# Final Information Collection Request for the

Microbial Rulesi 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) Use/Users of the Data

................................ ................................ ............................. 9

3 NON

- DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION

CRITERIA

................................ ................................ ................................ ............ 10 3(a) Non

- duplication

................................ ................................ ................................ .... 10 3(b) Publ ic Notice Required Prior to ICR Submission to OMB

................................ .. 10 3(c) Consultations

................................ ................................ ................................ ........ 10 3(d) Effects of Less Frequent Collection

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

................................ ................................ ............................... 12 3(f) Co nfidentiality

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

................................ ................................ ............................... 13

4 RESPONDENTS AND INFORMATION REQUESTED

................................ ... 14 4(a) Respondents/NAICS Codes

................................ ................................ .................. 14 4(b) Information Requested

................................ ................................ ......................... 14

5 INFORMATION COLLECTED

-- AGENCY ACTIVITIES, COLLECTION

METHODOLOGY, AND INFORMATION MANAGEMENT

.......................... 43 5(a) Agency Activities

................................ ................................ ................................ . 43 5(b) Collection Methodology and Management

................................ .......................... 46 5(c) Small Entity Flexibility

................................ ................................ ........................ 47 5(d) Collection Schedule

................................ ................................ .............................. 50

6 ESTIMATING BURDEN AND COST OF COLLECTION

................................ 51 6(a) Respondent Burden

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

................................ ................................ ................................ . 56 6(c) Agency Burden and Costs

................................ ................................ .................... 59 6(d) Estimating Respondent Universe and Total Burden and Costs

............................ 59 6(e) Bottom Line Burden Hours and Costs

................................ ................................ .. 59 6(f) Reasons for Change in Burden

................................ ................................ ............. 61 6(g) Burden Statement

................................ ................................ ................................ . 65ii APPENDICES

Appendix A. Federal Register Notice Soliciting Comments on Information Collection

Requests

Appendix B. Surface Water Treatment Rule Spreadsheets

Appendix C. Total Coliform Rule Spreadsheets

Appendix D. Interim Enhanced Surface Water Treatment Rule Spreadsheets

Appendix E

. Long Term 1 Enhanced Surface Water Treatment Rule Spreadsheets

Appendix F

. Long Term 2 Enhanced Surface Water Treatment Rule Spreadsheets

Appendix G

. Ground Water Rule Spreadsheets

Appendix H

. Aircraft Drinking Water Rule Spreadsheetsiii LIST OF EXHIBITS

Exhibit 1: Structure of OGWDW ICRs

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

Exhibit 2: PWS Recordkeeping and Reporting Requirements

................................ .............. 15

Exhibit 3: Primacy Agency Recordkeeping and Reporting Requirements

............................ 22

Exhibit 4: EPA Requirements

................................ ................................ ................................ 45

Exhibit 5: Collection Schedule

................................ ................................ .............................. 50

Exhibit 6: Annual PWS Burden and Cost, May 1, 20 12

– April 30, 20 15

............................ 58

Exhibit 7: Annual Air Carrier Burden and Cost, May 1, 2012

– April 30, 2015

................... 58

Exhibit 8 : Annual Primacy Agency Burden and Cost, May 1, 2012

– April 30 , 2015

......... 58

Exhibit 9 : Bottom Line Annual Burden and Cost, May 1, 2012

– April 30, 2015

................ 60

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

Burden)

................................ ................................ ................................ ................. 61

Exhibit 1 1 : Restructuring Adjustments to the Annual Burden Inventory for the Microbial

Rules ICR (Includes PWS and Primacy Agency Burden)

................................ .... 62

Exhibit 12: Adjustments to PWS Burden from Previous ICR Estimates

............................... 6 3

Exhibit 13: Adjustments to Air Carrier Burden from Previous ICR Estimates

...................... 64

Exhibit 1 4 : Adjustments to Primacy Agency Burden from Previous ICR Estimates

............. 64

Exhibit 1 5 : Adjustments to Annual Burden Carried Forward from Previous ICR

Estimates (Includes PWS and Primacy Agency Burden)

................................ ..... 65iv LIST OF FIGURES

Figure 1: Structure of OGWDW ICRs 5v ACRONYMS

ADWR Aircraft Drinking Water Rule

AMWA Association of Metropolitan Water Agencies

ARCS Aircraft Reporting and Compliance System

ASDWA Association of State Drinking Water Administrators

AWWA American Water Works Association

BLS Bureau of Labor Statistics

CCP Composite Correction Program

CCR Consumer Confidence Report

CDC Centers for Disease Control and Prevention

CFE Combined Filter Effluent

CFR Code of Federal Regulations

CPE Comprehensive Performance Evaluation

CWS Community Water System

CWSS Community Water System s Survey

DBPR Disinfectants and Disinfection Byproducts Rule

DWSRF Drinking Water State Revolving Fund

EPA Environmental Protection Agency

ESWTR Enhanced Surface Water Treatment Rule

ETT Enforcement Targeting Tool

FAA Federal Aviation Administr ation

FBRR Filter Backwash Recycling Rule

FTE Full Time Equivalent

GWR Ground Water Rule

GWUDI Ground Water Under the Direct Influence of Surface Water

HAA5 Haloacetic Acids

HPC Heterotrophic Plate Count

ICR Information Collection Request

IESWTR Interim Enhanced Surface Water Treatment Rule

IFA Individual Filter Assessment

LCR Lead and Copper Rule

LT1ESWTR Long Term 1 Enhanced Surface Water Treatment Rule

LT2ESWTR Long Term 2 Enhanced Surface Water Treatment Rule

MCL Maximum Contaminant Level

MCLG Maximum Contaminant Level Goal

M

- DBP Microbial Disinfectants and Disinfection Byproducts

NAICS North American Industry Classification System

NAWC National Association of Water Companies

NCWS Noncommunity Water System

NPDWRs National Primary Drinking Water Regulations

NRDC Na tural Resources Defense Council

NRWA National Rural Water Association

NTU Nephelometric Turbidity Unit

O&M Operation and Maintenance

OGWDW Office of Ground Water and Drinking Water

OMB Office of Management and Budget

PN Public Notification

PRA Paperwork Reduction Act

PWS Public Water System

PWSS Public Water System Supervisionvi

RegNeg Regulation Negotiation

RIA Regulatory Impact Analysis

RFA Regulatory Flexibility Analysis

RTC R Revised Total Coliform Rule

SBARP Small Business Advocacy Review Panel

SBREFA Small Business Regulatory Enforcement Fairness Act

SCADA Supervisory Control and Data Acquisition

SDWA Safe Drinking Water Act

SDWIS Safe Drinking Water Informatio n System

SER Small Entity Representative

SOC Standard Occupational Classification

SWAP Source Water Assessment Program

SWTR Surface Water Treatment Rule

TCR Total Coliform Rule

TNCWS Transient Noncommunity Water System

TTHM Total Trihalomethanes

UIC Underground Injection Control

V&Es Variances and ExemptionsMicrobial Rules ICR April 2012

1 

### 1 IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title and Number of the Information Collection

Title: Information Collection Request for the Microbial Rules

OMB Control Number: 2040

- 0205

EPA Tracking Number: 1895.0 7

1(b) Short Characterization

The Office of Ground Water and Drinking Water (OGWDW) at the U.S

. Environmental Protection Agency (EPA or the Agency) is responsible for developing National Primary Drinking Water Regulations (NPDWRs) as mandated by the Safe Drinking Water Act (SDWA)

.

s ection 1412 of the SDWA requires EPA to establish NPDWRs for contaminants that may adversely impact human health

. In s ection 1414, t he Act further requires EPA to enforce these regulations to ensure that the nation’s drinking water dependably complies with the standards stipulated in the Code of Fed eral Regulations (CFR), 40 CFR part 141, s ubpart B

.

Sectio n 1445 of the SDWA stipulates that every drinking water supplier must 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

. State 1 gove rnments

— in those states that have assumed primary enforcement responsibility (primacy) for public w ater systems (PWSs) under SDWA s ection 1413

— ensure that PWSs are complying with these monitoring requirements

. As part of the Public Water System Supervision (PWSS) Program, the OGWDW uses the Safe Drinking Water Information System (SDWIS) to record some of the data collected as a result of NPDWR requirements

. SDWIS is a database management system that assists EPA in tracking and interpreting viola tions data and other program

- related data

. These data assist EPA in fulfilling its SDWA obligations

.

This Information Collection Request (ICR) was prepared in accordance with the October

200 9 version of EPA’s Guide to Writing Information Collection R equests 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 fo r ICR preparation to ensure compliance with the 1995 PRA amendments and the Office of Management and Budget’s (OMB’s) implementing guidelines.

1 Throughout this docum ent, the terms ―s tate‖ or ―states‖ are used to refer to all types of primacy agencies

. There are currently 57 primacy agencies, including the 50 states , the District of Columbia, U.S

. territories (Puerto Rico,

U.S

. Virgin Islands, Guam, American Samoa, and Northern Marianas), and Navajo Nati on

. Though Wyoming and the District of Columbia do not have primacy, the EPA burden for these activities is counted as primacy agency

burden.Microbial Rules ICR April 2012

2 This ICR examines PWS, air carrier, primacy agency and EPA burden and costs for recordkeeping and reporting re quired in support of microbial contaminant

- associated rulemakings

. These rules include the following :

1) Surface Water Treatment Rule (SWTR) 2

2) Total Coliform Rule (TCR) 3) Interim Enhanced Surface Water Treatment Rule (IESWTR) 4) Filter Backwash Recycling Rule (F BRR) 5) Long Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) 6) Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR) 7) Ground Water Rule (GWR) 8) Aircraft Drinking Water Rule (ADWR) 3

This ICR estimates burden and costs for May 1, 2012

, through April 30

, 2015 , for the

rules above

. It updates the burden and cost estimates provided in the Microbial Rules ICR dated

December 2008 , which expires on April 30, 2012

. This ICR includes burden for the ADWR only for the period after February 28

, 201 3

. ADWR burden incurred prior to this date is

addressed in the standalone ICR for that rule

. The burden and cost estimates for each rule are discussed in greater detail in s ection 6 of this document.

