SUPPORTING STATEMENT PART A:

INFORMATION COLLECTION REQUEST

FOR THE

EPA STRATEGIC PLAN INFORMATION ON SOURCE WATER 

PROTECTION

OMB Control No. 2040-0197

EPA ICR No. 1816.05

July, 2011

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1. Identification of the Information Collection

1(a) Title of the Information Collection

EPA Strategic Plan Information on Source Water Protection

1(b) Short Characterization/Abstract

Section 1453 (a)(3) of the Safe Drinking Water Act (SDWA) required states to submit a 

Source Water Assessment Program within 18 months after the U.S. Environmental Protection 

Agency (EPA) published its State Source Water Assessment and Protection Programs Guidance: 

Final Guidance. Upon EPA approval of their programs, states conducted source water 

assessments of their public water systems. State assessments were required to be completed 

three and a half years after approval of a state’s program; the assessment program is therefore 

complete relative to the SDWA requirements. The burden and cost associated with all of the 

assessment was accounted for in three previous information collection requests (ICRs) [EPA ICR 

No. 1816.01, 1816.02, and 1816.03]. While Section 1453 (a)(3) of the SDWA does not authorize 

source water protection, States are encouraged to use the data collected in the source water 

assessments to develop protection plans for source water areas. Drinking Water State Revolving 

Fund monies authorized in Section 1452(g)(2)(B) may be used for activities to support efforts in 

source water protection. 

The National Water Program Guidance for FY 2012, published on September 30, 2010, 

describes the key actions needed to accomplish the public health and environmental goals in 

EPA’s FY 2011-2015 Strategic Plan. EPA’s goal is to increase the number of community water 

systems (CWSs) with minimized risk to public health through development and implementation 

of source water protection (SWP) strategies for source water areas. Information on progress 

toward this goal is reported by the states via two measures:

 Percent of community water systems where risk to public health is minimized through 

source water protection (SDW-SP4a).

 Percent of the population served by community water systems where risk to public health 

is minimized through source water protection (SDW-SP4b).

The National Water Program Guidance is available at http://www.epa.gov/water/waterplan. 

EPA is collecting, on a voluntary basis, data from the states on their progress toward 

substantial implementation of prevention strategies for all CWSs. EPA estimates that, over the 

three years covered by this request, the total non-Agency respondent burden associated with this 

voluntary reporting will be 4,224 hours (an average of 1,408 hours per year), and the cost to 

respondents of the information collection will be $174,975 (an average of $58,325 per year).
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2. Need for and Use of the Collection

2(a) Need/Authority for the Collection

The information to be collected will help states and EPA understand the progress toward 

the Agency’s goal to increase the number of community water systems with minimized risk to 

public health through development and implementation of SWP strategies for source water areas.

EPA needs to understand whether prevention efforts are working to reduce risks to water 

quality and thereby reducing risks to public health. Measures and other information at the state, 

regional, and national levels provide guideposts for judging the success of the program actions. 

They also provide key information for targeting actions and resources to prevent contamination 

from the most serious threats to drinking water. State-wide, regional, and national information 

also provides accountability to legislative bodies (State Legislatures and Congress) for SDWA 

implementation, and demonstrates that tax dollars are being well spent, as well as demonstrate 

that EPA is meeting goals set under the Government Performance and Results Act. The 

information reported will help to demonstrate the results achieved from categorical grants and 

Performance Partnership Grants. In addition, EPA will be able to measure its own program 

outputs and whether they are leading toward contamination prevention and risk reduction, and 

provide feedback and opportunities for national, regional, state, and local program refinement 

and improvement.

EPA is collecting, on a voluntary basis, data from the states related to the progress toward 

substantial implementation of prevention strategies for all CWS source water areas (SWAs). The 

information to be collected in this renewal ICR will be used to fulfill the needs of the 2011-2015

Strategic Plan, the Performance Accountability Report, the National Water Program Guidance, 

and the budget. Section 1453 (a)(3) of the SDWA (see Appendix A) required States to complete

source water assessments of potential contamination for source water areas. The information 

collected in the source water assessments may be used to implement source water protection 

programs. While implementing a source water protection program is not required under Section 

1453, Drinking Water State Revolving Fund monies authorized in Section 1452(g)(2)(B)

(Appendix B) may be used for activities to support these efforts. 

2(b) Practical Utility/Users of the Data

EPA has developed a set of measures to assess the degree to which states are attaining 

source water contamination prevention goals and to demonstrate that reducing risks to public 

health through source water protection is being attained. The SWP measures have evolved over 

time and some of the original performance measures data are no longer collected. The measures 

attempt to answer four key questions about the SWP Program.

1. Are the state and tribal source water assessments being completed?

2. What threats to sources of drinking water are being found in assessment results?

3. How are current and future drinking water supplies being protected?

4. Are source water protection actions decreasing public health risks by preventing 

contamination of drinking water supplies?

Data collected under earlier ICRs answered the first two questions. EPA is now focusing 

on gauging progress toward addressing threats identified during the source water assessment 
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process. States and the Federal government will use the answers to these key questions to 

understand whether prevention program actions are reducing risks from source waters; these

reductions are presumed to increase public health protection. This information will also help 

SWP program managers better manage resources and reduce risks from the most threatening 

sources of contamination and protect the most threatened source waters. Lastly, the collected 

data will be used to inform state and federal managers and legislators regarding the success of 

prevention program actions to reduce the risks to source waters.

Effectively tracking data elements and using them in program performance measures 

requires a coordinated nationwide effort. The purpose of this information collection is to gather 

and assess data to answer the above questions and evaluate the status of reaching contamination 

prevention goals.

This information will also promote the integration of source water contamination 

prevention policies into other programs. This data is linked with work done under the Public 

Water System Supervision (PWSS) program and the Underground Injection Control program 

through the State Grant Performance Measure template. Some of this information will increase 

the public’s awareness of issues related to protecting drinking water sources and, hopefully, their 

involvement in protective activities. EPA hopes that these measures will provide states, regions, 

and the federal government with a focus for prevention efforts with local communities 

implementing actions in a timely and cost-effective manner.
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3. Nonduplication, Consultations, and Other Collection Criteria

3(a) Nonduplication

EPA is not aware of any similar reporting activities related to the status of contamination 

prevention efforts within the states. States are encouraged to track the requested information 

using databases. This approach should allow state reporters to take advantage of existing 

information and not duplicate other efforts.

States can use appropriate existing resources. These resources include sanitary surveys 

of local PWSs, state wellhead protection programs, state pesticide management programs, state 

watershed approaches including efforts under the Surface Water Treatment Rule, monitoring 

waiver programs, or the Federal Water Pollution Control Act (Clean Water Act).

