoxychlor

Toxaphene

Polychlorinated byphenyl

2,4-D

2,4,5-TP (Silvex)

cis-1,2-Dichloroethylene

Ethylbenzene

Monochlorobenzene

o-Dichlorobenzene

Styrene

Tetrachloroethylene

Toluene

trans-1,2-

Dichloroethylene

Xylenes

1,2-Dichloropropane

Phase IIB Barium Pentachlorophenol N/A

Phase V Antimony

Beryllium

Cyanide

Nickel (remanded)

Thallium

Benzo(a)pyrene

Dalapon

Di(2-ethylhexyl)-adipate

Di(2-ethylhexyl)-phthalate

Dinoseb

Diquat

Endothall

Endrin

Glyphosate

Hexachlorobenzene

Hexachlorocyclopentadiene

Oxamyl

Picloram

Simazine

2,3,7,8-TCDD (Dioxin)

Dichloromethane

1,1,2-Trichloroethane

1,2,4-Trichlorobenzene

Arsenic Rule Arsenic NA NA

INORGANIC CHEMICALS

This section summarizes the IOC monitoring requirements for the last year of the second 

3-year compliance period and the first two years of the third 3-year compliance period of the 

third 9-year compliance cycle. The third 9-year compliance cycle began on January 1, 2011, and 

the third 3-year compliance period begins on January 1, 2017. For the purposes of monitoring 

requirements, the IOCs regulated under Phases II and IIB are asbestos, barium, cadmium, 

chromium, fluoride, mercury, nitrite, nitrate, and selenium. The IOCs regulated by Phase V are 

antimony, beryllium, cyanide, and thallium. The MCL for nickel, which was initially included as 

part of Phase V, was remanded on February 9, 1995. This means that, while many water 

suppliers continue to monitor nickel levels in their water, there is currently no EPA legal limit on 

the amount of nickel in drinking water. Arsenic was regulated under the 1976 standards for IOCs 

but is now addressed separately in the Arsenic Rule.

During each 3-year compliance period, ground water systems must take one sample at 

each sampling point. Surface water systems must take one sample annually at each sampling 

point. If results from any sampling events are above the MCL, the PWS must begin quarterly 
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sampling during the next calendar quarter. The PWS must continue quarterly sampling until the 

state determines that the samples are reliably and consistently below the MCL based on at least 

two consecutive quarterly samples for ground water systems and four consecutive quarters for 

surface water systems. Once the samples are reliably and consistently below the MCL, ground 

water systems are then required to sample triennially, and surface water systems must sample 

annually.

After three consecutive sampling rounds in which sampling results are below the MCL, a 

PWS may apply to the state for a waiver. Should the state grant a waiver, the PWS is required to 

sample only once every nine years. IOC waivers must be renewed every nine years.

VOLATILE ORGANIC COMPOUNDS

This section summarizes VOC monitoring requirements for most of the third 3-year 

compliance period of the third compliance cycle, as described in 40 CFR 141.24(f).

For VOCs, surface water systems must take one sample annually at each sampling point.

During each three-year compliance period, ground water systems must take one sample at each 

sampling point (after initially sampling annually). If any sample exceeds the method detection 

limit (MDL) of 0.0005 mg/l, the PWS must begin quarterly monitoring during the next calendar 

quarter. Quarterly sampling must continue until the state determines that the samples are reliably 

and consistently below the MCL based on at least two consecutive quarterly samples for ground 

water systems and four consecutive quarters for surface water systems. However, if the detection 

that triggered the increased sampling exceeds the MCL, the PWS must take a minimum of four 

consecutive quarterly samples, regardless of whether it is served by ground water or surface 

water. Once the samples are reliably and consistently below the MCL, the state may reduce the 

sampling frequency to once per year, provided repeat sampling is conducted during the calendar 

quarter that previously yielded the highest analytical result.

Systems may apply to the state for a waiver after initial monitoring provided VOCs are 

not detected. The maximum waiver period for ground water sampling points is six years. The 

initial waiver must be renewed within the first three years of issuance, but subsequent waivers 

may be renewed at the end of the six-year period. A ground water system must collect one 

sample within the first compliance period and at least one sample during each six-year waiver 

period. For surface water systems, the maximum waiver period is three years, but there is no 

minimum federal sampling frequency. The state determines the sampling schedule for surface 

water systems with a three-year waiver.

SYNTHETIC ORGANIC COMPOUNDS

This section summarizes the SOC monitoring requirements for most of the third 3-year 

compliance period of the third compliance cycle, as described in 40 CFR 141.24(h). 

Systems serving more than 3,300 people are required to take two SOC samples every 

three years. For systems that serve fewer than 3,300 people, one sample is required every three 

years. If a contaminant is detected at any sampling point, the water system must begin quarterly 
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sampling during the next calendar quarter. Quarterly sampling must continue until the state 

determines that the samples are reliably and consistently below the MCL based on at least two 

consecutive quarterly samples for ground water systems and four consecutive quarters for 

surface water systems. However, if the detection that triggered the increased sampling exceeds 

the MCL, then the PWS must take a minimum of four consecutive quarterly samples, regardless 

of whether it is served by ground water or surface water. Once the samples are reliably and 

consistently below the MCL, the state may reduce the sampling frequency to once per year, 

provided repeat sampling is conducted during the calendar quarter that previously yielded the 

highest analytical result.

After three years of annual monitoring without SOC detections, systems may apply for a 

waiver. Waivers are effective for one compliance period (i.e., three years). They must be 

renewed in each subsequent compliance period, or the system must return to the sampling 

frequency specified for its size.

4) Radionuclides Rule

On December 7, 2000, EPA promulgated a revised radionuclides regulation. The revised 

rule completely supersedes the requirements established in the original 1976 Rule. The 

Radionuclides Rule, which is applicable only to CWSs, revised and amended 40 CFR Parts 141 

and 142 and: 

• Sets an MCLG of zero for all radionuclides.

• Maintains the 1976 gross alpha MCL of 15 PicoCuries per liter (pCi/L) (which 

includes combined radium-226/-228 and excludes uranium and radon).

• Maintains the 1976 MCL of 5 pCi/L for combined radium-226 and radium-228.

• Maintains the 1976 beta particle and photon radioactivity MCL of 4 millirem per 

year (mrem/yr).

• Sets an MCL of 30 μg/L for uranium.

• Establishes separate monitoring requirements for radium-226 and radium-228.

• Maintains the beta/photon screening levels set in the 1976 Rule for vulnerable 

systems (as deemed by the state). Surface water systems serving greater than 

100,000 persons will no longer be required to monitor unless they are deemed 

vulnerable.

• Revises sampling, compliance, and monitoring waivers to SMF at entry points to 

the distribution system. States have discretion in grandfathering existing 

distribution system data for determining initial monitoring baselines.