Continuing costs and burden for several existing drinking wat er regulations are evaluated

in this ICR

. The total annual burden associated with this ICR is estimated to be approximately

12.9 million hours per year

. The total annual cost associated with this ICR is estimated to be approximately $ 589.4 million

. The distribution of annual burden between PWSs

, air carriers and primacy agencies is approximately 10.3 million hours

, 0.03 million hours, and 2.6 million hours respectively

. The distribution of annual costs between PWSs

, air carriers and primacy agencies is approximately $ 467.8 million

, $2.9 million and $ 118.7 million

, respectively

. There is no EPA

burden or cost for this ICR 4

. Section 6 and Appendices B through H detail these burden and cost

calculations

.

The approximate annual oper ation and maintenance (O&M) and capital costs are $ 135.3

million ( $ 115.0 million for O&M and $20.4 million for capital)

. This represents the ―cost burden‖ as reported in the OMB inventory

. Note that these costs are for PWSs and air carriers only; primacy agencies do not have capital or O&M costs associated with the Microbial Rules.

2 This Microbial Rules ICR includes all SWTR components except disinfectant residual monitoring and associated activities, which are included in the Disinfectants and Disinfection Byproducts, Chemical, and Radionuclides (DDBP/Chem/Rads) Rules ICR (see section 4(b)(i) ).

3 The burden for this rule was previously addressed in standalone ICR OMB # 2040

- 0277

. It is being incorporated

into the Microbial Rules ICR for the first time . Note that the ADWR applies only to air carriers that operate aircraft public water systems. As discussed further in section 4 , although aircraft public water systems are technically

PWSs , air carriers rather than PWSs are the respondents for the ADWR.

4 EPA directly implements the Aircraft Drinking Water Rule, but the burden and cost for these activities is accounted for in the PWSS Program ICR unde r the 231.9 R egional full time equivale nts (FTEs) dedicated to drinking water protection implementation activities.Microbial Rules ICR April 2012

3 The total number of respondents for this ICR is 153,083 ; 57 of these respondents are primacy agencies

, 47 are air carriers, and the balance are existing PWSs ( 152,979 )

. The total annual number of responses for these respondents is 28.9 million ( 26.7 million for PWSs

, 0.098

million for air carriers and 2.1 million for primacy agencies).



### 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 describes why EPA needs the information

. Section 4 contains a summary of the major recordkeeping and reporting requirements for rule s covered by this ICR

.

The Microbial Rules ICR includes the following rules add ressing microbial

contaminants:

1) Surface Water Treatment Rule 2) Total Coliform Rule 3) Interim Enhanced Surface Water Treatment Rule 4) Filter Backwash Recycling Rule 5) Long Term 1 Enhanced Surface Water Treatment Rule 6) Long Term 2 Enhanced Surface Water Treatment Rule 7) Ground Water Rule 8) Aircraft Drinking Water Rule

As EPA publishes new regulations, EPA will amend the appropriate ICR to include the

new rules

.

For a graphical depic tion 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 information collected under this ICR is requi red by EPA to carry out its monitoring and enforcement responsibilities under SDWA

.

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

. Further, §1445 of the SDWA requires that PWSs collect information to assist EPA in determining compliance:

“ 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 reaso nably require by regulation to assist him in establishing regulations, in determining whether such person has acted or is in compliance with this title... ”Microbial Rules ICR April 2012

4 In addition, §1401(1)(d) of the SDWA 1986 Amendments defines NPDWRs to include ―criteria and proce dures to assure a supply of drinking water which dependably complies with such maximum contaminant levels; including accepted methods for quality control and testing procedures to insure compliance with such levels

... .‖ This section authorizes EPA to requir e systems and laboratories to use Agency

- approved methods and quality assurance criteria for collecting and analyzing water samples.Microbial Rules ICR April 2012

5Microbial Rules ICR April 2012

6 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 (V&Es) Capacity Development Program General State Primacy Activities Public Notification (PN) Operator Certification Expense Reimbursement Grants Program Tribal Operator Certification Constructed Conveyances Proficiency Testing Microbial Rules ICR (2040

- 0205)

Surface Water Treatment Rule (SWTR) , except disinfectant residual monitoring and associated

activities 5 Revised Total Coliform Rule (RTCR)

Total Coliform Rule (TCR)

Interim Enhanced Surface Water Treatment Rule (IESWTR) Filter Backwash Recycling Rule (FBRR) Long Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR)

Ground Water Rule (GWR) Aircraft Drinking Water Rule ( A DWR) Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR (2040

- 0204)

Stage 1 Disinfectants and Disinfection Byproducts

Rule (DBPR) Disinfectant Residual Monitoring and associated
activities under the SWTR Stage 2 DBPR

Chemical Phase Rules

Radionuclides Rule

Arsenic Rule Lead and Copper Rule (LCR) Source Water Assessment Program (SWAP) ICR (2040

- 0197)

SWAP Underground Injection Control (UIC) Program ICR (2040

- 0042)

Underground Injection Control Program ( UIC ) Base Program Activities Class VI Geologic Sequestration Rule

– Under
current EPA ICR N umber 0370.24

Class V Rule

Florida Class I Rule

5 Disinfectant residual monitoring and associated activities are included in the DDBP/Chem/Rads Rules ICR.Microbial Rules ICR April 2012

7 Currently covered To be covered in the future

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

- 0185)

Drinking Water State Revolving Fund Program (DWSRF) Drinking Water Infrastructure Needs Survey ICR (2040

- 0274)

2011 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 Laboratory Quality Assurance Evaluation Program for Analysis of Cryptosporidium ICR (2040

- 0246)

Proficiency Testing Program for Laboratories Analyzing Cryptosporidium Samples

Surface Water Treatment Rule

The 1986 SDWA Amendments required EPA to propose and promulgate a NPDWR specifying criteria under which filtration would be required as a treatment technique for public

water systems supp lied by surface water sources (s ection 1412 (b)(7)(C)(i))

. In promulgating

this re gulation and setting the criteria, EPA was required to consider source water quality; protection afforded by watershed management programs; treatment techniques, such as disinfection practices and length of water storage; and other factors relevant to prot ection of

health

. The requirements for the SWTR included in this ICR help EPA promote public health through proper operation of filtration techniques

. Additional SWTR requirements, such as monitoring and watershed control programs, promote protection of public health in the absence

of filtration.

Total Coliform Rule

The 1986 SDWA Amendments required EPA to publish maximum contaminant level goals (MCLGs) and promulgate NPDWRs for the 83 contaminants listed in the Advance Notice of Proposed Rulemaking at 47 FR 45502 (March 4, 1982) and 48 FR 45502 (October 5, 1983)

. EPA believes that promulgation of this regulation complied with the statutory requirements for regulating total coliforms in all PWSs.

Interim Enhanced Surface Water Treatment Rule

SDWA was amended in August 1996, resulting in the addition of new sections that establish new drinking water requirements

. SDWA s ection 1412(b)(2)( C ) of the 1996Microbial Rules ICR April 2012

8 amendments require d EPA to promulgate an Interim Enhanced Surface Water Treatment Rule

. The IESW TR set the first drinking water standards to control Cryptosporidium in large systems.

Filter Backwash Recycling Rule

The 1996 SDWA amendments establish ed new drinking water requirements for filtration

. SDWA s ection 1412(b)(14) requires the Administrator to promulgate a regulation to govern the recycling of filter backwash water within the treatment process of a PWS

. The FBRR satisfies this regulatory requirement.

Long Term 1 Enhanced Surface Water Treatment Rule

SDWA s ection 1412(b)(2)(C ) established a number of regulatory deadlines, including two stages of the Enhanced Surface Water Treatment Rule (ESWTR)

. The LT1ESWTR is part of the first stage of the ESWTR

. The LT1ESWTR strengthens the standards previously

established under the SWTR and applies the standards set for Cryptosporidium in the IESWTR to small systems.

Long Term 2 Enhanced Surface Water Treatment Rule

SDWA s ection 1412(b)(2)(C) established a number of regulatory deadlines, including two stages of the ESWTR

. The LT2ESWTR is part of the final stage of the ESWTR

. The rule requires further treatment to remove Cryptosporidium based on the amount of Cryptosporidium present in a system’s source water

.

Ground Water Rule

The 1996 SDWA amendments required the Administrator to publish a national drinking water regulation requiring disinfection of ground water as necessary ( § 1412(b) (8))

. The GWR sets conditions where disinfection of ground water is considered necessary

. The final GWR was promulgated November 8, 2006

.

Aircraf t Drinking Water Rule

Section 1411 of the SDWA gives EPA the authority to ensure that aircraft that meet the definition of a PWS comply with the NPDWRs:

Subject to sections 1415 and 1416, national primary drinking water regulations under this part shall apply to each public water system in each State; except that such regulations shall not apply to a public water system

1) which consists only of distribution and storage facilities (and does not have any collection and treatment facilities); 2) which obta ins all of its water from, but is not owned or operated by a public water system to which such regulations apply; 3) which does not sell water to any person; and 4) which is not a carrier which conveys passengers in interstate commerce.Microbial Rules ICR April 2012

9 Aircraft PWSs are considered transient non

- community water systems (TNCWSs); such systems regularly serve an average of at least 25 individuals daily at least 60 days per year

. As with other PWSs, water used for human consumption onboard an aircraft must meet the requireme nts of the SDWA

. EPA promulgated the ADWR to tailor existing health

- based drinking water standards to the unique characteristics of aircraft

.