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

EPA published notice requesting comment on the burden and cost associated with 

reporting on progress toward substantially implementing prevention strategies in the Federal 

Register on August 16, 2011(76 FR 50726). The final ICR will include a copy of this Federal 

Register Notice in Appendix C and summarize any comments EPA received on the preliminary

burden and cost estimates provided in the Notice.

3(c) Consultations

In developing burden and cost estimates and underlying assumptions for this ICR, EPA 

consulted staff from the following state environmental agencies that are responsible for source 

water assessment and protection activities in their states:

• Utah

• New York

These agency staff provided input on the hourly burden and cost associated with 

compiling data and reporting on the status of substantially implementing prevention plans in 

their states. The burden and cost estimates in this ICR reflect these estimates. 

3(d) Effects of Less Frequent Collection

EPA will report annually to Congress on the Strategic Activities and goals in the 2011-

2015 Strategic Plan, including progress on the SWP strategic measures. EPA will also report to 

the Office of Budget and Management on the SWP measures. EPA is requesting that states 

voluntarily provide data on the status of source water protection measures. While States are not 

obligated to provide information for these measures, EPA is strongly encouraging states to 

provide such information.
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3(e) General Guidelines

All data collections covered by this ICR comply with the Office of Management and 

Budget’s (OMB’s) general guidelines for information collections.

3(f) Confidentiality

No confidential data is collected.

3(g) Sensitive Questions

There are no sensitive questions pertaining to this ICR.
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4. The Respondents and the Information Requested

4(a) Respondents/SIC Codes

The respondents for this information collection are state environmental and health 

agencies. The Standard Industrial Classification (SIC) code for state respondents is 9511 (Air 

and Water Resource and Solid Waste Management); the North American Industry Classification 

System (NAICS) code is 92411, Administration of Air and Water Resource and Solid Waste 

Management Programs.

4(b) Information Requested

Data Items, Including Recordkeeping Requirements

Under this collection, state respondents need submit only two data items annually to their 

EPA Regions. States are asked to report the following information:

• Number of SWAs for CWSs with source water protection strategies in place and 

substantially implemented (states are requested to submit their definition of 

“substantial implementation” only if it has changed); and

• The population served by those CWSs.

EPA requests this information through a memorandum sent to the Regions (a copy is shown in 

Appendix D) or draws the information from the Safe Drinking Water Information System 

(SDWIS) database, as described in Section 5(b). 

Respondent Activities

For this voluntary information collection, states can submit the information via e-mail. 

States are assumed to have already developed databases to collect, compile, and store this 

information. States can also provide the information via SDWIS. 

There are no recordkeeping requirements associated with this information collection. 

However, EPA anticipates that states will maintain or have access to the data used to compile the 

summary of substantial SWP implementation and will provide the data to interested stakeholders 

on request.
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5. The Information Collected – Agency Activities, Collection Methodology, 

and Information Management

5(a) Agency Activities

EPA Regions will compile data submitted by states on the numbers of CWSs that have 

substantially implemented SWP programs and the populations served by these systems. The 

Regions will submit the data to EPA Headquarters. Based on the data submitted by the Regions 

and data from the Safe Drinking Water Information System, for each state and Region, 

Headquarters will calculate the percentages of CWSs and population served that have 

substantially implemented SWP programs. Headquarters will forward its calculations to the 

Regions, who will enter the percentages into EPA’s Annual Commitment System (ACS). The 

Regions will also include this information on the State Grant Performance Measure template.

Headquarters will use data from the states to gauge progress toward meeting the strategic 

target in the 2011-2015 Strategic Plan using state-reported data on source water protection 

activities for the strategic target. EPA also responds to inquiries from and communicates with 

state managers, the public, and Congress on progress being made toward prevention actions that 

minimize risks to source waters and public health.

EPA is committed to successful source water protection activities aimed at meeting the 

targets in the Strategic Plan. EPA provides assistance to the states in the form of DWSRF, Clean 

Water Act Section 106 funds, and PWSS monies designed to aid state and local staff in 

substantially implementing source water protection strategies, facilitate information exchange, 

and encourage involvement of all capable participants and contributors at state, local, and 

regional levels.

5(b) Collection Methodology and Management

EPA anticipates that states may use a variety of methods to maintain the data necessary 

and report to EPA on the status of contamination prevention efforts. 

 Some states will collect and store the data on each CWS or SWA in a state database. 

When EPA requests information each year on the status of SWP efforts, these states will 

report the number of CWSs with SWP strategies and associated population served to their 

EPA regional contact via e-mail.

 Other states will report via SDWIS. Beginning in 2010, states have the option of 

including information about SWP activities in SDWIS. (To report this way, States must 

have FedRep 3.1 and SDWIS/State 2.2 versions of the SDWIS software.) States that enter 

SWP-related information about their CWSs into SDWIS and notify EPA of their 

intention to report SP-4 using SDWIS are not required to reply to EPA’s request for 

information on the status of SWP efforts. Instead, EPA will draw this information 

directly from SDWIS.

EPA Regions will compile the information submitted by states or pulled from SDWIS on 

an electronic form and submit the form to EPA Headquarters. Headquarters will use a 

spreadsheet to calculate the percentages of CWSs (and the percentage of the population 
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associated with those CWSs) in each state and Region that have substantially implemented SWP.

The Regions will then enter the data into ACS, the Agency’s database of record for the SWP

measures.

5(c) Small Entity Flexibility

The Regulatory Flexibility Act, 5 U.S.C. 602 et seq., requires the Agency to explicitly

consider the effects of regulations on small entities and to develop (under certain circumstances) 

a Regulatory Flexibility Analysis describing these impacts. The respondents for this information 

collection are state environmental and health agencies, which are not small businesses or 

organizations, as defined in the Regulatory Flexibility Act.

5(d) Collection Schedule

EPA is collecting measures data from the states on an annual basis to align with annual 

reporting to Congress and OMB. 
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6. Estimating the Burden and Cost of the Collection

The National Water Program Guidance includes source water protection program 

measures to describe the voluntary source water protection actions taken at the local or regional 

level, based on the results of the States’ assessment of potential contamination risks to drinking 

water. The information is collected from States to understand the aggregate results of State 

assessments and the protection actions based on those assessments, and to measure progress 

toward strategic goals.

EPA is collecting, on a voluntary basis, data from the states and regions related to 

progress toward substantial implementation of prevention strategies for all CWS SWAs. EPA 

estimates that, over time, many of the approximately 51,000 CWSs in the nation will develop 

and substantially implement voluntary contamination prevention strategies for drinking water 

supplies. The burden and cost associated with these individual plans is not included in this ICR, 

as there is no associated federal reporting or record keeping requirement.

EPA estimates that, over the three years covered by this request, the total respondent 

burden associated with this reporting will average 1,408 hours per year and the cost to 

respondents of the information collection will average $58,325 per year. The total burden and 

cost, presented in Section 6(e), are the product of the annual burden and cost per response, 

presented in Sections 6(a) and 6(b), respectively and the number of responses, which are 

presented in Section 6(d). Section 6(c) presents the burden and cost to EPA; Section 6(f) 

discusses the change in the burden and cost estimates between the last information collection 

request (EPA ICR No. 1816.04) and this ICR.