5) Disinfectant Residual Monitoring and Associated Activities under the SWTR8

As mentioned earlier, the majority of the SWTR requirements, with the exception of 

disinfectant residual monitoring, are addressed in the Microbial Rules ICR. Specific disinfectant 

residual monitoring required by the SWTR and covered under this ICR includes:–

 8 Includes only the rule components relating to disinfectant residual monitoring. The remaining SWTR requirements 

are included in the Microbial Rules ICR.
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• Periodic disinfectant residual monitoring from the distribution system for Subpart 

H systems. (40 CFR 141.74 (b)(6)(i) for unfiltered systems and 40 CFR

141.74(c)(3)(i) for systems that filter).

• Continuous disinfectant residual monitoring at entry points into the distribution 

system. (40 CFR 141.74 (b)(5) for unfiltered systems and 40 CFR 141.74(c)(2) 

for systems that filter).

9

• Calculation of inactivation ratios for unfiltered systems using CT values (40 CFR

141.74 (b)(3)).

10

6) Arsenic Rule

The Arsenic Rule was promulgated January 22, 2001, and requires that CWSs and 

NTNCWSs follow the SMF. As previously described for the Chemical Phases Rule, the SMF is 

conducted within the schedule of a 9-year compliance cycle. The compliance cycle is 

subsequently composed of three, 3-year periods.

Routine Monitoring

Groundwater systems must take a sample at each entry point to the distribution system 

once every three years; surface water systems must sample at each entry point annually.

Triggered monitoring as a result of a violation requires the system to monitor quarterly beginning 

in the next quarter after the violation has occurred. Only after a system has taken two 

consecutive groundwater samples or four consecutive surface water samples and the state has 

determined that the system is “reliably and consistently” below the MCL (40 CFR 141.23(c)(8)) 

may the system return to routine monitoring.

The rule also allows systems to receive nine-year monitoring waivers. During the waiver 

period, a system must take a minimum of one sample. To receive a waiver, a system must 

demonstrate that during the previous three rounds of monitoring all results were less than the 

MCL and there was adequate source protection. Systems with waivers are expected to reapply 

during the current ICR period.

7) Lead and Copper Rule

CWSs and NTNCWSs are required to comply with the LCR. In general, the LCR 

requires each of these water systems to undertake the following activities:

11

 9 Systems that serve 3,300 or fewer people may take grab samples in lieu of providing continuous monitoring.

10 CT is the product of residual disinfectant concentration (C) in mg/l determined before or at the first customer, and 

the corresponding disinfectant contact time (T) in minutes. If a PWS applies disinfectants at more than one point 

prior to the first customer, it must determine the CT of each disinfectant sequence before or at the first customer to 

determine the total percent inactivation or total inactivation ratio.

11 For existing systems, some of these requirements may not fall within the collection period for this ICR. See 

Appendix H for detail related to assumptions and burden calculations for these activities.
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• Plan monitoring and other activities.

• Provide training to appropriate staff and to residents collecting samples.

• Identify appropriate sampling sites and collect samples.

• Review sample data, including the calculation of lead and copper 90th percentile 

levels.

• Submit to the state monitoring data and any other documents or reports.

• Record and maintain information.

In addition, some systems must submit corrosion control studies, recommend and submit 

information regarding the completion of CCT or source water treatment installation, conduct 

public education, or conduct LSL monitoring, notification, and replacement.

The short term revisions to the LCR apply to CWSs and NTNCWSs, as with the LCR. In 

addition to the LCR requirements, the revisions require systems to undertake the following 

activities:

 Take additional tap samples for lead if the lead action level of 0.015 mg/L is 

exceeded.

 Provide revised public education materials according to revised delivery requirements 

if the lead action level is exceeded, including a statement on lead in the CCR.

 Notify the state before making long term treatment changes.

 Notify customers of results of samples taken at their homes.

 Retest LSLs previously exempted from replacement if the lead action level is 

exceeded.
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5 INFORMATION COLLECTED — AGENCY ACTIVITIES,

COLLECTION METHODOLOGY, AND INFORMATION 

MANAGEMENT

5(a) Agency Activities

As part of its supervisory responsibility, EPA maintains SDWIS and evaluates SDWIS 

data to determine system compliance. EPA personnel also reformat, distribute, and store these 

data for a number of uses, including responding to Congressional and public inquiries. EPA also 

oversees the EPA Regional and state programs, provides technical assistance, and develops 

policies designed to ensure consistent program implementation. EPA officials serve as 

respondents when testifying to Congress on the PWSS Program or in the courts for enforcement 

actions.

EPA’s requirements are outlined in Exhibit 5 below. Most of the burden and costs for 

these activities are addressed in the PWSS Program ICR (OMB No. 2040-0090). Section 5(a) of 

the PWSS Program ICR contains additional detail regarding the activities supported by the 

collection of SDWIS data described above. Details regarding potential burden and cost 

reductions in future ICR periods are provided in section 5(b) of the PWSS Program ICR.

EPA will also conduct primacy activities in states, tribes and territories that do not have 

primacy. Specifically, EPA will be involved in the following activities:

• Mobilization, planning, and implementation.

• Training PWS and consultant staff.

• Analyzing and reviewing PWS data.

• Making determinations concerning PWSs.

• Compliance tracking.

• Recordkeeping.

However, burden and costs for these activities are accounted for under the primacy agency 

burden (see section 6).
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Exhibit 5

EPA Requirements

Requirement Regulatory Citation Frequency

General Requirements (apply to all regulations)

For states and other entities for 

which the Agency maintains 

primacy, the Agency must 

maintain the records and 

perform the reporting activities 

required of states.

40 CFR 142.14 and 142.15 As necessary

Review state request for 

approval of a program revision 

and notify state of determination 

regarding request.

40 CFR 142.12(d)(3) One time, as necessary

Stage 1 DBPR

Subject to general requirements as listed above.

Stage 2 DBPR

Subject to general requirements as listed above.

Chemical Phase Rules (Phases II, IIB, and V)

Subject to general requirements as listed above.

Radionuclides 

Subject to general requirements as listed above.

SWTR (only disinfectant residual monitoring and associated activities)

Subject to general requirements as listed above.

Arsenic Rule

Subject to general requirements as listed above.

Lead and Copper Rule

Subject to general requirements as listed above.

5(b) Collection Methodology and Management

Primacy agencies must report data to EPA on a quarterly basis. These data include any 

new data and revisions or corrections to existing data. This information is maintained in 

SDWIS12, which contains the following: 

• Inventory data for each PWS.

• Violations.

• Enforcement actions and some follow-up activity.

• Variances and exemptions (where applicable).