2(b) Use/Users of the Data

The information described in s ection 4 of this ICR will be collected by EPA and made available to the public upon request, as required by the Freedom of Inf ormation Act (40 CFR Chapter 1 p art 2)

. In some cases, SDWA requires that the information be provided to the public or the primacy agency

. Primary users of the data collected und er this ICR are OGWDW, PWS

managers, air carriers and primacy agencies, which include s tate regulators, Indian Tribes, and, in some instances, EPA Regional Administrators

. Other users include the following :

Staff from other EPA programs (such as Superfu nd, the Resource Conservation and Recovery Act, and the Office of Enforcement and Compliance Assurance) Federal Emergency Management Agency 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 Wate r Companies (NAWC) Association of State Drinking Water Administrators (ASDWA)

Natural Resources Defense Council (NRDC)

Consumers Federation of America

News o rganizations

Primacy agencies maintain records compiled from PWS respondents (§142.14) and can

use these records to track PWS monitoring and compliance violations, as well as enforcement

activities

. The primacy agency can also track schedules for PWSs trying to achieve compliance

.

Primacy agencies report informati on on PWS violations to SDWIS

. This federal information system allows EPA and states to store and r etrieve information over time

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

. Usually, these data are used by the Agency for maintaining ov ersight and to communicate information on drinking water program implementation

.Microbial Rules ICR April 2012

10 

### 3 NON

- DUPLICATION, CONSULTATIONS, AND OTHER

COLLECTION CRITERIA

3(a) Non

- duplication

EPA has made an effort to ensure that the data collection efforts asso ciated with this ICR are not duplicated

. EPA consulted with state environmental programs, other federal agencies (such as the CDC), and regulated entities (such as PWSs and their representative trade associations) during the development of each rule discu ssed in this document

. To the best of EPA's knowledge, data currently required by the SDWA (and its implementing regulations codified at 40 CFR p arts 141 and 142) are not available from any other source.

3(b) Public Notice Required Prior to ICR Submis sion 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 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.

3(c) Consultations

Throughout the development and implementation of various microbial regulations,

OGWDW has held numero us meetings with interested stakeholders, including state and EPA Regional personnel and PWS representatives, to identify the value and ease of collecting

information neede d to fulfill SDWA obligations

. As a standard regulatory development practice

to pro mote public involvement, EPA formally solicits public comment on proposed drinking

water rules

. Before any rule is finalized, EPA logs and evaluates all writt en comments on proposed rules

. Additionally, EPA usually holds public meetings during which any interested party may provide oral testimony for Agency cons ideration

. Such meetings are typically

announced in the Federal Register notice accompanying the proposed rule.

In the initial phases of program development, or to confirm assumptions on which rules or guidelines are based, EPA often augments formal meetings with other workshops or m eetings to gather information

. The following are specific examples of meetings and other consultations held by EPA to address the regulations contained in this ICR

.

In 1985, EPA held a workshop to discuss options for regulating microbial

contaminants. In 1985, the Federal Register presented a discussion on the need for mandatory

filtration and disinfection of surface water

. This Federal Register notice also

reque sted public comment on the subject.

A Federal Register notice was published on May 6, 1988, to discuss additional alternatives for the proposed SWTR.

The TCR w as published on June 29, 1989

. The 1989 TCR was reviewed as part

of the six

- year revie w of drink ing water standards

. EPA published its preliminary

revise/do not revise decisions in the Federal Register to request public commentMicrobial Rules ICR April 2012

11 (67 FR 19029

- 19090)

. EPA received and reviewed comments from 44

commenters

. EPA held a stakeholder meeting on May 30, 200 2 to discuss the results of these preliminary findings

. In 1992, EPA instituted a formal regulation negotiation ( RegNeg ) process to discuss proposed amendments to the SDWA with potentially affected parties (57 FR 53866; Nov

. 13, 1992)

. This RegNeg Comm ittee included represent atives

from water utilities and other industri es, state public health and regulatory agencies, environmental groups, consumer groups, and EPA

. T he RegNeg Committee agreed that EPA should propose three rules: Information Collection Rule (finalized in 1996), a staged Enhanced Surface Water Treatment Rule, and a staged Disinfectants and Disinfection Byproducts Rule. A microbial contaminants and disinfection byproducts advisory committee, formed under the authority of the Federal Advis ory Committees Act, convened in 1997 to review the data and assumptions used to support the 1994 proposed changes to the SWTR and data that had subsequently been collected

. In July 1997, participants signed an agreement in principle, outlining the Committ ee’s recommendations to EPA on the major components of the IESWTR and Stage 1

DBPR. Between March and December 1997, the Small System Data Needs Working Group held six meetings to discuss availability of water quality and financial data for small systems. Twenty

- four small entity representatives (SERs) were invited to participate in a

teleconference to discuss the FBRR and LT1ESWTR on April 28, 1998

. Of the 24 invited SERs, 15 participated in the teleconference. On August 21, 1998, a Small Business Advocac y Review Panel (SBARP) met to discuss the proposed FBRR and LT1ESWTR

. Two additional meetings of the SBARP were held between August 21 and October 19, 1998. In September 1998, the SBARP distributed information on regulatory approaches

and costs to the SER s for review and comment. The SBARP and SERs participated in a joint teleconference on September 25,

1998.

A Stage 2 Microbial Disinfectants and Disinfection Byproducts (M

- DBP) Advisory Committee was formed under the authority of the Federal Advisory

Committees Act

. The committee represented a broad cross section of organizations and convened 14 times between March 1999 and February 2000

. EPA held 3 meetings with representatives of small entities and one meeting with tribal represen tatives to discuss LT2ESWTR

. In December 1997, EPA held a preliminary meeting on the GWR

. After the initial meeting

, five meetings were held throughout the country

. Early involvement meetings were also held with state regulators

. EPA also received inp ut from small system operators. EPA consulted with stakeholders during development of the proposed ADWR using a facilitated, collaborative process

. Stakeholders included representatives from air carriers, airline associations, flight attendant association s, public interest groups, and others

. EPA held a public meeting on the subject on June 1, 2005

. Stakeholder consultations were implemented during several one

- on

- one meetingsMicrobial Rules ICR April 2012

12 with Agency personnel and during 2

- day collaborative workshops held in January

2006 and March 2007.

As part of the revision of the Microbial Rules ICR , in December 2011 EPA consulted

wi th representatives of PWSs and s tates regarding the accuracy of EPA’s burden estimates

. The groups consulted were NAWC, NRWA, AWWA, AMWA, and ASDWA

. These groups’ 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

.

Since the regulations covered by this ICR are not new, the typical consultations, workshops, and meetings held for proposed rules were not held immediately prior to the development of this document

.

3(d) Effects of Less Frequent Collection

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

. Where possible, EPA has chosen to require the least frequent collection that remains consistent with overall public health protection objectives

. If data are collected less frequently, the primacy agency may not identif

y in a timely fashion significant contaminant concentrations which might threaten the health and safety of drinking water consumers.

For some microbial contaminant regulations, the primacy agency has discretion in adjusting the monitoring schedules

. Mon itoring schedules vary based on the number of people served by a system, contaminants likely to be found, and source of raw water supply

. The monitoring frequency design also considers that the number of people served affects exposure to contaminants, as well as the resources available to undertake monitoring activity

. Monitoring frequencies have been carefully devised based on the following factors :

Data quality needed for a representative sample. Precision and accuracy needed from the representative sample. Number of people served by the system. Source of the supply (e.g., surface water or ground water). Contaminants likely to be found. Historical variability in contaminant occurrence.

3(e) General Guidelines

This ICR was prepared in accordance w ith the October 2009 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 wit h the 1995 PRA amendments and OMB’s implementing guidelines.

3(f) Confidentiality

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

.Microbial Rules ICR April 2012

13 3(g) Sensitive Questions

No information of a sensitive nature will be collected as a result of this ICR.Microbial Rules ICR April 2012

14 

### 4 RESPONDENTS AND INFORMATION REQUESTED

4(a) Respondents/NAICS Codes

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

. Respondents include :

O wners/operators of PWSs, who must report to the primacy agency. All commercial air carriers that fly routes between two or more locations within

the United States and whose aircraft meet the definition of a PWS

. Air carriers report to EPA. 6
Primacy agencies , which must report to EPA.

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

. The NAICS code for state agencies that include drinking water programs is 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

. The NAIC S codes for air carriers are 481111 and 481211, the codes for scheduled and unscheduled air transportation industries, respectively.

4(b) Information Requested

Exhibits 2 and 3 summ arize the respondent information collection requirements covered by the Microbial Rules ICR

. These requirements are also discussed below

.

6 Note that technically aircraft are PWSs if they serve 25 or more peopl e at least 60 days each year

. However, aircraft water systems are not included in the inventory of PWSs contained in SDWIS

. Additionally, the ADWR applies only to air carriers that own and operate aircraft water systems

. Because many air carriers own or operate more than one aircraft, there is not a one

- to

- one correspondence between aircraft water systems and respondents

. For these reasons, for the ADWR standalone ICR, EPA did not group aircraft water systems with PWS respondents (NAICS code 22131)

. In stead, EPA determined that air carriers were the appropriate respondents

. EPA has decided to carry that designation forward as it incorporates the ADWR ICR into the M icrobial Rules ICR

.Microbial Rules ICR April 2012

15 Exhibit 2 : PWS Recordkeeping and Reporting Requirements

Requirement Regulatory Citation Frequency/Retention
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 p art 141. 40 CFR 141.31(a) At the end of the required monitoring period Failure to comply with any NPDWR. 40 CFR 141.31(b) and (c) As necessary, unless state lab performs analysis and reports

results to state Copies of records require d to be

maintained under section 141.33 and/or copies of documents that the state is

entitled to under s ection 1445 of SDWA or

s tate law. 40 CFR 141.31(e) As requested by the state

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 yea rs

Records concerning a variance or exemption granted. 40 CFR 141.33(d) 5 years following the expiration of the variance or exemption SWTR (all requirements except those regarding disinfection residual monitoring) Unfiltered Systems

– Reporting Report source water quality information to

the state for each month the system serves water to the public. 40 CFR 141.75(a)(1)(i) through (ix) Monthly

Report to the state a summary of PWS compliance with all watershed control program requirements. 40 CFR 141.75(a)(3) Annually

Report to the state on the on

- site inspection conducted during that year. 40 CFR 141.75(a)(4) Annually

Any waterborne disease outbreak potentially attributable to that water system must be reporte d to the s tate. 40 CFR 141.75(a) (5)(i) As necessary , as soon as possible but not later than end of the next business day. Any time turbidity exceeds 5 nephelometric turbidity units ( NTU ) the PWS must inform

the state

. 40 CFR 141.75(a)(5)(ii) As necessary

, as soon as practical but no later than 24 hours after learning of the

exceedance

. Filtered Systems

– Reporting Report to the state turbidity measurements
and associated information for each month the system serves water to the public. 40 CFR 141.75(b)(1)(i) through (iii) MonthlyMicrobial Rules ICR April 2012

16 Requirement Regulatory Citation Frequency/Retention
Any time turbidity exceeds 5 NTU the PWS

must inform the state

. 40 CFR 141.75(b)(3)(ii) As necessary

, as soon as practical but no later than 24 hours after learning of the

exceedance

. Any w a terborne disease outbreak potentially attributable to that water system must be reported to the state

. 40 CFR 141.75(b)(3)(i) As necessary , as soon as possible but not later than end of the next business day.