6(a) Estimating Respondent Burden

Respondent burden estimates associated with progress toward developing and 

substantially implementing prevention strategies for all CWSs are presented in Exhibit 6-1. 

Column A of Exhibit 6-1 presents the annual unit burden to states for each activity.

 EPA estimates that states reporting SWP measures data to the regions will devote an 

average of 33 hours annually over the next three years to collecting the requested data, 

discussing the status of SWP efforts with CWS staff, and reporting this information to 

EPA. EPA assumes that, to compile the reports, states will use databases that track the 

implementation status of prevention strategies in each CWS or SWA in their state. EPA 

anticipates that state staff will report to the EPA regions via email.

 EPA estimates that states reporting via SDWIS will spend an average of 8 hours annually 

reporting this information to EPA. EPA assumes that this burden will involve states 

performing quality checks of the data. (The burden associated with entering data on 

CWSs into SDWIS is covered in the ICR for the Public Water System Supervision 

Program, OMB Control No. 2040-0090.)
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Exhibit 6-1

Annual Respondent Burden and Cost

A B C D E F G H

Hours and Cost per Response Total Hours and Cost

Information Collection 

Activity

Respondent 

Hours/Year

Labor 

Cost/Year

Annualized 

Capital Cost

O&M

Cost

Total Nonlabor Cost 

(C+D)

Number of 

Responses

Total 

Hours/Year 

(A*F)

Total Cost/ 

Year 

(B+E) * F

State activities

Report progress to 

EPA via email 33 $1,367 $0 $0 $0 40 1,320 $54,680 

Report progress to 

EPA via SDWIS 8 $331 $0 $0 $0 11 88 $3,645 

TOTAL 41 $1,698 $0 $0 $0 51 1,408 $58,325 

Notes:

 The above figures represent 3-year averages. 

 Numbers may not appear to add due to rounding.

Recordkeeping Requirements

EPA assumes that states will maintain source water assessment and protection measures 

data on state computers dedicated to source water assessment and protection efforts or in 

SDWIS. Thus, no incremental recordkeeping burden or cost will be incurred by the states.

6(b) Estimating Respondent Costs

EPA estimates that, over the next three years, the total annual labor cost per state 

associated with this information collection is $1,698 (see Column B of Exhibit 6-1). For this 

ICR, EPA assumed that the average hourly labor rate for a state employee is $41.42. This

estimate is based on a federal GS-9, Step 10 salary on the 2012 federal pay scale, increased by 60 

percent to account for overhead costs. (This is the inflation factor recommended in EPA’s ICR 

Handbook.) 

There are no non-labor (capital or O&M) costs associated with this information 

collection. See Columns C through E of Exhibit 6-1. 

6(c) Estimating Agency Burden and Cost

The federal burden associated with prevention strategy implementation during this 

clearance period includes the time spent by EPA Regional and Headquarters staff to collect and 

analyze state measures data and report on findings. Federal burden and cost are presented in 

Columns A through F of Exhibit 6-2.

In the three years of this collection, EPA estimates that Headquarters and the Regions 

will spend 180 hours per year compiling prevention data. EPA assumes that each region will 

spend approximately 15 hours per year (150 hours total) gathering data from the states and 
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submitting it to Headquarters. EPA estimates that Headquarters will devote 30 hours to 

collecting and analyzing regional data and discussing this data with the regions.

Exhibit 6-2

Annual Agency Burden and Cost

A B C D E F

Hours and Cost Per Response Total Hours and Cost

Information Collection 

Activity

Agency 

Hours/Year

Labor 

Cost/Year

Non-Labor

Cost/Year

Number of 

Responses

Total

Hours/ Year

(A * D)

Total

Cost/Year

(B + C) * D

Regions compile 

measures data. 15 $786 $0 10 150 $7,855 

Headquarters reviews 

measures data. 30 $1,571 $0 1 30 $1,571 

TOTAL 45 $2,357 $0 11 180 $9,426 

Numbers may not appear to add due to rounding.

EPA estimates that the annual federal labor cost associated with compiling and analyzing 

data on the progress of assessment and prevention efforts will be $9,426. In developing Agency

labor costs, EPA estimates the average hourly labor rate for salary and overhead and benefits for 

Agency staff to be $52.37. To derive this figure, EPA multiplied the hourly compensation at 

GS-12, Step 5 on the 2008 GS pay scale ($32.73) by the standard government benefits 

multiplication factor of 1.6 to account for overhead and benefits. There are no non-labor (capital 

or O&M) Agency costs associated with this information collection. 

6(d) Estimating the Respondent Universe and Total Burden and Cost

Staff in 49 states (excluding California), Puerto Rico, and the District of Columbia are 

expected to report once annually to EPA on the status of prevention efforts. The number of 

responses is shown in Column F of Exhibit 6-1.

Column G of Exhibit 6-1 presents the total annual burden (i.e., the hours per response 

times the number of responses). Column H of Exhibit 6-1 presents the total annual cost (i.e., the 

sum of labor costs and non-labor costs per response times the number of responses).

6(e) Bottom Line Burden Hours and Cost/Burden Tables

Respondent Tally

The total annual burden to states associated with compiling information related to source 

water assessments and implementing prevention strategies, and reporting on the status over the 

next three years is 1,408 hours, and the total annual cost to states is $58,325. Exhibit 6-3 

presents the total respondent burden and cost.

Over the three years covered by this request, the total respondent burden associated with 

this information collection will be 4,224 hours. The cost to respondents of the information 

collection will be $174,975.
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Exhibit 6-3

Summary of Annual Respondent Burden and Costs

Response

Number of 

Responses

Total

Hours/ Year

Total Annual 

Labor Cost

Total Annual 

Non-labor 

Cost

Total Annual 

Respondent 

Cost

Report progress 51 1,408 $58,325 $0 $58,325 

Total 51 1,408 $58,325 $0 $58,325 

Burden per 

response 27.61 

Cost per 

response $1,143.63 

Agency Tally

The total annual Agency burden is 180 hours, and the total annual Agency cost is $9,426. 

Exhibit 6-4 presents the total annual Agency burden and cost associated with reviewing 

measures data.

Over the three years covered by this request, the total Agency burden associated with this 

voluntary reporting will be 540 hours. The total Agency cost over the three years covered by this 

ICR will be $28,279.