Primacy agencies primarily transmit SDWIS data to EPA electronically. In the District of 

Columbia, Wyoming, and Indian Lands (except for the Navajo Nation, which has primacy), 

results of system samples are sent directly to EPA.

 12 The public can access the violation data in SDWIS online at 

http://water.epa.gov/scitech/datait/databases/drink/sdwisfed/howtoaccessdata.cfm.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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SDWIS data support a number of rule implementation and program management 

activities, which promote consistent national program implementation. SDWIS data is used to 

identify compliance trends with specific regulations, prioritize public water systems that might 

require training and technical assistance to return to compliance, and provide insights into 

primacy agency’s interpretation of regulations. 

All costs for rule-related data management activities are addressed in the PWSS Program 

ICR (OMB No. 2040-0090). Section 5(b) of the PWSS Program ICR contains additional detail 

regarding the activities supported by the previously described collection of SDWIS data. 

5(c) Small Entity Flexibility

In developing chemical monitoring rules contained in this ICR, EPA considered the 

requirement of the Small Business Regulatory Enforcement Fairness Act (SBREFA) to minimize 

the burden of information collections on small entities. Small entities include “small businesses,” 

“small organizations” and “small government jurisdictions.” These terms are defined below.

13

• A small business is any business that is independently owned and operated and 

not dominant in its field, as defined by the Small Business Administration 

regulations under section 3 of the Small Business Act.

• A small organization is any non-profit enterprise that is independently owned 

and operated and not dominant in its field.

• A small governmental jurisdiction is the government of a city, county, town, 

township, village, school district, or special district that has a population of fewer 

than 50,000. This definition may also include Indian Tribes.

The major requirement under SBREFA is a regulatory flexibility analysis of all rules that 

have a “significant economic impact on a substantial number of small entities.” This ICR is not 

associated with new rules. Therefore, this ICR is not subject to the SBREFA. 

EPA has made significant efforts to minimize the burden for all respondents, particularly 

for small entities. These efforts are described below. 

1) Stage 1 Disinfectants and Disinfection Byproducts Rule

The Stage 1 DBPR includes requirements tailored to small systems such as reduced

monitoring frequency for systems producing finished water below the MCLs and MRDLs, and 

allowing rule requirements to begin up to five years after promulgation of the rule.

2) Stage 2 Disinfectants and Disinfection Byproducts Rule

The Agency took specific steps to minimize the burden of the IDSE on PWSs. For 

example, the rule included a VSS waiver, which allowed PWSs serving fewer than 500 people to 

be waived from conducting the IDSE. Small systems required to conduct IDSE, collected fewer 

 13 These definitions were taken from section 601 of the Regulatory Flexibility Act (RFA).
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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samples than larger systems. As with the Stage 1 DBPR, compliance monitoring requirements 

are based on population served, allowing small systems to collect fewer compliance samples.

3) Chemical Phase Rules

For the contaminants regulated under the Phase II regulation, the provisions established 

in the SMF are intended to minimize burden on small entities by allowing systems to composite 

as many as five samples and by allowing states to grant waivers, which reduce monitoring 

requirements.

For Phase V chemicals, EPA has taken steps to minimize the burden on PWSs by 

allowing systems serving fewer than 3,300 people to composite among different systems 

provided the five sample limit is maintained. Sample collection has also been simplified by 

allowing the same sampling locations to be used for all source water-related monitoring.

4) Radionuclides Rule

The monitoring requirements for radionuclides apply only to CWSs. 

5) Disinfectant Residual Monitoring and Associated Activities under the SWTR

The rule allows systems serving 3,300 and fewer people to substitute grab sampling for 

continuous disinfectant residual monitoring. This enables small systems to avoid capital costs 

associated with continuous monitoring equipment. The number of compliance samples is based 

on the population served by the PWS. For example, systems serving 500 or fewer people are 

required to take one sample, while systems serving 2,501 to 3,300 people are required to take 

four samples. 

6) Arsenic Rule

In the Arsenic Rule, states are able to grant monitoring waivers to systems that are 

reliably and consistently below the MCL. These waivers will reduce the compliance cost for 

some small systems and will decrease the number of times a system must conduct routine 

monitoring. The monitoring requirements still allow systems to composite up to five samples.

Compositing samples allows systems to reduce the laboratory costs associated with monitoring.

7) Lead and Copper Rule

The LCR reduced to the extent practicable and appropriate the burden on small PWSs. 

The regulations include different compliance or reporting requirements such as allowing states to 

permit systems to take 1 sample per tap in systems that have fewer than 5 taps. 

5(d) Collection Schedule

Exhibit 6 contains a summary of the collection schedules for each rule. Given the wide 

range of phase-in schedules for the respective rules, additional information may be obtained by 

consulting the individual rules for specific collection schedules.
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Exhibit 6

Collection Schedule14

Rule Collection Commencement

Disinfectant residual monitoring and 

associated activities for the SWTR 1991/1993 (depending on filtration status)

Phase II 1993

Phase IIB 1993

Phase V 1996

Stage 1 DBPR 2002/2004 (depending on system size and source)

Stage 2 DBPR 2006

Radionuclides Rule 2003

Arsenic Rule 2006/2007 (depending on source water)

Lead and Copper Rule 1994

 14 Collection schedule is based on the commencement of monitoring requirements. Startup activities are typically 

completed prior to these dates.
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6 ESTIMATING BURDEN AND COST OF COLLECTION

This section estimates the burden and cost to PWSs, primacy agencies, and EPA for 

complying with drinking water information collection requirements associated with chemical 

contaminant-related rulemakings. These rulemakings include the following:

1) Stage 1 Disinfectants and Disinfection Byproducts Rule

2) Stage 2 Disinfectants and Disinfection Byproducts Rule

3) Chemical Phase Rules

4) Radionuclides

5) Disinfectant Residual Monitoring and Associated Activities under the 

Surface Water Treatment Rule15

6) Arsenic Rule

7) Lead and Copper Rule16

This section also discusses the assumptions used to estimate burden and costs and 

describes the change in annual burden, as compared with the 2012 DDBP/Chem/Rads Rules 

ICR. This ICR updates the annual burden and costs associated with these rulemakings for 

January 1, 2016 through December 31, 2018.

EPA is committed to accurately characterizing the burden and costs of rules it 

promulgates. Consequently, EPA has refined some of the assumptions for calculating the burden 

and costs associated with implementing the drinking water regulations contained in this ICR. For 

this update, many assumptions were revised based on program changes and well-documented 

changes in some data. To provide a comparable basis on which to calculate the requirements 

addressed by the DDBP/Chem/Rads Rules ICR and to address inconsistencies, EPA applied 

uniform assumptions to all rules. The categories of assumptions are listed below.