TCR Reporting Prepare written sample siting plan for state
review. 40 CFR 141.21(a)(1) As necessary

Notify the state if fecal coliforms or E

. coli are present. 40 CFR 141.21(e)(1) As necessary , by end of the day in which system receives results,
or if state office is closed, by end of next business day

. Report to the state any exceedance of the maximum contaminant level ( MCL ) for total
coliforms. 40 CFR 141.21(g)(1) As necessary , by end of next business day

.

Report to the state any failure to comply

with colifor m monitoring requirements. 40 CFR 141.21(g)(2) As necessary , within 10 days after discovering the violation

. Recordkeeping Subject to general requirements as listed above.

IESWTR Reporting A PWS using alternative filtration technologies must demonstrate to the state that the system achieves required
removal/inactivation. 40 CFR 141.173(b) As necessary

A PWS must report combined filter effluent (CFE) turbidity levels for each month that the system serves water to the public. 40 CFR 141.175(a)(1) through (3) Monthly

A PWS must report that it has conducted individual filter turbidity monitoring for each month that the system serves water to the public. 40 CFR 141.175(b) Monthly

If certain measurement thresholds are exceeded, a P WS must report individual filter turbidity measurements for each month that the system serves water to the public. 40 CFR 141.175(b)(1) through (4) As necessary

Following certain exceedances, a PWS must report to the state the reason for the

exceedance or that i t has produced a filter profile. 40 CFR 141.175(b)(1) and (2) As necessary

Following certain exceedances, a PWS must report to the state that it has
conducted a filter self

- assessment. 40 CFR 141.175(b)(3) As necessary

Following certain exce edances, a PWS must submit to the state a comprehensive performance evaluation (CPE). 40 CFR 141.175(b)(4) As necessary

If certain CFE measurement thresholds are exceeded, systems must inform the state. 40 CFR 141.175(c)(1) and (2) As necessary, as soon as possible but no later than the end of the next business day.Microbial Rules ICR April 2012

17 Requirement Regulatory Citation Frequency/Retention

A PWS must submit information to the state as part of the required consultation process when making significant changes to disinfection practices. 40 CFR 141.172(c)(4) As necessary

Recordkeeping Systems must maintain the results of individual filter turbidity monitoring. 40 CFR 141.175(b) 3 years

A PWS must retain disinfection profile data in graphic form, as a spreadsheet, or in some other format acceptable to the state

for review as part of sanitary surveys conducted by the state. 40 CFR 141.172(b)(6) As necessary

FBRR Recordkeeping Collect and retain on file the following recycle flow information for review and evaluation by the state: 1) Copy of the recycle notification and information previously submitted to the state; 2) List of all recycle flows and the frequency with which they are returned; 3) Average and maximum backwash flow rate through the filters and the average and maximum
duration of the filter ba ckwash process in minutes; 4) Typical filter run length and a written summary of how filter run length is determined; 5) The type of treatment provided for the recycle flow; and 6) Data on the physical dimensions of the equalization and/or treatment units, typical and maximum hydraulic loading rates, type of treatment chemicals used and average dose and frequency of use, and frequency at which solids are removed, if applicable. 40 CFR 141.76(d)(1) through (6), 141.33 10 years

LT1ESWTR Reporting

A PWS using alternative filtration technologies must demonstrate to the state that the system achieves required
removal/inactivation. 40 CFR 141.552(a) As necessary

A PWS must report combined filter effluent turbidity levels for each month that the system serves water to the public. 40 CFR 141.570(a)

, 141.551 Monthly

A PWS must report that it has conducted individual filter turbidity monitoring for each month that the system serves water to the public. 40 CFR 141.570(b)(1)

, 141.560(d) Monthly

If certain measurement thresholds are exceeded, a PWS must report individual filter turbidity measurements for each month that the system serves water to the public. 40 CFR 141. 570(b) (2)

, 141.560(d), 141.563(a) As necessary

Following certain exceedances, a PWS must report to the state the reason for the 40 CFR 141. 570 (b)( 2 )

, 141.563(a) As necessaryMicrobial Rules ICR April 2012

18 Requirement Regulatory Citation Frequency/Retention

exceedance. Following certain exceedances, a PWS must report to the state that it has
conducted a filter self

- assessment. 40 CFR 141.570 (b)(3) As necessary

Following certain exceedances, a PWS must report to the state that a comprehensive performance evaluation (CPE) was triggered. 40 CFR 141.570(b)(4) As necessary

Following certain exceedances, a PWS

must submit to the state a CPE. 40 CFR 141.570(b)(5 ) and 141.563(c) As necessary within 120 days after the CPE was triggered

Report a description of the proposed change in disinfection, the system’s disinfection profile for Giardia lamblia (and, if necessary, viruses) and disinfection benchmark, and an analysis of how the proposed change will affect the current

levels of disinfection. 40 CFR 141.570(d)

, 141.542 As necessary

Recordkeeping Records of individual filter turbidity monitoring measurements. 40 CFR 141.571(a)

, 141.560(e) At least 3 years

Records of disinfection profiles (including raw data and analysis). 40 CFR 141.571(b)

, 141.536 Indefinitely

Records of disinfection benchmarking (including raw data and analysis). 40 CFR 141.571(c) Indefinitely

LT2ESWTR Reporting

Results of E

. coli and Cryptosporidium (and turbidity, if applicable) source water monitoring

. 40 CFR 141.706(a) Monthly while monitoring is required

Bin classification (or mean Cryptosporidium level for unfiltered systems)

. 40 CFR 141.710(e)(1)

- (e)(2), 141.712 6 months after source water monitoring is complete

Use of uncovered finished water reservoirs and a schedule for covering or disinfecting

them. 40 CFR 141.714(b) One time , by April 1, 2008.

Systems installing technology must demonstrate compliance with technology

based criteria. 40 CFR 141.715 Varies

Systems changing disinfection practices must develop a disinfection profile and
benchmark for Giardia and viruses

. 40 CFR 141.708

- 141.709 As necessary

Sampling schedule

. 40 CFR 141.702 Once prior to initial monitoring and once during second round of monitoring Recordkeeping Records of sample results for Cryptosporidium, E

. coli and turbidity

. 40 CFR 141.706 At least 3 years

Systems changing technologies must complete a disinfection profile for Giardia

and viruses. 40 CFR 141.708 At least 3 years

Results of treatment monitoring associated

with microbial toolbox and with uncovered
finished water reservoirs

. 40 CFR 141.722 At least 3 yearsMicrobial Rules ICR April 2012

19 Requirement Regulatory Citation Frequency/Retention

Notification that systems will not conduct source water monitoring due to having 5

- log treatment in place

. 40 CFR 141.722 At least 3 years

GWR Reporting A PWS conducting compliance monitoring must notify the state any time the system fails to meet any state

- specified requirements including, but not limited to,
minimum residual disinfectant concentration, membrane operating criteria or membrane integrity, and alternative treatment operating criteria, if operation in

accordanc e with the criteria or requirements is not restored within 4 hours. 40 CFR 141.405(a) As soon as possible but no later
than the close of the next business day.

After completing any corrective action, a PWS must notify the state of completion of

the correc tive action

. 40 CFR 141.405(a) Within 30 days.

If a PWS with a positive TCR sample does not conduct source water monitoring, the system must provide documentation to the
state that it met the state criteria for avoiding monitoring. 40 CFR 141.405(a) Withi n 30 days

Recordkeeping

Records of corrective actions

. 40 CFR 141.405(b) At least 10 years Reports of public notification

. 40 CFR 141.405(b) At least 3 years

Documentation of records of decisions and

records of invalidation of fecal indicator

positive ground water source samples. 40 CFR 141.405(b) At least 5 years

For consecutive systems, documentation of notification to the wholesale system(s) of

total

- coliform positive samples that are not

invalidated

. 40 CFR 141.405(b) At least 5 years

Records of the state

- specified minimum
disinfectant residual

. 40 CFR 141.405(b) At least 10 years

Records of the lowest daily residual

disinfectant concentration and records of the date and duration of any failure to

maintain the state

- prescribed minimum
residual disinfectant concentration for a period of more than 4 hours

. 40 CFR 141.405(b) At least 5 years

Records of state

- specified compliance requirements of membrane filtration and of parameters specified by the state for state

approved alterna tive treatment and records of the date and duration of any failure to meet the membrane operating, membrane integrity, or alternative treatment operating requirements for more than 4 hours

. 40 CFR 141.405(b) At least 5 yearsMicrobial Rules ICR April 2012

20 Requirement Regulatory Citation Frequency/Retention

ADWR 7
Reporting Development of a sampling plan

. 40 CFR 141.806(a)(1) One time, by April 19, 2011 (or for new aircraft, during the first quarter of operation)

. The coliform sampling frequency listed in the sampling plan

. 40 CFR 141.806(a)(1) One time, by April 19, 2011 (or for new aircraft, during the first quarter of operation)

. Development of an operations and maintenance plan

. 40 CFR 141.806(a)(1) One time, by April 19, 2011 (or for new aircraft, during the first quarter of operation)

. Frequency for routine disinfec tion and flushing, cited in the operations and maintenance plan

. 40 CFR 141.806(a)(1) One time, by April 19, 2011 (or for new aircraft, during the first quarter of operation)

. Inventory information for each aircraft

. 40 CFR 141.806(b)(1) One time, by April 19, 2011 Changes in aircraft inventory

. 40 CFR 141.806(b)(2) 10 days after the calendar month in which the changes occurred. Coliform sampling results

. 40 CFR 141.806(b)(3) According to the frequency established in the sampling plan, within 10 days after the sampling period ends

. Routine disinfection and flushing events

. 40 CFR 141.806(b)(3) According to the frequency established in the operations and maintenance plan, within 10 days
of the end of the disinfection and flushing period.