Exhibit 6-4

Summary of Annual Agency Burden and Costs

Activity Total Number 

of Responses

Total Hours/ 

Year

Total Annual 

Labor Cost

Total Annual Nonlabor CostTotal Annual 

Agency Cost

Compile data 

(Regions) 10 150 $7,855 $0 $7,855 

Analyze data

(Headquarters) 1 30 $1,571 $0 $1,571 

Total 11 180 $9,426 $0 $9,426 

6(f) Reasons for Change in Burden

In the approved ICR [OMB Control No. 2040-0197; EPA ICR No. 1816.04], the burden 

associated with source water assessment and protection activities is 5,148 hours (an average of 

1,716 hours per year). EPA estimates that, over the three years covered by this collection, the 

total respondent burden associated with this voluntary reporting will be 4,224 hours (an average 

of 1,408 hours per year). This represents a decrease of 924 hours from the previous clearance 

period, or 308 hours per year.

The estimated cost to respondents in the approved ICR [EPA ICR No. 1816.04] is $2.46 

million (an average of $0.82 million per year). EPA estimates that, over the three years covered 

by this renewal request, the cost to respondents of the information collection will be $174,975 

(an average of $58,325 per year). This represents a decrease of $2,285,886 from the previous 

clearance period, or $761,962 per year. The change in burden and cost is due to the following:
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 Decreased labor burden associated with reporting via SDWIS. EPA estimates that 11 

states will incur reduced burden by using the capabilities of SDWIS to report to EPA on 

the status of contamination prevention efforts in their states.

 Decreased cost is associated with completion of activities related to state’s development 

of state data bases to compile data on SWP activities by CWSs. The previous two ICRs 

(EPA ICR Nos. 1816.03 and 1816.04) estimated the costs for these data base 

development activities (amortized over 5 years). These activities are assumed to be 

complete, and this ICR includes no capital costs associated with data base development.

While states will be devoting a significant amount of time to developing and 

implementing prevention strategies in the coming years, this ICR does not include the burden 

associated with the source water protection activities themselves because the data reported only 

relates to tracking source water protection activities, not performing them. States will continue 

to report progress on protection activities annually to EPA. Exhibit 6-5 presents the approved 

and estimated annual burden and costs from the previous ICR and this ICR, and the change

between the clearance periods.

Exhibit 6-5

Change in Annual Burden and Cost

(Excluding Agency Burden and Cost)

Annual Burden Annual Cost

Activity Approved Reason

(2008)

This ICR Change Approved

(2008)

This ICR Change

Report 

progress

1716 1,408 (308) $820,287 $58,325 ($761,962) Reporting 

change

Total 1,716 1,408 (308) $820,287 $58,325 ($761,962)

6(g) Burden Statement

EPA estimates that, over the three years covered by this request, the total non-Agency

respondent burden associated with this voluntary reporting will be 4,224 hours (an average of 

1,408 hours per year), and the cost to respondents of the information collection will be $174,975 

(an average of $58,325 per year).

State reporting burden for this ICR is estimated to average 27.61 hours per response, or 

$1,143.63 per response, annually (see Exhibit 6-3). Burden means the total time, effort, or 

financial resources expended by persons to generate, maintain, retain, or 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 collection of information unless it displays a currently
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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 

through the use of automated collection techniques, EPA has established a public docket for this 

ICR under Docket ID No. OW-2004-0013, which is available for public viewing at the Water 

Docket in the EPA Docket Center (EPA/DC), EPA West, Room B3334, 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 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 through the EPA Docket Center at 

http://www.regulations.gov. Use regulations.gov to submit or view public comments, access the 

index listing of the contents of the public docket, and to access those documents in the public 

docket that are available electronically. Once in the system, select “search,” then key in the 

docket ID number identified above. Also, you can send comments to the Water Docket,

Environmental Protection Agency, EPA Docket Center (EPA/DC), Mailcode: 4101T, 1200 

Pennsylvania Ave., NW, Washington, DC 20460. Please include the EPA Docket ID No. (EPAHQ-OW-2004-0013) and OMB control number (2040-0197) in any correspondence.
15

Appendix A

Section 1453 of the Safe Drinking Water Act
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4SEC. 132. SOURCE WATER ASSESSMENT.

(a) IN GENERAL- Part E (42 U.S.C. 300j et seq.) is amended by adding at the end the following:

SOURCE WATER QUALITY ASSESSMENT

SEC. 1453. (a) SOURCE WATER ASSESSMENT-

(1) GUIDANCE- Within 12 months after the date of enactment of the Safe Drinking Water Act 

Amendments of 1996, after notice and comment, the Administrator shall publish guidance for States 

exercising primary enforcement responsibility for public water systems to carry out directly or through 

delegation (for the protection and benefit of public water systems and for the support of monitoring 

flexibility) a source water assessment program within the State’s boundaries. Each State adopting 

modifications to monitoring requirements pursuant to section 1418(b) shall, prior to adopting such 

modifications, have an approved source water assessment program under this section and shall carry out 

the program either directly or through delegation.

(2) PROGRAM REQUIREMENTS- A source water assessment program under this subsection 

shall--

(A) delineate the boundaries of the assessment areas in such State from which one or 

more public water systems in the State receive supplies of drinking water, using all reasonably available 

hydrogeologic information on the sources of the supply of drinking water in the State and the water flow, 

recharge, and discharge and any other reliable information as the State deems necessary to adequately 

determine such areas; and

(B) identify for contaminants regulated under this title for which monitoring is required 

under this title (or any unregulated contaminants selected by the State, in its discretion, which the State, 

for the purposes of this subsection, has determined may present a threat to public health), to the extent 

practical, the origins within each delineated area of such contaminants to determine the susceptibility of 

the public water systems in the delineated area to such contaminants.

(3) APPROVAL, IMPLEMENTATION, AND MONITORING RELIEF- A State source water 

assessment program under this subsection shall be submitted to the Administrator within 18 months after 

the Administrator’s guidance is issued under this subsection and shall be deemed approved 9 months after 

the date of such submittal unless the Administrator disapproves the program as provided in section 

1428(c). States shall begin implementation of the program immediately after its approval. The 

Administrator’s approval of a State program under this subsection shall include a timetable, established in 

consultation with the State, allowing not more than 2 years for completion after approval of the program. 

Public water systems seeking monitoring relief in addition to the interim relief provided under section 

1418(a) shall be eligible for monitoring relief, consistent with section 1418(b), upon completion of the 

assessment in the delineated source water assessment area or areas concerned.

(4) TIMETABLE- The timetable referred to in paragraph (3) shall take into consideration the 

availability to the State of funds under section 1452 (relating to State loan funds) for assessments and 

other relevant factors. The Administrator may extend any timetable included in a State program approved 

under paragraph (3) to extend the period for completion by an additional 18 months.

(5) DEMONSTRATION PROJECT- The Administrator shall, as soon as practicable, conduct a 

demonstration project, in consultation with other Federal agencies, to demonstrate the most effective and 

protective means of assessing and protecting source waters serving large metropolitan areas and located 

on Federal lands.