• Labor rates: For PWSs, a 2013 labor rate of $21.62 was obtained from the Bureau 

of Labor Statistics (BLS). An overhead rate of 60 percent was applied, resulting 

in an hourly rate of $34.59. For states, a 2013 labor rate of $28.50 was obtained 

from the BLS. An overhead rate of 60 percent was applied, resulting in an hourly 

rate of $45.60. 

• PWS inventory figures from the most recent frozen SDWIS database pull

(October 2014).

• Number of entry points per system, as reported in the 2006 Community Water 

System Survey (CWSS). 

• Number of plants per system, as reported in the 2006 CWSS.

In addition, EPA revised some of the estimates of burden for particular activities to reflect 

consultations with representatives of PWSs and states (see section 3(c).

 15 The remaining SWTR requirements are included in the Microbial Rules ICR.

16 Includes LCR Short-term revisions.
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6(a) Respondent Burden

6(a)(i) Burden to Public Water Systems

The annual PWS burden for January 1, 2016 through December 31, 2018 is estimated to 

be approximately 3.3 million hours. Exhibit 7 tabulates the annual burden hours on a rulespecific basis. Activity-level burden assumptions were carried forward from previous ICRs. If 

updated data such as system inventories and results of consultations on burden, were available,

those data were used in burden calculations. Appendices B through H show the assumptions and 

detailed burden calculations for each rule. The following further describes the bases for the 

burden estimates for each rule.

1) Stage 1 Disinfectants and Disinfection Byproducts Rule 

Activities associated with the Stage 1 DBPR account for 0.50 million annual burden 

hours. The assumptions used to calculate the Stage 1 DBPR burden are based largely on 

assumptions from the September 1998 Information Collection Request for the National Primary 

Drinking Water Regulations: Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 

DBPR ICR). The burden for systems includes only monitoring. The specific burden for 

monitoring includes the following:

• Paired TTHM/HAA5

• Alkalinity and paired TOC

• Bromate

• Chloride Dioxide

• Chlorite (both daily and monthly monitoring)

• Chlorine or chloramines (in the distribution system)17

At this point, reduced monitoring burden has not been estimated for the above 

contaminants, with the exception of alkalinity and paired TOC monitoring, which carried 

forward reduced monitoring rate estimates from the September 1998 Stage 1 DBPR ICR. The 

Stage 2 DBPR burden estimates account for any additional monitoring that may be required in 

addition to monitoring already required under Stage 1 DBPR. 

Section 6(f) describes the reasons for changes between the burden reported in the 2012 

DDBP/Chem/Rads Rules ICR and this ICR. Detailed burden and cost calculations for the Stage 1 

DBPR are provided in Appendix B.

2) Stage 2 Disinfectants and Disinfection Byproducts Rule

Over the 3 years covered by this ICR, the total national respondent burden to PWSs is 

estimated at 0.146 million labor hours, an annual average of 0.049 million hours (see Exhibit 7). 

IDSE activities were completed during a previous ICR period, as were Stage 2 compliance 

 17 Includes burden for ground water systems only. Disinfectant residual monitoring and associated activities for 

surface water systems are addressed by the SWTR.
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monitoring plans. The next two sections describe the burden estimates for the current ICR period 

in greater detail.

Additional Routine Compliance Monitoring

Systems began conducting additional routine compliance monitoring during the previous 

ICR period. This monitoring is in addition to monitoring required under the Stage 1 DBPR. This 

requirement is not applicable to the majority of the public water systems. The burden for 

monitoring takes into account any changes in TTHM and HAA5 monitoring requirements 

resulting from the IDSE conducted during a previous ICR period. All small PWSs, regardless of 

whether or not they conducted Cryptosporidium monitoring under the LT2ESWTR, began to 

comply with the Stage 2 MCLs previous to this ICR period. Estimated burden and costs are 

presented in Exhibits 13a through 13c of Appendix C.

Operational Evaluations

An operational evaluation must include an examination of distribution system operational 

practices and how these practices may be modified to reduce TTHM and HAA5 levels. Systems 

must discuss their evaluations with the primacy agency. Costs for operational evaluations are 

presented in Exhibit 13 of Appendix C. Systems with operational evaluations incur costs in the 

year that the operational level is exceeded. This began in the previous ICR period once systems 

had 1 year worth of compliance monitoring data, and continues forward in this ICR period. 

3) Chemical Phase Rules

PWS activities associated with the Chemical Phase Rules account for a burden of 0.36

million hours per year. The burden estimate includes routine and reduced sampling for IOCs, 

VOCs, and SOCs under the schedules dictated by the SMF. The assumptions used to calculate 

the Chemical Phase Rule burden are based on assumptions from the 1993 PWSS Program ICR, 

which maintained most assumptions and burden estimates from the individual ICRs for the Phase 

II, IIB, and V rules, with an adjustment to the waiver rate assumptions (in the 2004

DDBP/Chem/Rads Rules ICR) to more accurately reflect actual waiver issuance rates. Section 

6(f) describes the reasons for changes between the burden reported in the 2012 

DDBP/Chem/Rads Rules ICR and this ICR. Appendix D summarizes the assumptions used to 

calculate the Chemical Phase Rule burden and provides the detailed burden and cost calculations.

4) Radionuclides Rule

Annual PWS burden for the Radionuclides Rule is estimated to be 45,631 hours. This is 

based on burden assumptions carried forward from the 2000 Radionuclides Rule ICR.

Monitoring burden is for the following contaminants:

• Gross alpha

• Beta and photon emitters

• Combined radium-226/-228 

• Uranium
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Section 6(f) describes the reasons for changes between the radionuclides burden reported 

in the 2012 DDBP/Chem/Rads Rules ICR and this ICR. Calculations for burden and costs for the 

Radionuclides Rule are included in Appendix E.

5) Disinfectant Residual Monitoring and Associated Activities under the SWTR 

As stated previously, this ICR includes burden estimates only for the disinfection residual 

monitoring and associated activities required under the SWTR. The Microbial Rules ICR 

addresses the burden and costs for all other SWTR requirements. Implementation of the SWTR 

disinfection residual monitoring and associated activities is estimated to result in an annual PWS 

burden of 1.1 million hours. Included in the estimate is burden for:

• Distribution system residual monitoring.

• Calculation of inactivation ratio using CT values for unfiltered systems.

• Measurement of pH and temperature, as necessary to calculate CT.

• Entry point residual monitoring for filtered systems.

• Entry point residual monitoring for unfiltered systems.

Section 6(f) describes the reasons for changes between the burden reported in the 2012 

DDBP/Chem/Rads Rules ICR and this ICR. Appendix F summarizes the assumptions used to 

calculate the burden for disinfection residual monitoring and associated activities under SWTR 

and provides the detailed burden and cost calculations.