All events requiring notification to

passengers or crew, or non

- routine disinfection and flushing, or non

- routine sampling

. 40 CFR 141.806(b)(4) Within 10 days of the event

.

Failure to comply with the monitoring or disinfection and flushing requirements

. 40 CFR 141. 806(b)(5) Within 10 calendar days of discovery of the failure

. Changes in disinfection and flushing and coliform sampling frequencies

. 40 CFR 141.806(b)(6) No later than 10 days following

the calendar month in which the change occurred

. Evidence of a sel f

- inspection

. 40 CFR 141.806(c) Within 90 days of completion of the inspection

. Whether a deficiency detected during a

self

- inspection or compliance audit has been corrected, and a schedule if it has

not

. 40 CFR 141.806(c) Within 90 days of the detection of the deficiency

.

Recordkeeping Records of bacteriological analyses

. 40 CFR 141.807(a) At least 5 years Records of any disinfection and flushing

. 40 CFR 141.807(b) At least 5 years

Records of self

- inspections

. 40 CFR 141.807(c) At least 10 years Sampling plans, such plans must be available for review by the Administrator upon request, including during compliance

audits. 40 CFR 141.807(d) None specified; must be

maintained and available for review by EPA

.

7 Respondents for ADWR are determined differently than respondents for other rules in the ICR

. See previous

footnote.Microbial Rules ICR April 2012

21 Requirement Regulatory Citation Frequency/Retention

Aircraft water system operations and

maint enance plans

. 40 CFR 141.807(e) None specified, must be

maintained in accordance with

Federal Aviation Administration (FAA) requirements and made available for review by EPA

. Copies of public notices issued to passengers and crew

. 40 CFR 141.807(f) At least 3 yearsMicrobial Rules ICR April 2012

22 Exhibit 3 Primacy Agency Recordkeeping and Reporting Requirements

Requirement Regulatory Citation Minimum 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

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 (not less than one year)

Retai n files, which shall include for each
PWS in the state reports of sanitary surveys, records of any state approvals, and records of any enforcement actions. 40 CFR 142.14(d)(2) and (3) 12 years

SWTR (all requirements except those regarding disinfection residual monitoring) Reporting A list identifying the name, PWS

identification number and date of the
determination for each PWS that the state has determined is not required to provide
filtration treatment. 40 CFR 142.15(c)(1)(i)(A) As necessary

A list identifying the name and PWS
identification number of each PWS that

the state has determined has no means of having a sample transported and analyzed for heterotrophic plate count ( HPC ) by a certified laboratory under the requisite time and tempera ture conditions and is providing adequate disinfection in the distribution system. 40 CFR 142.15(c)(1)(i)(B) As necessary

Notification of any determination that a PWS is not required to provide filtration

treatment. 40 CFR 142.15(c)(1)(ii) As necessary w ithin 60 days of the end of the calendar quarter

.

Recordkeeping Records of microbiological analyses. 40 CFR 142.14(a)(1) 1 year Records of microbiological analyses of repeat or special samples. 40 CFR 142.14(a)(2) 1 year

Records of turbidity measurements. 40 CFR 142.14(a)(3) 1 year Records of decisions made on a system

by

- system and case

- by

- case basis under provisions of part 141, subpart H, subpart P, or subpart T must be made in writing and kept at the state

. 40 CFR 142.14(a)(4)(ii) VariesMicrobial Rules ICR April 2012

23 Requirement Regulatory Citation Minimum Frequency/

Retention Period

Records of any decision to allow a PWS to substitute a turbidity limit, sample at alternate locations, use continuous monitoring (for unfiltered systems), or reduce sampling or reporting. 40 CFR 142.14(a)(4)(ii)(A)(1) through (5),(7),(8) 40 years or until 1 year after the

decision is reversed or revised

.

Records of any decision that a violation of the total coliform MCL was not caused by a deficiency in treatment of the source

water. 40 CFR 142.14(a)(4)(ii)(B)(3) One year after the decision is

made

.

Records of any decision that total coliform monitoring otherwise required because the turbidity of the source water exceeds 1 NTU is not feasible, except that if such decision allows a system to avoid monitoring without receiving state approval in each in stance. 40 CFR 142.14(a)(4)(ii)(B)(4) One year after the decision is

made

.

Records of any decision that a public water system’s watershed control program meets the requirements of 141.71(b)(2). 40 CFR 142.14(a)(4)(ii)(C)(3) Until the next decision is
available and filed

.

Records of any decision that an individual is a qualified operator for a PWS using a surface water source or a ground water

source under the direct influence of
surface water

. 40 CFR 142.14(a)(4)(ii)(C)(4) Until the qualification is

withdrawn

.

Records of any decision that a party other

than the state is approved by the state to
conduct on

- site inspections. 40 CFR 142.14(a)(4)(ii)(C)(5) Until the decision is withdrawn

.

Records of any decision that an unfiltered
PWS has been identified as the source of a waterborne disease outbreak, and, if applicable, that it has been modified sufficiently to prevent another such

occurrence

. A copy of the decision must be provided to the system

. 40 CFR 142.14(a)(4)(ii)(C)(6) Until filtr ation treatment is

installed

.

Records of any decision that certain interim disinfection requirements are necessary for an unfiltered PWS for which

the state has determined that filtration is necessary, and a list of those requirements

. A copy of the req uirements must be provided to the system. 40 CFR 142.14(a)(4)(ii)(C)(7) Until filtration treatment is

installed

.

Records of any decision that automatic

shut

- off of delivery of water to the distribution system of an unfiltered PWS

would cause an unreasonab le risk to health or interfere with fire protection. 40 CFR 142.14(a)(4)(ii)(C)(8) Until rescinded

.Microbial Rules ICR April 2012

24 Requirement Regulatory Citation Minimum Frequency/

Retention Period

Records of any decision that a PWS may use alternative filtration technology because they consistently achieve 99.9 percent removal and/or inactivation of
Giardia lamblia cysts and 99.99 percent

removal and/or inactivation of viruses

. A copy of the decision must be provided to
the PWS

. 40 CFR 142.14(a)(4)(ii)(C)(11) Until the decision is reversed or

revised

.

Records of any decision that a system using a ground water source is under the
direct influence of surface water. 40 CFR 142.14(a)(4)(ii)(C)(14) 40 years

Records of any determination that a PWS supplied by a surface water source or a ground water source under the direct
influence of surface water is not required to provide filtration treatment

. A copy of the determination must be provided to the system. 40 CFR 142.14(a)(4)(ii)(C)(14)(iii) 40 years or until withdrawn,

whichever is earlier

.

Records of analysis for other than microbiological contaminants (including total coliform, fecal coliform, and heterotrophic plate count), residual disinfectant concentration, other parameters necessary to determine
disinfection effectiveness. 40 CFR 142.14(a)(6) 12 years

Special Primacy Requirements An application for approval of a state program revision that adopts 40 CFR part 141, subpart H Filtration and Disinfection. 40 CFR 142.16(b) One time

TCR Reporting Reports to the Administrator containing a
list of PWSs that the state is allowing to monitor less frequently than once per month for CWSs or less frequently than once per quarter for Noncommunity Water Systems ( NCWSs )

. 40 CFR 142.15(c)(2) One time; update as needed

.

Recordkeeping Records of microbiological analyses. 40 CFR 142.14(a)(1) 1 year Records of microbiological ana l yses of repeat or special samples. 40 CFR 142.14(a)(2) 1 year

Records of any decision to waive the 24

- hour time limit for collecting repeat samples after a total coliform

- positive

routine sample. 40 CFR 142.14(a)(5)(i)(A) 5 years

Records of any decision to allow a system to waive the requirement for five routine samples the month following a total
coliform

- positive sample. 40 CFR 142.14(a)(5)(i)(B) 5 years

Records of any decision to invalidate a
total coliform

- positive sample. 40 CFR 142.14(a)(5)(i)(C) 5 yearsMicrobial Rules ICR April 2012

25 Requirement Regulatory Citation Minimum Frequency/

Retention Period

Records of any decision to reduce the total coliform monitoring frequency for certain CWSs to less than once per

month

. A copy of the reduced frequency

decision must be provided to the system. 40 CFR 142.14(a)(5)(ii)(A) Retain in such a manner that a system’s current status may be

determined

.

Records of any decision to reduce the total coliform monitoring frequency for certain NCWSs to less than once per quarter

. A copy of the reduced frequency

decision must be provided to the system. 40 CFR 142.14(a)(5)(ii)(B) Retain in such a manner that a system’s current status may be

determined

.

Records of any decision to reduce the total coliform monitoring frequency for

certain NCWSs during any month the system serves 1,000 persons or fewer

. A copy of the reduced frequency must be provided to the system. 40 CFR 142.14(a)(5)(ii)(C) Retain in such a manner that a system’s current status may be

determined

.

Records of any decision to waive the 24

- hour limit for taking a total coliform sample for PWSs that do not practice filtration in accordance with part 141, subpart H, and that measure a source water turbidity level exceeding 1 NTU near the first service

connection. 40 CFR 142.14(a)(5)(ii)(D) Retain in such a manner that a system’s current status may be

determined

.