(6) USE OF OTHER PROGRAMS- To avoid duplication and to encourage efficiency, the 

program under this section may make use of any of the following:

(A) Vulnerability assessments, sanitary surveys, and monitoring programs.

(B) Delineations or assessments of ground water sources under a State wellhead 

protection program developed pursuant to this section.

(C) Delineations or assessments of surface or ground water sources under a State 

pesticide management plan developed pursuant to the Pesticide and Ground Water State Management 

Plan Regulation (subparts I and J of part 152 of title 40, Code of Federal Regulations), promulgated under 

section 3(d) of the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136a(d)).

(D) Delineations or assessments of surface water sources under a State watershed 

initiative or to satisfy the watershed criterion for determining if filtration is required under the Surface 

Water Treatment Rule (section 141.70 of title 40, Code of Federal Regulations).
17

(E) Delineations or assessments of surface or ground water sources under programs or 

plans pursuant to the Federal Water Pollution Control Act.

(7) PUBLIC AVAILABILITY- The State shall make the results of the source water assessments 

conducted under this subsection available to the public.

(b) APPROVAL AND DISAPPROVAL- For provisions relating to program approval and disapproval, 

see section 1428(c).’.

(b) APPROVAL AND DISAPPROVAL OF STATE PROGRAMS- Section 1428 (42 U.S.C. 300h-7) is 

amended as follows:

(1) Amend the first sentence of subsection (c)(1) to read as follows: If, in the judgment of the 

Administrator, a State program or portion thereof under subsection (a) is not adequate to protect public 

water systems as required by subsection (a) or a State program under section 1453 or section 1418(b) 

does not meet the applicable requirements of section 1453 or section 1418(b), the Administrator shall 

disapprove such program or portion thereof.’.

(2) Add after the second sentence of subsection (c)(1) the following: A State program developed 

pursuant to section 1453 or section 1418(b) shall be deemed to meet the applicable requirements of 

section 1453 or section 1418(b) unless the Administrator determines within 9 months of the receipt of the 

program that such program (or portion thereof) does not meet such requirements.’.

(3) In the third sentence of subsection (c)(1) and in subsection (c)(2), strike is inadequate’ and 

insert is disapproved’.

(4) In subsection (b), add the following before the period at the end of the first sentence: and 

source water assessment programs under section 1453'.
18
19

Appendix B

Section 1452 of the Safe Drinking Water Act
20

SEC. 130. STATE REVOLVING LOAN FUNDS.

Part E (42 U.S.C. 300j et seq.) is amended by adding the following new section after section

1451: SEC. 1452.

(a) GENERAL AUTHORITY-

(1) GRANTS TO STATES TO ESTABLISH STATE LOAN FUNDS-

(A) IN GENERAL- The Administrator shall offer to enter into agreements with eligible States to 

make capitalization grants, including letters of credit, to the States under

this subsection to further the health protection objectives of this title, promote the efficient use of

fund resources, and for other purposes as are specified in this title.

(B) ESTABLISHMENT OF FUND- To be eligible to receive a capitalization grant under this 

section, a State shall establish a drinking water treatment revolving loan fund (referred to in this section as 

a `State loan fund') and comply with the other requirements of this section. Each grant to a State under 

this section shall be deposited in the State loan fund established by the State, except as otherwise provided 

in this section and in other provisions of this title. No funds authorized by other provisions of this title to 

be used for other purposes specified in this title shall be deposited in any State loan fund.

(C) EXTENDED PERIOD- The grant to a State shall be available to the State for obligation during 

the fiscal year for which the funds are authorized and during the following fiscal year, except that grants 

made available from funds provided prior to fiscal year 1997 shall be available for obligation during each 

of the fiscal years 1997 and 1998.

(D) ALLOTMENT FORMULA- Except as otherwise provided in this section, funds made available 

to carry out this section shall be allotted to States that have entered into an agreement pursuant to this 

section (other than the District of Columbia) in accordance with--

(i) for each of fiscal years 1995 through 1997, a formula that is the same as the formula used to 

distribute public water system supervision grant funds under section 1443 in fiscal year 1995, except that 

the minimum proportionate share established in the formula shall be 1 percent of available funds and the 

formula shall be adjusted to include a minimum proportionate share for the State of Wyoming and the 

District of Columbia; and

(ii) for fiscal year 1998 and each subsequent fiscal year, a formula that allocates to each State the 

proportional share of the State needs identified in the most recent survey conducted pursuant tosubsection 

(h), except that the minimum proportionate share provided to each State shall be the same as the 

minimum proportionate share provided under clause (I).

(E) REALLOTMENT- The grants not obligated by the last day of the period for which the grants 

are available shall be reallotted according to the appropriate criteria set forth in subparagraph (D), except 

that the Administrator may reserve and allocate 10 percent of the remaining amount for financial 

assistance to Indian Tribes in addition to the amount allotted under subsection (i) and none of the funds 

reallotted by the Administrator shall be reallotted to any State that has not obligated all sums allotted to 

the State pursuant to this section during the period in which the sums were available for obligation.

(F) NONPRIMACY STATES- The State allotment for a State not exercising primary enforcement 

responsibility for public water systems shall not be deposited in any such fund but shall be allotted by the 

Administrator under this subparagraph. Pursuant to section 1443(a)(9)(A) such sums allotted under this 

subparagraph shall be reserved as needed by the Administrator to exercise primary enforcement 

responsibility under this title in such State and the remainder shall be reallotted to States exercising 

primary enforcement responsibility for public water systems for deposit in such funds. Whenever the 

Administrator makes a final determination pursuant to section 1413(b) that the requirements of section 

1413(a) are no longer being met by a State, additional grants for such State under this title shall be 

immediately terminated by the Administrator. This subparagraph shall not apply to any State not 

exercising primary enforcement responsibility for public water systems as of the date of enactment of the 

Safe Drinking Water Act Amendments of 1996.

(G) OTHER PROGRAMS-

(i) NEW SYSTEM CAPACITY- Beginning in fiscal year 1999, the Administrator shall withhold 

20 percent of each capitalization grant made pursuant to this section to a State unless the State has met the 

requirements of section 1420(a) (relating to capacity development) and shall withhold 10 percent for 

fiscal year 2001, 15 percent for fiscal year 2002, and 20 percent for fiscal year 2003 if the State has not 

complied with the provisions of section 1420(c) (relating to capacity development strategies). Not more 
21

than a total of 20 percent of the capitalization grants made to a State in any fiscal year may be withheld 

under the preceding provisions of this clause. All funds withheld by the Administrator pursuant to this 

clause shall be reallotted by the Administrator on the basis of the same ratio as is applicable to funds 

allotted under subparagraph (D). None of the funds reallotted by the Administrator pursuant to this 

paragraph shall be allotted to a State unless the State has met the requirements of section 1420 (relating to 

capacity development).