6) Arsenic Rule

This ICR addresses the burden and cost for arsenic monitoring, reporting, and 

recordkeeping for 2016 through 2018. PWSs monitor arsenic in accordance with the standard 

monitoring framework schedule. In this 3-year ICR period, systems with existing waivers are 

expected to incur burden for reapplying. Implementation of the Arsenic Rule is estimated to 

result in an annual PWS burden of 200,280 hours. Appendix G summarizes the assumptions used 

to calculate burden for the Arsenic Rule and provides the detailed burden and cost estimates.

7) Lead and Copper Rule

The average annual respondent burden is 1.1 million hours for reporting, recordkeeping, 

and public education activities of the LCR. Only CWSs and NTNCWSs incur a burden 

associated with LCR requirements. The burden accounts for the provisions of the short term 

revisions, which require that systems: 

 Take additional tap samples for lead if they are on reduced monitoring and the lead 

action level of 0.015 mg/L is exceeded.

 Provide revised public education materials according to revised delivery requirements 

if the lead action level is exceeded, including a statement on lead in the CCR.

 Notify the state before making long term treatment changes.

 Notify customers of results of samples taken at customers’ homes.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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 Retest LSLs previously exempted from replacement if the lead action level is 

exceeded.

Section 6(f) describes the reasons for changes between the burden reported in the 2012 

DDBP/Chem/Rads Rules ICR and this DDBP/Chem/Rads Rules ICR. Appendix H summarizes 

the assumptions used to calculate the burden for the Lead and Copper Rule and provides the 

detailed burden and cost estimates.

6(a)(ii) Burden to Primacy Agencies

The annual burden for primacy agencies is estimated to be approximately 2.0 million 

hours. Exhibit 8 shows the annual burden hours on a rule-specific basis. Many other state 

activities, such as compliance assurance and data management, cannot be divided among specific 

rules and are included in the PWSS Program ICR as general primacy activities. The following 

briefly describes the bases for the burden estimates:

1) Stage 1 Disinfectants and Disinfection Byproducts Rule

The annual state burden for the Stage 1 DBPR is expected to be 0.15 million hours. This 

reflects data entry and recordkeeping burden. Section 6(f) describes the reasons for changes 

between the Stage 1 DBPR burden reported in the 2012 DDBP/Chem/Rads Rules ICR and this 

ICR. Detailed calculations for burden and cost are shown in Appendix B.

2) Stage 2 Disinfectants and Disinfection Byproducts Rule

The annual state burden for the Stage 2 DBPR is expected to be 50,822 hours. This 

reflects reporting and recordkeeping burden for maintaining records and tracking compliance by 

systems. This ICR also includes burden for reviewing operational evaluations. States are 

assumed to have already completed their IDSE oversight activities and review of compliance 

monitoring plans. 

3) Chemical Phase Rules

For states, the annual burden associated with the Chemical Phase Rules is estimated to be 

approximately 1.4 million hours. This reflects reporting and recordkeeping burden for routine 

and reduced sampling for IOCs, VOCs, and SOCs under the schedules dictated by the SMF.

Estimates for primacy agency burden for the Chemical Phase Rules are based on State Workload 

Model18 assumptions carried forward from the 1993 PWSS Program ICR. Note that the burden

associated with oversight of arsenic monitoring is discussed separately below. Section 6(f) 

describes the reasons for changes between the Chemical Phase Rules burden reported in the 2012 

DDBP/Chem/Rads Rules ICR and this ICR. Detailed calculations for burden and cost are shown 

in Appendix D.

 18 New burden estimates from the revised State Workload Model will be incorporated into the subsequent 

DDBP/Chem/Rads Rules ICR. See section 5(b) of the PWSS ICR for additional information.
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4) Radionuclides Rule

For the Radionuclides Rule, annual state burden is estimated to be 5,476 hours. The 

annual state burden is based on burden assumptions carried forward from the 2012 

DDBP/Chem/Rads Rules ICR. Burden is calculated for primacy agency staff for recordkeeping, 

reporting, and compliance tracking and analysis requirements, based on the number of analyses 

conducted by PWSs. Section 6(f) describes the reasons for changes between the radionuclides 

burden reported in the 2012 DDBP/Chem/Rads Rules ICR and this ICR. Calculations for cost 

and burden for the Radionuclides Rule are included in Appendix E.

5) Disinfectant Residual Monitoring and Associated Activities under SWTR

As stated previously, this ICR includes burden estimates for only disinfectant residual 

monitoring and associated activity components of the SWTR. The Microbial Rules ICR 

addresses the burden and costs for the other SWTR requirements. Implementation of the SWTR 

disinfectant residual monitoring is expected to result in an annual state burden of 0.16 million 

hours. Included in this estimate is burden associated with reviewing data for—

• Distribution system residual monitoring.

• Calculation of inactivation ratio using CT values.

• Measurement of pH and temperature, as necessary to meet requirements.

• Entry point residual monitoring for filtered systems.

• Entry point residual monitoring for unfiltered systems.

Estimates for primacy agency burden for the SWTR are based on assumptions carried 

forward from the 2012 DDBP/Chem/Rads Rules ICR. Section 6(f) describes the reasons for 

changes between the burden reported in the 2012 DDBP/Chem/Rads Rules ICR and this ICR.

Detailed calculations for burden and cost are shown in Appendix F.

6) Arsenic Rule

For the Arsenic Rule, annual state burden is estimated to be 80,704 hours. The annual 

state burden is based on assumptions carried forward from the 2012 DDBP/Chem/Rads Rules 

ICR and the 2000 Arsenic Rule ICR. Burden is calculated for primacy agency staff for oversight 

of monitoring activities. Burden is based on recordkeeping, reporting, and compliance tracking 

and analysis. In this 3-year ICR period, states will additionally incur burden to review waiver 

applications submitted by systems with existing waivers. Section 6(f) describes the reasons for 

changes between burden reported in the 2012 DDBP/Chem/Rads Rules ICR and this ICR.

Calculations for cost and burden for the Arsenic Rule are included in Appendix G.

7) Lead and Copper Rule

EPA estimates that the annual burden incurred by primacy agencies for activities 

associated with the lead and copper regulation is approximately 0.18 million hours. This estimate 

includes costs for employing a corrosion control expert and costs to review various letters and 

results submitted by water systems in accordance with the LCR. It includes the additional burden 

associated with the LCR short term revisions, which estimate that states will spend extra time
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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reviewing systems’ plans for changing treatment or adding a new source. Further detail about 

these activities and associated burden and costs is provided in Appendix H.

6(b) Respondent Costs

6(b)(i) Cost to Public Water Systems

Exhibit 7 shows the annual costs for PWSs over the three-year ICR period. Annual costs 

are estimated at approximately $374 million, which consists of $116 million in labor costs, $5.5

million in capital, and $253 million in O&M (numbers may not add due to rounding).