Records of any decision that certain NCWSs may reduce the frequency of their sanitary survey to less than once every five years , along with a record of the

reduc ed frequency

. A copy of the reduced frequency decision must be provided to the system. 40 CFR 142.14(a)(5)(ii)(E) Retain in such a manner that a system’s current status may be

determined

.

A list of agents other than the state , if any, approved by the state to conduct sanitary

surveys. 40 CFR 142.14(a)(5)(ii)(F) Retain in such a manner that a system’s current status may be

determined

. Records of any decision to allow a PWS to forgo fecal coliform or E

. coli testing on

a total coliform

- positive sampl e if that system assumes that the total coliform

positive sample is fecal coliform

- positive

or E

. coli

- positive. 40 CFR 142.14(a)(5)(ii)(G) Retain in such a manner that a system’s current status may be

determined

.

IESWTR Reporting A list of subpart H systems that have had a sanitary survey completed during the previous year and an annual evaluation of

the state ’s program for conducting sanitary surveys. 40 CFR 142.15(c)(5) Annually

Recordkeeping Records of turbidity measurements. 40 CFR 142.14(a)(3) 1 year Records of decisions made on a system

by

- system and case

- by

- case basis under provisions of part 141, subpart H, subpart P, or subpart T. 40 CFR 142.14(a)(4)(ii) As necessaryMicrobial Rules ICR April 2012

26 Requirement Regulatory Citation Minimum Frequency/

Retention Period

Records of systems consulting with the

state concerning a significant modification to their disinfection practice (including the status of the consultation). 40 CFR 142.14(a)(7)(i) As necessary

Records of decisions that a system using

alternative filtrat ion technologies can consistently achieve a 2

- log (99 percent)
removal of Cryptosporidium oocysts, as well as the required levels of removal
and/or inactivation of Giardia and viruses for systems using alternative filtration technologies. 40 CFR 142.14(a)( 7)(ii) As necessary , kept until decision

is reversed or revised.

Records of systems required to conduct a

filter self

- assessment, CPE or composite correction program (CCP)

. 40 CFR 142.14(a)(7)(iii) As necessary

FBRR Reporting Subject to general requirements as listed above. Recordkeeping Records of any decisions made to approve alternate recycle locations

. 40 CFR 142.14(a)(4)(ii)(A)(9) 40 years or until 1 year after

decision is reversed or revised

. LT1ESWTR Reporting Subject to general requirements as listed above. Recordkeeping Records of turbidity measurements. 40 CFR 142.14(a)(3) Not less than one year

. Records of decisions made on a system

by

- system and case

- by

- case basis under provisions of part 141, subpart H, subpart P, or subpart T. 40 CFR 142.14(a)(4)(ii) As necessary

Records of systems consulting with the

state concerning a significant modification to their disinfection practice (including the status of the consultation). 40 CFR 142.14(a)(7)(i) As necessary

Records of decisions that a system using alternative filtration technologies can consistently achieve a 2

- log (99 percent)
removal of Cryptosporidium oocysts, as well as the required levels of removal
and/or inactivation of Giardia and viruses for systems using alternative filtration technologies. 40 CFR 142.14(a)(7)(ii) As necessary

Records of those systems required to

conduct a filter self

- assessment, CPE or
CCP. 40 CFR 142.14(a)(7)(iii) As necessary

LT2ESWTR Reporting

The bin classification after the initial and

after the second round of source water monitoring for each filtered system

. 40 CFR 142.15(c)(6) After each round of monitoring

.

Any change in treatment requirements for these systems due to watershed

assessment s during sanitary surveys

. 40 CFR 142.15(c)(6) After each round of monitoring

.Microbial Rules ICR April 2012

27 Requirement Regulatory Citation Minimum Frequency/

Retention Period

The determination of whether the mean Cryptosporidium level is greater than 0.01 oocysts/L both after the initial and after

the second round of source water monitoring for each unfiltered system

. 40 CFR 142.15(c)(6) As necessary

Recordkeeping

Results of Cryptosporidium and E

. coli source water monitoring

. 40 CFR 142.14(a)(9) As necessary

Bin classification after the first and second round of monitoring

. 40 CFR 142.14(a)(9) As necessary

Any change in treatment requirements for filtered systems due to watershed assessment during sanitary surveys

. 40 CFR 142.14(a)(9) As necessary

The determination of whether the mean Cryptosporidium level is greater than 0.01 oocysts/L after the initial and after the second round of source water monitoring for each unfiltered system

. 40 CFR 142.14(a)(9) As necessary

The treatment processes or control measures that systems use to meet their Cryptosporidium treatment requirements

. 40 CFR 142.14(a)(9) As necessary

A list of systems required to cover or treat

the effluent of an uncovered finished water storage facility

. 40 CFR 142.14(a)(9) As necessary

GWR Reporting The month and year in which the most recent sanitary survey was completed

. or, for a state that used a phased review process, the date the last element of the applicable eight elements was evaluated for each ground water system

. 40 CFR 142.15 (c)(7) As necessary

The date the system completed the

corrective action

. 40 CFR 142.15 (c)(7) As necessary

All ground water systems providing at

least 4

- log treatment of viruses (using inactivation, removal, or a state

- approved
combination of 4

- log virus inactivation and removal) before or at the first customer for any ground water source(s). 40 CFR 142.15 (c)(7) As necessary

Recordkeeping Records of written notices of significant

deficiencies

. 40 CFR 142.14(d)(17) At least 12 years

Records of corrective action plans, schedule approvals, and state

- specified

interim measures

. 40 CFR 142.14(d)(17) At least 12 years

Records of confirmations that a significant deficiency has been corrected or the fecal contamination in the ground water source

has been addressed

. 40 CFR 142.14(d)(17) At least 12 years

Records of state determinations and records of gr ound water system s ’ documentation for not conducting 40 CFR 142.14(d)(17) At least 12 yearsMicrobial Rules ICR April 2012

28 Requirement Regulatory Citation Minimum Frequency/

Retention Period

triggered source water monitoring

. Records of invalidations of fecal indicator

positive ground water source samples

. 40 CFR 142.14(d)(17) At least 12 years

Records of state approvals of source water monitoring plans

. 40 CFR 142.14(d)(17) At least 12 years

Records of notices of the minimum residual disinfections concentration (when using chemical disinfection) needed to

achieve at least 4

- log virus inactivati on before or at the first customer

. 40 CFR 142.14(d)(17) At least 12 years

Records of notices of the state

- specified monitoring and compliance requirements (when using membrane filtration or alternative treatment) needed to achieve

at least 4

- log treatment of viruses (using inactivation, removal, or a state

- approved
combination of 4

- log inactivation and

remova l) before or at the first customer

. 40 CFR 142.14(d)(17) At least 12 years

Records of written notices from the ground water system that it provides at

least 4

- log treatment of viruses (using inactivation, removal, or a state

- approved
combination of 4

- log virus inactivation and removal) before or at the first customer for each ground water source

. 40 CFR 142.14(d)(17) At least 12 years

Records of written determinations that the ground water system may discontinue 4

- log treatment of viruses (using

inactivat ion, removal, or a state

- approved
combination of 4

- log inactivation and removal)

. 40 CFR 142.14(d)(17) At least 12 years

ADWR States do not have information collection requirements for the ADWR.

4(b)(i) Data Items

1) Surface Water Treatment Rule 8

Provisions of the SWTR require the following data to be collected by PWSs :

Source water coliform data for unfiltered systems.

Combined filter effluent t urbidity data for filtered systems.

8 Includes all rule components except disinfectant residual monitoring and associated activities, which are included

in the DDBP/Chem/Rads Rules ICR (see footnote 2 for more information)

. All remaining SWTR requirements are

included in this Microbial Rules ICR.Microbial Rules ICR April 2012

29 Source water turbidity for unfiltered systems.

Residual disin fectant concentrations for filtered and unfiltered systems

. (This requirement is addressed under the DDBP/Chem/Rads ICR)

. Annual summaries of watershed control programs for unfiltered systems. Annual reports summarizing the results of on

- site inspections for unfiltered

systems. A report to the primacy agency within 48 hou rs following attribution of any waterborne disease outbreak in filtered and unfiltered systems.

In addition, primacy agencies must submit special reports as specified in §142

. 15(c) (1)

. These reports include :

List of PWSs not required to provide filtration. List of PWSs not required to analyze for HPC.

Notification of determination that a PWS is not required to provide filtration.

2) Total Coliform Rule

The TCR requires PWSs to collect and report presence or absence of coliform bacteria (as total coliform) in the distribution system and data on the presence or absence of E

. coli or fecal coliform

. Primacy agencies must maintain results of sanitary surve ys conducted under

TCR.

In addition, primacy agencies must submit special reports as specified in §142

. 15(c) and must maintain records as specified in §142

. 14(a)(5)

. These reports include lists of PWSs that have received permission for reduced monitorin g or monitoring waivers and the effective dates

of these waivers.

3) Interim Enhanced Surface Water Treatment Rule

EPA must balance the health risks from microbial organisms (such as Giardia lamblia

and Cryptosporidium ) against risks from compounds formed during water disinfection

. The IESWTR and Stage 1 Disinfectants and Disinfection Byproducts Rule ( DBPR ) , which were promulgated concurrently, address complex and interrelated drinking water issues

. The IESWTR requires individual filter monitoring and mo difies the allowable turbidity levels specified in the SWTR

.

Under the IESWTR, PWSs must report the following :

The total number of CFE turbidity measurements that exceeded their 95th percentile turbidity limit and the number of measurements that excee d their maximum turbidity limit. That they have conducted individual filter turbidity monitoring, including the dates, filter number, and turbidities of any measurements that exceed 1.0 NTU

. Reports of exceptions to turbidity performance for individual f ilters.

If a self

- assessment is required, the system must report the date that it was triggered and the date that it was completed.Microbial Rules ICR April 2012

30 If a comprehensive performance evaluation ( CPE ) is required, the system must report that the CPE is required and the date that it was triggered. If a CPE is required, the system must submit a copy of the completed CPE report. When those systems that are required to develop a disinfection profile plan a significant change in disinfection practice, they must submit the profile, along with an analysis of how the proposed change will affect the current disinfection

benchmark to the state for review.