(ii) OPERATOR CERTIFICATION- The Administrator shall withhold 20 percent of each

capitalization grant made pursuant to this section unless the State has met the requirements of 1419 

(relating to operator certification). All funds withheld by the Administrator pursuant to this clause shall be 

reallotted by the Administrator on the basis of the same ratio as applicable to funds allotted under 

subparagraph (D). None of the funds reallotted by the Administrator pursuant to this paragraph shall be 

allotted to a State unless the State has met the requirements of section 1419 (relating to operator 

certification).

(2) USE OF FUNDS- Except as otherwise authorized by this title, amounts deposited in a State loan 

fund, including loan repayments and interest earned on such amounts, shall be used only for providing 

loans or loan guarantees, or as a source of reserve and security for leveraged loans, the proceeds of which 

are deposited in a State loan fund established under paragraph (1), or other financial assistance authorized 

under this section to community water systems and nonprofit noncommunity water systems, other than 

systems owned by Federal agencies. Financial assistance under this section may be used by a public water 

system only for expenditures (not including monitoring, operation, and maintenance expenditures) of a 

type or category which the Administrator has determined, through guidance, will facilitate compliance 

with national primary drinking water regulations applicable to the system under section 1412 or otherwise 

significantly further the health protection objectives of this title. The funds may also be used to provide 

loans to a system referred to in section 1401(4)(B) for the purpose of providing the treatment described in 

section 1401(4)(B)(i)(III). The funds shall not be used for the acquisition of real property or interests 

therein, unless the acquisition is integral to a project authorized by this paragraph and the purchase is 

from a willing seller. Of the amount credited to any State loan fund established under this section in any 

fiscal year, 15 percent shall be available solely for providing loan assistance to public water systems 

which regularly serve fewer than 10,000 persons to the extent such funds can be obligated for eligible 

projects of public water systems.

(3) LIMITATION-

(A) IN GENERAL- Except as provided in subparagraph (B), no assistance under this section shall 

be provided to a public water system that--

(i) does not have the technical, managerial, and financial capability to ensure compliance with

the requirements of this title; or

(ii) is in significant noncompliance with any requirement of a national primary drinking water

regulation or variance.

(B) RESTRUCTURING- A public water system described in subparagraph (A) may receive

assistance under this section if--

(i) the use of the assistance will ensure compliance; and

(ii) if subparagraph (A)(i) applies to the system, the owner or operator of the system agrees to

undertake feasible and appropriate changes in operations (including ownership, management,

accounting, rates, maintenance, consolidation, alternative water supply, or other procedures) if

the State determines that the measures are necessary to ensure that the system has the technical,

managerial, and financial capability to comply with the requirements of this title over the long

term.

(C) REVIEW- Prior to providing assistance under this section to a public water system that is in

significant noncompliance with any requirement of a national primary drinking water regulation or 

variance, the State shall conduct a review to determine whether subparagraph (A)(i) applies to the system.

(b) INTENDED USE PLANS-

(1) IN GENERAL- After providing for public review and comment, each State that has entered into 

a capitalization agreement pursuant to this section shall annually prepare a plan that

identifies the intended uses of the amounts available to the State loan fund of the State.
22

(2) CONTENTS- An intended use plan shall include--

(A) a list of the projects to be assisted in the first fiscal year that begins after the date of the plan,

including a description of the project, the expected terms of financial assistance, and the size of the 

community served;

(B) the criteria and methods established for the distribution of funds; and

(C) a description of the financial status of the State loan fund and the short-term and long-term

goals of the State loan fund.

(3) USE OF FUNDS-

(A) IN GENERAL- An intended use plan shall provide, to the maximum extent practicable, that

priority for the use of funds be given to projects that--

(i) address the most serious risk to human health;

(ii) are necessary to ensure compliance with the requirements of this title (including requirements

for filtration); and

(iii) assist systems most in need on a per household basis according to State affordability criteria.

(B) LIST OF PROJECTS- Each State shall, after notice and opportunity for public comment,

publish and periodically update a list of projects in the State that are eligible for assistance under this 

section, including the priority assigned to each project and, to the extent known, the expected funding 

schedule for each project.

(C) FUND MANAGEMENT- Each State loan fund under this section shall be established,

maintained, and credited with repayments and interest. The fund corpus shall be available in perpetuity 

for providing financial assistance under this section. To the extent amounts in the fund are not required 

for current obligation or expenditure, such amounts shall be invested in interest bearing obligations.

(D) ASSISTANCE FOR DISADVANTAGED COMMUNITIES-

(1) LOAN SUBSIDY- Notwithstanding any other provision of this section, in any case in which

the State makes a loan pursuant to subsection (a)(2) to a disadvantaged community or to a

community that the State expects to become a disadvantaged community as the result of a

proposed project, the State may provide additional subsidization (including forgiveness of

principal).

(2) TOTAL AMOUNT OF SUBSIDIES- For each fiscal year, the total amount of loan subsidies

made by a State pursuant to paragraph (1) may not exceed 30 percent of the amount of the

capitalization grant received by the State for the year.

(3) DEFINITION OF DISADVANTAGED COMMUNITY- In this subsection, the term

`disadvantaged community' means the service area of a public water system that meets

affordability criteria established after public review and comment by the State in which the

public water system is located. The Administrator may publish information to assist States in

establishing affordability criteria.

(E) STATE CONTRIBUTION- Each agreement under subsection (a) shall require that the State

deposit in the State loan fund from State moneys an amount equal to at least 20 percent of the total 

amount of the grant to be made to the State on or before the date on which the grant payment is made to 

the State, except that a State shall not be required to deposit such amount into the fund prior to the date on 

which each grant payment is made for fiscal years 1994, 1995, 1996, and 1997 if the State deposits the 

State contribution amount into the State loan fund prior to September 30, 1999.

(F) TYPES OF ASSISTANCE- Except as otherwise limited by State law, the amounts deposited

into a State loan fund under this section may be used only--

(1) to make loans, on the condition that--

(A) the interest rate for each loan is less than or equal to the market interest rate, including an

interest free loan;

(B) principal and interest payments on each loan will commence not later than 1 year after

completion of the project for which the loan was made, and each loan will be fully amortized not

later than 20 years after the completion of the project, except that in the case of a disadvantaged

community (as defined in subsection (d)(3)), a State may provide an extended term for a loan, if

the extended term--

(i) terminates not later than the date that is 30 years after the date of project completion; and

(ii) does not exceed the expected design life of the project;
23

(C) the recipient of each loan will establish a dedicated source of revenue (or, in the case of a

privately owned system, demonstrate that there is adequate security) for the repayment of the

loan; and

(D) the State loan fund will be credited with all payments of principal and interest on each loan;

(2) to buy or refinance the debt obligation of a municipality or an intermunicipal or interstate

agency within the State at an interest rate that is less than or equal to the market interest rate in any case in 

which a debt obligation is incurred after July 1, 1993;

(3) to guarantee, or purchase insurance for, a local obligation (all of the proceeds of which finance a 

project eligible for assistance under this section) if the guarantee or purchase would improve credit 

market access or reduce the interest rate applicable to the obligation;

(4) as a source of revenue or security for the payment of principal and interest on revenue or

general obligation bonds issued by the State if the proceeds of the sale of the bonds will be deposited into 

the State loan fund; and

(5) to earn interest on the amounts deposited into the State loan fund.