Labor costs are based on the number of hours times the average hourly wage rate, 

including overhead. In addition to labor costs, there are O&M costs associated with the each of 

the rules covered by this ICR. These O&M costs reflect non-labor costs associated with sample

shipping and analysis for each of the rules, as well as material costs associated with public 

education materials and postage. These costs vary by rule according to the frequency and cost of 

a particular analysis.

In addition to O&M costs, the requirements of one rule (i.e., SWTR) result in capital 

costs to affected PWSs. Capital costs are incurred to buy and replace monitoring equipment 

necessary for on-site analysis of disinfectant residuals and water pH. Capital costs are based on 

vendor estimates for both in-line and portable equipment, as required by regulations. Equipment 

costs are based on a seven-year replacement cycle. Details on the labor, capital, and O&M costs 

associated with each rule can be found in Appendices B through H.

6(b)(ii) Cost to Primacy Agencies

Exhibit 8 shows that the annual cost to primacy agencies is estimated at approximately 

$90 million, which is comprised almost exclusively of labor costs. There are some O&M costs 

associated with the LCR ($5,678). There are no primacy agency capital costs associated with this 

ICR.
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Exhibit 7

Annual PWS Burden and Cost January 1, 2016 – December 31, 2018

Annual 

Labor Cost 

($K)

Annual 

O&M Cost 

($K)

Annual 

Capital 

Cost 

($K)

Total 

Annual 

Cost ($K)

Stage 1 DBPR 503,623 $17,421 $ 102,290 N/A $ 119,712 2,043,437

Stage 2 DBPR 48,820 $1,689 $ 5,584 N/A $ 7,273 19,601

Chemical Phases 

Rules (Phases 

II/IIB/V) 356,602 $12,336 $ 73,983 N/A $ 86,318 507,063

Radionuclides Rule 45,631 $1,578 $ 9,703 N/A $ 11,282 91,261

Disinfectant Residual 

Monitoring and 

Associated Activities 

under SWTR 1,059,363 $36,646 $ 55,221 $ 5,492 $ 97,358 9,051,925

Arsenic Rule 200,280 $6,928 $ 1,721 N/A $ 8,649 32,763

Lead and Copper Rule 1,108,924 $38,961 $ 4,937 N/A $ 43,898 176,628

TOTAL 3,323,243 $115,559 $ 253,440 $ 5,492 $ 374,490 11,922,678

Note: Detail may not add exactly to totals due to rounding.

Activity

Annual 

Burden 

Hours

Cost

Annual Responses
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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Exhibit 8

Annual Primacy Agency Burden and Cost January 1, 2016 – December 31, 2018

6(c) Agency Burden and Costs

Burden and costs to the federal government are incurred by EPA’s drinking water 

program to assist states in implementing drinking water regulations. EPA burden and costs for 

general drinking water program implementation activities are accounted for under the PWSS 

Program ICR. Burden and costs included in the PWSS Program ICR cover all cross-cutting, nonrule specific, regulatory activities associated with compliance tracking, regulatory enforcement, 

and rule development activities.19

6(d) Estimating Respondent Universe and Total Burden and Costs

Respondents for this ICR include both PWSs and primacy agencies. This ICR estimates 

that the number of PWS respondents is 149,765 PWSs.

20 However, all PWSs are not necessarily 

subject to each of the information collection requirements contained in this ICR. The regulations 

associated with each rule identify the numbers and types of PWSs that are subject to each 

particular provision. In addition to the PWS respondents, this ICR assumes 57 primacy agencies 

 19 The EPA burden for activities where EPA acts as a primacy agent counts as primacy agency burden and is 

included in totals for primacy agency burden.

20 Source: SDWIS/FED Data from October 2014.

Annual 

Labor Cost 

($K)

Annual 

O&M 

Cost ($K)

Annual 

Capital 

Cost 

($K)

Total Annual 

Cost ($K)

Stage 1 DBPR 148,906 $ 6,790 N/A N/A $ 6,790 48,994

Stage 2 DBPR 50,822 $ 2,317 N/A N/A $ 2,317 114

Chemical Phases Rules 

(Phases II/IIB/V) 1,354,532 $ 61,767 N/A N/A $ 61,767 549,992

Radionuclides Rule 5,476 $ 250 N/A N/A $ 250 91,261

Disinfectant Residual 

Monitoring and 

Associated Activities 

under SWTR 157,975 $ 7,204 N/A N/A $ 7,204 177,507

Arsenic Rule 80,704 $ 3,680 N/A N/A $ 3,680 32,763

Lead and Copper Rule 184,037 $ 8,392 $ 6 N/A $ 8,398 72,261

TOTAL 1,982,452 $ 90,400 $ 6 N/A $ 90,406 972,892

Note: Detail may not add exactly to totals due to rounding.

Activity

Annual 

Burden 

Hours

Cost

Annual 

Responses
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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(50 states plus D.C., U.S. Territories, and the Navajo Nation).

21 Therefore, the total number of 

respondents is 149,822. The total costs and burden for these respondents are summarized in 

Exhibits 8 and 9.

6(e) Bottom Line Burden Hours and Costs

The bottom line burden hours and costs for this ICR are presented in Exhibit 9. The total 

annual respondent burden associated with this ICR, which includes burden for PWSs and 

primacy agencies, is estimated to be approximately 5.3 million hours. The corresponding total 

annual respondent costs (labor, capital, and O&M) are estimated to be $464.9 million. The

portion of the total annual respondent costs attributable to capital and O&M costs is $258.9 

million.

 21 For several of these entities, primacy activities are actually implemented by EPA Regional offices. However, as a 

simplifying assumption, they are included with the states for respondent calculations under this ICR.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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Exhibit 9

Bottom Line Annual Burden and Cost ($K) January 1, 2016 – December 31, 2018

6(f) Reasons for Change in Burden

This section presents the change in burden and the reasons for the change in burden. The 

discussion is divided into two parts–

• Section 6(f)(i) summarizes any restructuring adjustments being made for the 

addition of new stand-alone ICRs to the DDBP/Chem/Rads Rules ICR. See 

Exhibit 11.

149,822 (=)

149,765 (+) Existing PWSs

57 Primacy agencies

12,895,570 (=)

11,922,678 (+) PWS responses (see Exhibit 7)

972,892 Primacy agency responses (see Exhibit 8)

86.1 (=)

12,895,570 (/) Total annual responses from above

149,822 Total annual respondents from above

5,305,696 (=)

3,323,243 (+) PWS hours (see Exhibit 7)

1,982,452 Primacy agency hours (see Exhibit 8)

0.41 (=)

5,305,696 (/) Total annual respondent hours from above

12,895,570 Total annual responses from above

$258,937 (=)

$253,440 (+) Total PWS O&M costs (see Exhibit 7)

$5,492 (+) Total PWS capital costs (see Exhibit 7)

$6 Total primacy agency O&M costs (see Exhibit 8)

$464,896 (=)

$374,490 (+) For PWSs (see Exhibit 7)

$90,406 For primacy agencies (see Exhibit 8)

5,305,696 (=)

5,305,696 (+) Total annual respondent hours from above

 - Total EPA hours

$464,896 (=)

$464,896 (+) Total annual respondent cost from above

 - Total EPA cost

Note: Detail may not add exactly to totals due to rounding.