The IESWTR requires PWSs to keep the following records :

Individual filter turbidity measurements.

The IESWTR (in §142.14) requires primacy agencies to maintain the following items :

Records of turbidity measurements for individual filters. Records of disinfectant residual measurements and other parameters necessary to
document disinfection effectiveness. A list of systems consulting with the state to modify their disinfection practices.

A record of state decisions regarding the use of alternative filtration technologies that have demonstrated 99 percent re moval of Cryptosporidium oocysts by specific water systems. Records of any other system

- by

- system and case

- by

- case decisions made by the

state under provisions of part 141 , subpart H or subpart P or subpart T. Records of those systems required to perform f ilter self

- assessments, CPE s or composite correction program s ( CCP s )

.

Additionally, the primacy agency must report the following (per §142.15) :

Subpart H systems 9 that have had a sanitary survey in the last year.

Evaluation of the s tate’s program for conducting s anitary surveys for all s ubpart H
systems.

4) Filter Backwash Recycling Rule

Under the FBRR, PWSs should already have report ed the following , but they must keep records of the reported information on file :

Recycle notification, which includes plant schematic, recycle flow and plant

flow. List of all recycle flows and the frequency with which they are returned

. Average and maximum backwash flow rates through the filters. Average and maximum duration of the filter backwash process.

9 Subpart H systems include all PWSs using surface water or ground water under the direct influence of surface water (GWUDI) as a source (40 CFR §141.2).Microbial Rules ICR April 2012

31 Typical filter run length and a written summary of how filter run length is

determined. Type of treatment provided for the recycle flow

. Data on the physical dimensions of the equalization and/or treatment units, typical and maximum hydraulic loading rates, type of treatment chemicals used, average dose of treatment chemicals, frequency of treatment chemical use, and frequency

at which soli ds are removed, if applicable

. Primacy agencies must maintain records of decisions regarding alternate recycle

location s at PWSs.

5) Long Term 1 Enhanced Surface Water Treatment Rule

Under LT1ESWTR, PWSs must report the following :

The total number of CFE turbidity measurements that exceeded their 95th percentile turbidity limit and the number of measurements that exceed their maximum turbidity limit

. That they have conducted individual filter turbidity monitoring, including the dates, filter number, and turbidities of any measurements that exceeded 1.0 NTU

. If a system exceeds 1.0 NTU in two consecutive measurements the system must include the filter number, date, time, and reason for the exceedance at the end of

the month. Reports of exceptions to turbidity performance for individual filters.

If a self

- assessment is required, the system must report the date that it was triggered and the date that it was completed. If a CPE is required, the system must report that the CPE is required and the date that it was triggered. If a CPE is required, the sy stem must submit a copy of the completed CPE report. Results of optional monitoring that show total trihalomethane ( TTHM ) levels <0.064 mg/L and haloacetic acid (HAA5) levels <0.048 mg/L (only if the system wishes to forgo profiling) or report that disinfe ction profiling has begun. A description of the proposed change in disinfection, the system’s disinfection profile for Giardia lamblia (and, if necessary, viruses) and disinfection benchmark, and an analysis of how the proposed change will affect the cur rent
levels of disinfection.

The PWS recordkeeping requirements under the rule include :

Records of individual filter turbidity measurements. Records of disinfection profiles. Records of benchmarking.

Currently, s tates are subject to the general repor t ing requirements under 40 CFR 142.15

. There are no additional reporting requirements under this rule

.Microbial Rules ICR April 2012

32 The additional s tate recordkeeping requirements under LT1ESWTR include :

Records of turbidity measurements for individual filters.

Records of disinfectant residual measurements and other parameters necessary to

document disinfection effectiveness. A list of systems consulting with the s tate to modify their disinfection practices.

A record of s tate decisions regarding the use of alternative filtr ation technologies that have demonstrated 99 percent removal of Cryptosporidium oocysts by specific water systems. Records of any other system

- by

- system and cas e

- by

- case decisions made by the

s tate under provisions of part 141 , subpart H or subpart P or su bpart T. Records of those systems required to perform f ilter self

- assessments, CPE or

CCP.

6) Long Term 2 Enhanced Surface Water Treatment Rule

PWSs must submit the following information :

S ampling schedule

, including sampling location(s) and planned dates for source water sampling (for initial and second round monitoring)

.

For s ystems that filter and serve 10,000 or more people

, monitor as follows ( note that the first round of monitoring occurred during previous ICR periods; a second round o f monitoring will begin during the last year of this ICR period ):

Monthly E

. coli and Cryptosporidium monitoring results , to be taken over a period of 2 years, plus two matrix spike samples for Cryptosporidium

. Monthly turbidity monitoring results (sampled concurrently with Cryptosporidium and E

. coli ).

For s mall systems (serving fewer than 10,000 people) that filter ( the first round of monitoring occurred during previous ICR periods; a second round of monitor ing will begin in the last year of this ICR period ) :

Biweekly E

. coli monitoring results, to be taken over a period of 1 year

. If system exceeds the Cryptosporidium monitoring trigger based on E

. coli monitoring results, then 24 Cryptosporidium sample s, plus two matrix spike samples for Cryptosporidium

.

For unfiltered systems

, 24 Cryptosporidium samples over a period of 2 years for large systems and 1 or 2 years for small systems, plus two matrix spike samples for Cryptosporidium ( again, a small amount of burden will be incurred during the last year of this ICR period )

.

For filtered systems

, sampling plans and bin classification s for the second round of monitoring must be reported to the s tate

. All unfiltered systems must report their mean Cryp tosporidium level s to the s tate

. ( A small amount of burden will be incurred during the last year of this ICR period

. )Microbial Rules ICR April 2012

33 PWSs of all sizes that propose to make a significant change to their disinfection practice will complete disinfection profiles and benc hmarks for Giardia lamblia and viruses and report these, along with a description of the proposed change in disinfection practice and an analysis of how the proposed change will affect the current level of disinfection (some of this burden will

occur outsi de the ICR period)

.

PWSs of all sizes that install new technology as a result of their bin classifications or

choose to disinfect the effluent from an uncovered finished water reservoir will be required to demonstrate compliance with certain criteria f or each technology

.

PWSs must keep all monitoring data collected under the LT2ESWTR on file for 3 years

. These data must be available for review during sanitary surveys.

States will be required to maintain the following data :

Results of initial and reassessment source water monitoring for small systems

. Initial bin classifications for each filtered system and mean Cryptosporidium level for each unfiltered system

. Records of toolbox treatment technologies that systems choose to meet their treatment

te chnique requirements, plus any changes in toolbox treatment technologies, including all documentation necessary to demonstrate compliance with required design and implementation criteria for receiving log credit for toolbox options

. Any changes to initial bin classifications based on watershed assessment during sanitary

surveys

. Records of technologies employed by unfiltered systems to meet virus, Giardia , and Cryptosporidium inactivation requirements

. List of systems required to cover or treat effluent of an uncovered finished water

reservoir

.

States must report t he following to EPA :

Initial bin classification for each filtered system and any c hanges in bin

classifications

. Mean Cryptosporidium level for each unfiltered system

. (This activity was comple ted during the previous ICR period ; however, similar activities for the second round of monitoring will begin during the last year of this ICR period .) Any finding that a system is not meeting its required Cryptosporidium treatment
level.

7) G round W

ater R ule

PWSs must report or provide the following additional information (40 CFR 141.405(a) ) :

Failure to meet any s tate

- specified requirements including minimum residual disinfectant concentration, membrane operating criteria or membrane integrity,Microbial Rules ICR April 2012

34 and alter native treatment operating criteria, if operation in accordance with the criteria or requirements is not restored within 4 hours

. Completion of corrective action (within 30 days of completion)

. Documentation to the s tate within 30 days of a total colifor m

- positive sample that

a PWS met the s tate criteria that exempt the system from source water monitoring requirements.

PWSs must keep records of the following (40 CFR 141.405(b) ) :

Documentation of corrective actions

. Documentation of notice to the public

. Documentation of records of decisions and records of invalidation of fecal

indicator

- positive ground water source samples

. For consecutive systems, documentation of notification to the wholesale system(s)

of total

- coliform positive samples that are not invalidated

. For systems, including wholesale systems, that are required to perform compliance monitoring, the additional requirements include the following :

o R ecords of the s tate

- specified minimum disinfectant residual

.

o R ecords of the lowest daily r esidual disinfectant concentration and records of the date and duration of any failure to maintain the s tate

- prescribed minimum residual disinfectant concentration for a period of more than 4 hours

.

o R ecords of s tate

- specified compliance requirements for me mbrane filtration and of parameters specified by the s tate for s tate

- approved alternative

treatment

, and records of the date and duration of any failure to meet the membrane operating, membrane integrity, or alternative treatment operating requirements for more than 4 hours

.

For records kept by the s tates, the additional requirements include the foll owing (40 CFR 142.14(d)(17) ) :

Records of written notices of significant deficiencies

. Records of corrective action plans, schedule approvals and s tate

- specified interim

measures. Records of confirmations that a significant deficiency has been corrected or the fecal contamination in the ground w ater source has been addressed.

Records of s tate determinations and records of ground water systems ’ documentation for not conducting tr iggered source water monitoring.

Records of invalidations of fecal indicator

- pos it ive ground water source samples.

Records of s tate approvals o f source water monitoring plans.

Records of notices of the minimum residual disinfectant concentration (when using chemical disinfection) needed to achieve at least 4

- log virus inactivation

bef ore or at the first customer.

Records of notices of the s tate

- specified monitoring and compliance requirements (when using membrane filtration or alternative treatment) needed to achieve at

least 4

- log treatment of viruses (using inactivation, removal, or a s tate

- approved

combination of 4

- log inactivation and removal) before or at the first customer.Microbial Rules ICR April 2012

35 Records of written notices from the ground water system that it provides at least

4

- log treatment of viruses (using inactivation, removal, or a s tate

- approved

combination of 4

- log virus inactivation and removal) before or at the first

customer f

or each ground water source. Records of written determinations that the ground water system may discontinue

4

- log treatment of viruses (using inactivation, removal, or a state

- approved

combination of 4

- log inactivation and removal).