(G) ADMINISTRATION OF STATE LOAN FUNDS-

(1) COMBINED FINANCIAL ADMINISTRATION- Notwithstanding subsection (c), a State may 

(as a convenience and to avoid unnecessary administrative costs) combine, in accordance with State law, 

the financial administration of a State loan fund established under this section with the financial 

administration of any other revolving fund established by the State if otherwise not prohibited by the law 

under which the State loan fund was established and if the Administrator determines that--

(A) the grants under this section, together with loan repayments and interest, will be separately

accounted for and used solely for the purposes specified in subsection (a); and

(B) the authority to establish assistance priorities and carry out oversight and related activities

(other than financial administration) with respect to assistance remains with the State agency

having primary responsibility for administration of the State program under section 1413, after

consultation with other appropriate State agencies (as determined by the State): Provided

That in nonprimacy States eligible to receive assistance under this section, the Governor shall

determine which State agency will have authority to establish priorities for financial assistance

from the State loan fund.

(2) COST OF ADMINISTERING FUND- Each State may annually use up to 4 percent of the funds 

allotted to the State under this section to cover the reasonable costs of administration of the programs 

under this section, including the recovery of reasonable costs expended to establish a State loan fund 

which are incurred after the date of enactment of this section, and to provide technical assistance to public 

water systems within the State. For fiscal year 1995 and each fiscal year thereafter, each State may use up 

to an additional 10 percent of the funds allotted to the State under this section--

(A) for public water system supervision programs under section 1443(a);

(B) to administer or provide technical assistance through source water protection programs;

(C) to develop and implement a capacity development strategy under section 1420(c); and

(D) for an operator certification program for purposes of meeting the requirements of section

1419, if the State matches the expenditures with at least an equal amount of State funds. At least

half of the match must be additional to the amount expended by the State for public water

supervision in fiscal year 1993. An additional 2 percent of the funds annually allotted to each

State under this section may be used by the State to provide technical assistance to public water

systems serving 10,000 or fewer persons in the State. Funds utilized under subparagraph (B)

shall not be used for enforcement actions.

(3) GUIDANCE AND REGULATIONS- The Administrator shall publish guidance and promulgate 

regulations as may be necessary to carry out the provisions of this section, including--

(A) provisions to ensure that each State commits and expends funds allotted to the State under

this section as efficiently as possible in accordance with this title and applicable State laws;

(B) guidance to prevent waste, fraud, and abuse; and

(C) guidance to avoid the use of funds made available under this section to finance the expansion

of any public water system in anticipation of future population growth. The guidance and

regulations shall also ensure that the States, and public water systems receiving assistance under

this section, use accounting, audit, and fiscal procedures that conform to generally accepted
24

accounting standards.

(4) STATE REPORT- Each State administering a loan fund and assistance program under this

subsection shall publish and submit to the Administrator a report every 2 years on its activities under this 

section, including the findings of the most recent audit of the fund and the entire State allotment. The 

Administrator shall periodically audit all State loan funds established by, and all other amounts allotted 

to, the States pursuant to this section in accordance with procedures established by the Comptroller 

General.

(H) NEEDS SURVEY- The Administrator shall conduct an assessment of water system capital

improvement needs of all eligible public water systems in the United States and submit a report

to the Congress containing the results of the assessment within 180 days after the date of

enactment of the Safe Drinking Water Act Amendments of 1996 and every 4 years thereafter.

(I) INDIAN TRIBES-

(1) IN GENERAL- 1 1/2 percent of the amounts appropriated annually to carry out this section may 

be used by the Administrator to make grants to Indian Tribes and Alaska Native villages that have not 

otherwise received either grants from the Administrator under this section or assistance from State loan 

funds established under this section. The grants may only be used for expenditures by tribes and villages 

for public water system expenditures referred to in subsection (a)(2).

(2) USE OF FUNDS- Funds reserved pursuant to paragraph (1) shall be used to address the most

significant threats to public health associated with public water systems that serve Indian Tribes, as 

determined by the Administrator in consultation with the Director of the Indian Health Service and Indian 

Tribes.

(3) ALASKA NATIVE VILLAGES- In the case of a grant for a project under this subsection in an 

Alaska Native village, the Administrator is also authorized to make grants to the State of Alaska for the 

benefit of Native villages. An amount not to exceed 4 percent of the grant amount may be used by the 

State of Alaska for project management.

(4) NEEDS ASSESSMENT- The Administrator, in consultation with the Director of the Indian

Health Service and Indian Tribes, shall, in accordance with a schedule that is consistent with the needs 

surveys conducted pursuant to subsection (h), prepare surveys and assess the needs of drinking water 

treatment facilities to serve Indian Tribes, including an evaluation of the public water systems that pose 

the most significant threats to public health.

(J) OTHER AREAS- Of the funds annually available under this section for grants to States, the

Administrator shall make allotments in accordance with section 1443(a)(4) for the Virgin Islands, the 

Commonwealth of the Northern Mariana Islands, American Samoa, and Guam. The grants allotted as 

provided in this subsection may be provided by the Administrator to the governments of such areas, to 

public water systems in such areas, or to both, to be used for the public water system expenditures 

referred to in subsection (a)(2). The grants, and grants for the District of Columbia, shall not be deposited 

in State loan funds. The total allotment of grants under this section for all areas described in this 

subsection in any fiscal year shall not exceed 0.33 percent of the aggregate amount made available to 

carry out this section in that fiscal year.

(K) OTHER AUTHORIZED ACTIVITIES-

(1) IN GENERAL- Notwithstanding subsection (a)(2), a State may take each of the following

actions:

(A) Provide assistance, only in the form of a loan, to one or more of the following:

(i) Any public water system described in subsection (a)(2) to acquire land or a conservation

easement from a willing seller or grantor, if the purpose of the acquisition is to protect the source

water of the system from contamination and to ensure compliance with national primary drinking

water regulations.

(ii) Any community water system to implement local, voluntary source water protection

measures to protect source water in areas delineated pursuant to section 1453, in order to

facilitate compliance with national primary drinking water regulations applicable to the system

under section 1412 or otherwise significantly further the health protection objectives of this title.

Funds authorized under this clause may be used to fund only voluntary, incentive-based

mechanisms.

(iii) Any community water system to provide funding in accordance with section
25

1454(a)(1)(B)(i).