Total Annual Respondent Cost 

(Labor, Capital, and O&M) ($K)

Total Annual Hours (resp. plus 

Agency) 

Total Annual Cost (resp. plus 

Agency) ($K)

Annual Number of Respondents

Total Annual Responses

Number of Responses per 

Respondent

Total Annual Respondent Hours

Hours per Response

Annual O&M and Capital Cost 

($K)
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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• Section 6(f)(ii) summarizes other adjustments to the annual burden estimates 

associated with each rule in the 2012 DDBP/Chem/Rads Rules ICR. See Exhibits 

12 through 14.

Exhibit 10 summarizes how each of these changes affects the overall burden inventory 

for the DDBP/Chem/Rads Rules ICR.

Exhibit 10

Summary of Changes in Annual Burden (Includes both PWS and Primacy Agency 

Burden)

6(f)(i) Restructuring Adjustments

No restructuring adjustments are being made for the addition of new stand-alone ICRs to 

the DDBP/Chem/Rads Rules ICR, as shown in Exhibit 11. In the next revision to the 

DDBP/Chem/Rads Rules ICR any burden from relevant standalone ICRs that have expired will 

be newly incorporated into the DDBP/Chem/Rads Rules ICR.

Type of Change Burden (hours) Running Total Comment

Burden Estimated in the 2012 

DDBP/Chem/Rads Rules ICR 5,734,335 5,734,335

This burden serves as the baseline for 

the 2016 DDBP/Chem/Rads Rules ICR.

Restructuring 

Adjustments–see Section 

6(f)(i) 0 5,734,335

2016 DDBP/Chem/Rads Rules ICR is not 

appended with burden from any new 

ICRs.

Other Adjustments to 

Burden–see Section 6(f)(ii) (428,639) 5,305,696

Burden for which EPA seeks approval in 

this ICR.

Note: Detail may not add exactly to totals due to rounding.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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Exhibit 11

Restructuring Adjustments to the Annual Burden Inventory for the 

DDBP/Chem/Rads Rules ICR (Includes both PWS and Primacy Agency Burden)

Action Annual Burden Hours Brief Explanation

N/A 5,734,335 Inventory for the 2012 DDBP/Chem/Rads 

Rules ICR carried forward as the baseline 

for 2016 DDBP/Chem/Rads Rules ICR,

including PWS and state burden.

Add 0 2016 DDBP/Chem/Rads Rules ICR is not 

appended with burden from any new ICRs.

Total 5,734,335 2016 DDBP/Chem/Rads Rules ICR 

inventory based on current burden 

inventories.

6(f)(ii) Other Burden Adjustments

Changes in calculated burden are a result of updating relevant baseline information for 

each rule with the most current and accurate information available, such as PWS inventories, and 

incorporating the results of consultation with stakeholders. Where appropriate and available, 

estimated violation, waiver, and other associated rates have also been updated to reflect current 

information on rule compliance. Exhibits 12 and 13 summarize reasons for these changes and 

quantify the changes by rule. Burden adjustments associated with PWS activities resulted in a 

burden decrease of 0.46 million hours and are detailed in Exhibit 12. Burden adjustments for 

primacy agencies result in an increase of 0.04 million hours per year, as shown in Exhibit 13.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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Exhibit 12

Adjustments to PWS Burden from Previous ICR Estimates

Activity

Previous Annual 

Burden Estimate 

(Hours)

2016 Annual

Burden Estimate 

(Hours)

Annual Change 

in Burden

(Hours) Reason for Change in Annual Burden

Stage 1 DBPR 596,454 503,623 (92,831) The net change in the burden is attributed 

to the adjustments made in the modeling 

inputs to account for updated PWS 

inventory. Burden for ground water 

systems to calculated disinfectant 

residuals was reduced to remain consistent 

with comparable activities under the 

SWTR.

Stage 2 DBPR 30,842 48,820 17,978 The net change in the burden is attributed 

to the adjustments made in the modeling 

inputs to account for updated PWS 

inventory. In addition, all the Stage 2 

DBPR requirements, such as operational 

evaluations and additional monitoring 

requirements, are applicable in this ICR 

period. 

Chemical 

Phases Rules 

(Phases 

II/IIB/V)

365,561 356,602 (8,958) The net change in the burden is attributed 

to the adjustments made in the modeling 

inputs to account for updated PWS 

inventory

Radionuclides 14,448 45,631 31,182 The increase in burden is a result of the 

monitoring flexibility in the regulation 

which allows public water systems to 

monitoring on a 3, 6 or 9 year cycle based 

on initial monitoring results for each 

contaminant. Due to this flexibility, more 

public water systems are scheduled to 

monitor during this ICR period. 

Disinfectant 

Residual 

Monitoring and 

Associated 

Activities 

under SWTR

1,039,257 1,059,363 20,107 The number of surface water systems has 

increased, resulting in an increase in the 

total burden associated with disinfectant 

residual monitoring requirements. 

Arsenic Rule 71,761 200,280 128,519 The increase in burden is a result of the 

monitoring flexibility in the regulation 

which allows public water systems to 

monitoring on a 9 year cycle based on 

initial monitoring results. Due to this 

flexibility, more public water systems are 

scheduled to monitor during this ICR 

period.

Lead and 

Copper Rule2

1,669,205 1,108,924 (560,281) The net change in the burden is attributed 

to the adjustments made in the modeling 

inputs to account for updated PWS 

inventory, as well as updated data on the 

number of action level exceedances. 

TOTAL2 3,787,528 3,323,243 (464,285) Adjusted PWS Burden

Notes: 

(1) Detail may not add exactly to totals due to rounding.

(2) Note that a draft of the DDBP/Chem/Rads Rules ICR was approved by OMB in 2012, which listed 1,669,205 hours of 

annual PWS burden, based on lead action level query results available at the time. Lead action level data were re-queried 

between the draft and final DDBP/Chem/Rads Rules ICR and the final annual PWS burden for LCR in the previous 3-year 

ICR period was 1,100,309 hours, which is consistent with the burden estimates developed for the current 3-year ICR period.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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Exhibit 13

Adjustments to Primacy Agency Burden from Previous ICR Estimates

Activity

Previous 

Annual Burden 

Estimate 

(Hours)

2016 Annual

Burden 

Estimate 

(Hours)

Annual 

Change in 

Burden

(Hours) Reason for Change in Annual Burden

Stage 1 DBPR 148,335 148,906 571 

The net change in the burden is attributed to the adjustments 

made in the modeling inputs to account for updated PWS 

inventory. States continue to incur annual data entry 

reporting and recordkeeping burden for combined DBP, 

TOC/alkalinity, and residual reporting. 

Stage 2 DBPR 50,822 50,822 N/A

States will continue recordkeeping and compliance activities 

for additional routine monitoring and operational 

evaluations. 

Chemical Phases 

Rules (Phases 

II/IIB/V) 1,354,532 1,354,532 N/A

The state burden for this rule is based on the State Workload 

Model, which has not changed.

Radionuclides 1,734 5,476 3,742 

The increase in burden is a result of the monitoring 

flexibility in the regulation which allows public water 

systems to monitoring on a 3, 6 or 9 year cycle based on 

initial monitoring results for each contaminant. Due to this 

flexibility, more public water systems are scheduled to 

monitor during this ICR period and therefore increase the 

number of monitoring results submitted to the primacy 

agency. 

Disinfectant 

Residual 

Monitoring and 

Associated 

Activities under 

SWTR2 150,462 157,975 7,513 

SWTR burden is calculated as a single value, and distributed 

between this ICR and the Microbials ICR. This burden is 

apportioned based on the relative proportion of burden hours 

for PWS activities covered under these ICRs. Additionally, 

the change in burden is attributable to updates to and QA of 

the model.

Arsenic Rule 18,765 80,704 61,939 

The increase in burden is attributable to an increase in the 

number of samples taken in comparison to the previous ICR 

period; samples taken as part of a 9-year monitoring cycle 

are expected to occur during this ICR period. Additionally, 

systems are expected to submit waiver applications, which 

are also on a 9-year cycle. Note the increased system 

sampling and waiver applications result in an increase in 

state reporting and recordkeeping burden.

The increase in burden is a result of the monitoring 

flexibility in the regulation which allows public water 

systems to monitoring on a 9 year cycle based on initial 

monitoring results. Due to this flexibility, more public water 

systems are scheduled to monitor during this ICR period, 

and therefore submit more monitoring results to the primacy 

agency. 

Lead and Copper 

Rule3 222,157 184,037 (38,120)

The net change in the burden is attributed to the adjustments 

made in the modeling inputs to account for updated PWS 

inventory, as well as updated data on the number of action 

level exceedances. 

TOTAL2, 3 1,946,807 1,982,452 35,645 Adjusted Primacy Agency Burden

Notes: 

(1) Detail may not add exactly to totals due to rounding.

(2) Note that a draft of the DDBP/Chem/Rads Rules ICR was approved by OMB in 2012, which listed 150,462 hours of annual agency burden 

(based on the proportion of burden for SWTR activities covered under the DDBP/Chem/Rads Rules ICR and the Microbial Rules ICR at the 

time). Once the 2012 Microbial Rules ICR was approved by OMB, the proportion of burden attributable for SWTR activities covered under 

the DDBP/Chem/Rads Rules ICR and the Microbial Rules ICR was finalized, and the final annual agency burden for SWTR Disinfectant 

Residual Monitoring in the previous 3-year ICR period was 155,507 hours. 

(3) Note that a draft of the DDBP/Chem/Rads Rules ICR was approved by OMB in 2012, which listed 222,157 hours of annual primacy 

agency burden, based on lead action level query results available at the time. Lead action level data were re-queried between the draft and 

final DDBP/Chem/Rads Rules ICR, and the final annual primacy agency burden for LCR in the previous 3-year ICR period was 185,861 

hours, which is consistent with the burden estimates developed for the current 3-year ICR period.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

61

Exhibit 14 shows the effect of these adjustments on the bottom line burden. Subtracting 

0.46 million hours to account for the adjustment to the PWS burden and adding 0.04 million 

hours to account for the upward adjustment to the primacy burden yields 5.3 million hours.

Exhibit 14

Adjustments to Annual Burden Carried Forward from Previous ICR Estimates

(Includes both PWS and Primacy Agency Burden)

6(g) Burden Statement

The public reporting burden for collections included in this ICR is detailed in Exhibit 14

above. The annual respondent burden is estimated to average approximately 5.3 million hours, of 

which 3.3 million hours are attributable to PWSs and 2.0 million hours to primacy agencies.

These estimates include time for gathering information as well as developing and maintaining 

records. 

Burden means the total time, effort, or financial resources expended by people to 

generate, maintain, retain, disclose, or provide information to or for a federal agency. This 

includes the time needed to review instructions; develop, acquire, install, and utilize technology, 

and systems for the purposes of collecting, validating, and verifying information, processing and 

maintaining information, and disclosing and providing information; adjust the existing ways to 

comply with any previously applicable instructions and requirements; train personnel to be able 

to respond to a collection of information; search data sources; complete and review the collection 

of information; and transmit or otherwise disclose the information. An agency may not conduct 

or sponsor, and a person is not required to respond to, a request for information collection unless 

it displays a currently valid OMB control number. The OMB control numbers for EPA’s 

regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

To comment on the Agency's need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including the 

use of automated collection techniques, EPA has established a public docket for this ICR under 

Docket ID Number EPA-HQ-OW-2011-0439, which is available for online viewing at 

www.regulations.gov, or in person viewing at the Water Docket in the EPA Docket Center 

(EPA/DC), WJC West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA 

Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through 

Action Annual Burden Hours Brief Explanation

None 5,734,335 2012 DDBP/Chem/Rads Rules ICR inventory based on current burden 

inventories (see Exhibit 11).

Add (464,285) Adjustment to the PWS burden carried forward from previous ICRs (see 

Exhibit 12).

Add 35,645 Adjustment to the primacy agency burden carried forward from previous 

ICRs (see Exhibit 13).

Total 5,305,696 Hours requested in 2016 DDBP/Chem/Rads Rules ICR.

Note: Detail may not add exactly to totals due to rounding.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR December 2015

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Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 566-

1744, and the telephone number for the Water Docket is (202) 566-2426. An electronic version 

of the public docket is available at www.regulations.gov. This site can be used to submit or view 

public comments, to access the index listing of the contents of the public docket, and to access 

those documents in the public docket that are available electronically. When in the system, select 

“search,” then key in the Docket ID Number identified above. Comments can also be sent to the 

Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th 

Street, NW, Washington, DC 20503, Attention: Desk Officer for EPA. Please include the EPA 

Docket ID Number (EPA-HQ-OW-2011-0439) and the OMB Control Number 2040-0204 in any 

correspondence.