(B) Provide assistance, including technical and financial assistance, to any public water system

as part of a capacity development strategy developed and implemented in accordance with

section 1420(c).

(C) Make expenditures from the capitalization grant of the State for fiscal years 1996 and 1997

to delineate and assess source water protection areas in accordance with section 1453, except that

funds set aside for such expenditure shall be obligated within 4 fiscal years.

(D) Make expenditures from the fund for the establishment and implementation of wellhead

protection programs under section 1428.

(2) LIMITATION- For each fiscal year, the total amount of assistance provided and expenditures

made by a State under this subsection may not exceed 15 percent of the amount of the capitalization grant 

received by the State for that year and may not exceed 10 percent of that amount for any one of the 

following activities:

(A) To acquire land or conservation easements pursuant to paragraph (1)(A)(i).

(B) To provide funding to implement voluntary, incentive-based source water quality protection

measures pursuant to clauses (ii) and (iii) of paragraph (1)(A).

(C) To provide assistance through a capacity development strategy pursuant to paragraph (1)(B).

(D) To make expenditures to delineate or assess source water protection areas pursuant to

paragraph (1)(C).

(E) To make expenditures to establish and implement wellhead protection programs pursuant to

paragraph (1)(D).

(3) STATUTORY CONSTRUCTION- Nothing in this section creates or conveys any new

authority to a State, political subdivision of a State, or community water system for any new regulatory 

measure, or limits any authority of a State, political subdivision of a State or community water system.

(l) SAVINGS- The failure or inability of any public water system to receive funds under this

section or any other loan or grant program, or any delay in obtaining the funds, shall not alter the

obligation of the system to comply in a timely manner with all applicable drinking water

standards and requirements of this title.

(M) AUTHORIZATION OF APPROPRIATIONS- There are authorized to be appropriated to carry 

out the purposes of this section $599,000,000 for the fiscal year 1994 and $1,000,000,000 for each of the 

fiscal years 1995 through 2003. To the extent amounts authorized to be appropriated under this subsection 

in any fiscal year are not appropriated in that fiscal year, such amounts are authorized to be appropriated 

in a subsequent fiscal year (prior to the fiscal year 2004). Such sums shall remain available until 

expended.

(N) HEALTH EFFECTS STUDIES- From funds appropriated pursuant to this section for each

fiscal year, the Administrator shall reserve $10,000,000 for health effects studies on ranking water 

contaminants authorized by the Safe Drinking Water Act Amendments of 1996. In allocating funds made 

available under this subsection, the Administrator shall give priority to

studies concerning the health effects of cryptosporidium (as authorized by section 1458(c)),

disinfection byproducts (as authorized by section 1458(c)), and arsenic (as authorized by section

1412(b)(12)(A)), and the implementation of a plan for studies of subpopulations at greater risk of

adverse effects (as authorized by section 1458(a)).

(O) MONITORING FOR UNREGULATED CONTAMINANTS- From funds appropriated

pursuant to this section for each fiscal year beginning with fiscal year 1998, the Administrator shall 

reserve $2,000,000 to pay the costs of monitoring for unregulated contaminants under section 

1445(a)(2)(C).

(P) DEMONSTRATION PROJECT FOR STATE OF VIRGINIA- Notwithstanding the other

provisions of this section limiting the use of funds deposited in a State loan fund from any State

allotment, the State of Virginia may, as a single demonstration and with the approval of the Virginia 

General Assembly and the Administrator, conduct a program to demonstrate alternative approaches to 

intergovernmental coordination to assist in the financing of new drinking water facilities in the following 

rural communities in southwestern Virginia where none exists on the date of enactment of the Safe 

Drinking Water Act Amendments of 1996 and where such communities are experiencing economic 

hardship: Lee County, Wise County, Scott County, Dickenson County, Russell County, Buchanan 
26

County, Tazewell County, and the city of Norton, Virginia. The funds allotted to that State and deposited 

in the State loan fund may be loaned to a regional endowment fund for the purpose set forth in this 

subsection under a plan to be approved by the Administrator. The plan may include an advisory group 

that includes representatives of such counties.

(Q) SMALL SYSTEM TECHNICAL ASSISTANCE- The Administrator may reserve up to 2

percent of the total funds appropriated pursuant to subsection (m) for each of the fiscal years 1997 

through 2003 to carry out the provisions of section 1442(e) (relating to technical assistance for small 

systems), except that the total amount of funds made available for such purpose in any fiscal year through 

appropriations (as authorized by section 1442(e)) and reservations made pursuant to this subsection shall 

not exceed the amount authorized by section 1442(e).

(R) EVALUATION- The Administrator shall conduct an evaluation of the effectiveness of the State 

loan funds through fiscal year 2001. The evaluation shall be submitted to the Congress at the same time as 

the President submits to the Congress, pursuant to section 1108 of title 31, United States Code, an 

appropriations request for fiscal year 2003 relating to the budget of the Environmental Protection Agency.
27

Appendix C

Text of Federal Register Notice for Source Water Protection ICR

To be included in the final ICR
28

Appendix D

FY 2011 End of Year (EOY) Reporting Protocol for “SP-4”

Action No Later Than

States should report two numbers -- the numbers of Community Water Systems 

(CWS) that have substantially implemented Source Water Protection (SWP) 

according to the state definition and the population served by those CWS. States 

have the option of reporting to their Regional Office or through SDWIS 

(Attachment B). Any changes to a state’s definition of substantial 

implementation should be documented and provided to the region. 

Regions Determine

It is helpful to HQ if you use the sample reporting template (below). For each 

state, the Region should indicate whether or not the state is reporting through 

SDWIS. If “Yes,” indicate the date that the state formally notified the region 

(must be by June 30). For states continuing to report to the regions, “No,” 

document the numbers of CWS and the population served by those water 

systems. If there has been a change to any state’s definition of substantial 

implementation, the changes should be provided to HQ. E-mail the table and 

any narrative to Beth Hall [hall.beth@epa.gov]. 

Weds, Sept. 14

Headquarters will use SDWIS and the tables to calculate the percentages of CWS 

and population served for each State, and for the Region, based on Q3/FY2011 

SDWIS-FED denominators and return those data to the Regions.

Tuesday, October 4

Once the Regions have, for each state, the final percentages, the Regions can 

complete entry of the final percentages of CWS and of the population served, 

into ACS. Please make note in the ACS comment field provided if a state’s 

definition of substantial implementation has changed. 

Mid October

Sample Reporting Template for Regions

CWS that have achieved “substantial implementation” according to each State’s definition. (cumulative)

State Reporting 

SDWIS ?

For Y, date

Notification 

received

# CWSs Population Served

Connecticut Yes/No

Maine Yes/No

Massachusetts Yes/No

New Hampshire Yes/No

Rhode Island Yes/No

Vermont Yes/No

Narrative:

Regions II – X : Please replace Region I state names with your states’ names.