Additionally, the state must report the following (40 CFR 142.15):

The month and year in which the most recent sanitary survey was completed or,

for a state that used a phased review process , the date the last element of the applicable eight elements was evaluat ed for each ground water system. The date the system comp leted the corrective action. All ground water systems providing at least 4

- log treatment of viruses (using inactivation, remova l, or a state

- approved combination of 4

- log virus inactivation and removal) before or at the first customer for any ground water source(s).

8) Aircraft Drinking Water Rule

Air carriers are required to maintain records for the following activities and submit the following items to EPA:

Information on total coliform sampling frequency and disinfection and flushing frequency. Water system inventory and any subsequent changes

. Monitoring results for total coliform bacteria samples taken as part of routine, repeat, and post

- disinfection follow

- up sampling. Analytical results for E

. coli , required when total coliform results are positive.

Evidence of self

- inspection of water system components completed every 5 years, including an indication that deficiencies have been corrected and if not corrected, a description of the deficiency, an explanation of why it has not been corrected,

and a schedule for correction. Notification of all events requiring public notice and corrective action. Failure to comply with the monitoring and disinfection and flushing procedures.

A ir carriers are also required to maintain the following documents 10 :

A n O&M plan for the aircraft PWS was required to be developed and included in the aircraft O&M program required by FAA

, and must be made available for EPA review upon request

.

10 Burden to develop O&M plans and coliform sampling plans for existing aircraft w as accounted for under the

standalone ADWR ICR and is not included again under the Microbial Rules ICR as it is a one

- time activity

. Additionally, t he number of aircraft acquired post

- ADWR promulgation is assumed to be a very small percentage of

the exis ting ADWR inventory; therefore the burden to develop new O&M and coliform sampling plans for aircraft acquired post

- ADWR promulgation is assumed to be negligible.Microbial Rules ICR April 2012

36 Air carriers were also required to develop a coliform sampling plan as part of their O&M plan, which must be available for EPA review upon request.

O&M plans and coliform sampling plans must also be developed for any new aircraft the air carrier acquires through purchases, ownership transfers, or any

other means. These plans must be made available for EPA review upon request.

4(b)(ii) Respondent Activi ties

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

Public Water Systems

In general, each PWS is involved in the following collection activities :

Gathering information. Processing, compiling and reviewing the information collected. Submitting reports and other documents. Recording and maintaining the information.

For this ICR, these activities are necessary to complete monitoring, reporting and recordkeeping requirements associated with microbial c ontaminant

- related regulations.

1) Surface Water Treatment Rule

Requirements for reporting under the SWTR are separated into those for systems that use filtration treatment and those for systems that do not use filtration treatment

. The reporting require ments for these types of PWSs are summarized in the paragraphs below.

Unfiltered Systems

Monitor and report information on the results of source water monitoring for total or fecal coliform and turbidity

. Submit this information each month that the sy stem is in operation

. Summarize fecal or total coliform monitoring by including the number of total or fecal coliform samples collected; the values obtained for each measurement; the number of results less than 20/100 milliliters (m L ) for fecal colifor m or less than

100/100 m L for total coliform during the month; the cumulative number of fecal

or total coliform results obtained since the start of the six consecutive month compliance period; and the percent of samples less than the respective performance standard for the six

- month compliance period

. Summarize turbidity information to include the maximum turbidity value

obtained each month ; the value and date of each measurement that exceeded five NTUs; and the date the occurrence was reported to the sta te

. Monitor and report disinfectant residual levels (this requirement is addressed under the DBP/Chem/Rads ICR). Submit annual reports on watershed control programs and onsite inspections.Microbial Rules ICR April 2012

37 Filtered Systems

Monitor and report to the s tate on a monthly basis information regarding CFE turbidity

. Turbidity reporting requirements vary according to the filtration technology used

. Monitor and report disinfectant residual levels (this requirement is addressed

under the DBP/Chem/Rads ICR )

.

2) Total Colifor

m Rule

PWSs must conduct the following activities to comply with the TCR :

Collect water samples at specified intervals, as defined in the f ederal or s tate regulations. Collect monitoring data on the presence of total coliform bacteria in the

distribut ion system

. Collect data on the presence or absence of E

. coli or fecal coliform, following a positive routine total coliform sample. Report laboratory results and violations to the s tate at frequencies required by

f ederal and s tate regulations.

3) Interim Enhanced Surface Water Treatment Rule

The IESWTR only applies to systems serving at least 10,000 people using surface water

or ground water under the direct influence of surface water ( GWUDI ) ; these PWSs are required to do the following :

Conduc t continuous monitoring of individual filter turbidity for each filter in the

system

. Report individual filter turbidity monitoring results to the state at frequencies specified in the f

ederal regulations

. Report exceptions to the s tate in cases where the monitoring shows exceedances of specific turbidity levels

. Perform a filter profile and/or filter assessment, or obtain a CPE if warranted. Provide a CPE report to the s tate if necessary.

4) Filter Backwash Recycling Rule

The rule requires all PWSs to col lect and retain on file recycle f low information for review and evaluation by the state beginning June 8, 2004 ( 40 CFR 141.76(d))

.Microbial Rules ICR April 2012

38 5) Long Term 1 Enhanced Surface Water Treatment Rule

Under the LT1ESWTR, PWSs are required to do the following :

Conduct continuous monitoring of individual filter turbidity for each filter in the

system

. Record individual filter turbidimeter readings at the specified intervals. Report individual filter turbidity monitoring results to the s tate at frequencies speci fied in the f

ederal regulations

. Report exceptions to the primacy agency in cases where the monitoring shows exceedances of specific turbidity levels

. Perform a filter profile and filter assessment, or arrange for a CPE if warranted. Provide a CPE repo rt to the s tate

, if necessary. Develop a disinfection benchmark, if necessary.

Consult with the s tate before making significant changes to disinfection practices.

6) Long Term 2 Enhanced Surface Water Treatment Rule

Under the LT2ESWTR systems are required to do the following :

Monitor source water for E

. coli and Cryptosporidium and calculate a treatment bin classification based on monitoring results

. This requirement applies to filtered systems only

. Systems serving at least 10,000 people are a lso required to monitor source water turbidity; t he burden for turbidity monitoring is assumed to be negligible

. I nitial monitoring and bin classification were completed during the previous ICR period , but a second round of monitoring will begin in the last year

of this ICR period

. Filtered s ystems serving less than 10,000 people may monitor

for E

. c oli as a trigger instead

. These systems will only sample for Cryptosporidium if their E

. coli results exceed certain levels

. Monitor source water for C ryptosporidium only and calculate treatment requirements based on monitoring results

. This requirement applies to unfiltered systems only. Install additional treatment if monitoring results trigger a system into a bin

classification requiring additional t reatment for Cryptosporidium and report on compliance with the requirements for the treatment installed

. Prepare disinfection benchmarking reports for Giardia and viruses if disinfection is changed

. Keep all monitoring data on file for 3 years.Microbial Rules ICR April 2012

39 7) Ground Water Rule

Under the GWR

, systems are required to do the following :

Undergo a sanitary survey , compiling records and accompanying the s tate or third party conducting the survey. Conduct triggered source water monitoring if the system tests positive for t otal coliform in the distribution system under TCR, for systems not providing 4

- log

treatment of viruses

. Under triggered monitori ng requirements (40 CFR 141.402 ) a system must collect at least one source water sample and have that sample tested

for a fec al indicator ( E

. coli

, enterococci, or coliphage) specified by the s tate

. If a system detects the s tate

- specified fecal indicator at its source, then the system must take five additional samples within 24 hours unless the s tate determines that

corrective action must be taken immediately

. Conduct source water assessment monitoring for fecal indicators if required to do so by the state. Comply with treatment technique requirements and any associated reporting requirements if the s tate identifies a signifi cant deficiency during a sanitary survey or the system has confirmed fecal contamination of its source water.
Monitor disinfectant residual for compliance, for systems providing disinfect ion

to achieve 4

- log inactivation of viruses.

Maintain records of GWR information listed in section 4(b)(i).

8) Aircraft Drinking Water Rule

Air carriers will need to undertake the following activities in order to meet reporting requirements under the ADWR:

Report the d evelop ment of a new sampling plan; submit new monitoring and disinfection and flushing frequency information for new purchases or transfers of ownership of aircraft; and m aintain sampling plans. Report changes in aircraft water system inventory within 10 days after the end of the month in which they o ccurred.

Take routine and repeat coliform samples, including preparing for shipping and sending off for analysis

. Take post

- disinfection follow

- up coliform samples following corrective action, including preparing for shipping and sending off for analysis

. Submit routine , repeat, and post

- disinfection sampling results to EPA.

Record routine , repeat, and post

- disinfection coliform sampling activities

. Record disinfection and flushing activities conducted as part of routine activity or

corrective action

. Prepare and provide public notification to passengers and crew as needed , and report to EPA that public notification occurred. Conduct a comprehensive self

- inspection of aircraft water system components at least every 5 years

. Submit evidence of self

- in spection to EPA, including report of deficiencies

corrected and unresolved deficiencies and their correction schedule.Microbial Rules ICR April 2012

40 Primacy Agencies

In general, primacy agencies conduct the following activities with regard to reporting and recordkeeping :

Maintain an inventory of PWSs

.

Compile results of analyses of drinking water samples. Analyze and review PWS data. Make determinations concerning PWSs. Track PWS compliance. Report systems not in compliance with drinking water requirements

. M aintain s tate appr oval of plans and specifications, enforcement activities, and variances and exemptions (V&E s ) for each PWS

.

By conducting these activities, primacy agencies are able to evaluate PWS performance and to identify PWS needs and problem areas

. They also identify enforcement targets and systems requiring remedial action

. In addition, s tates serve as respondents when reporting compliance data to the f

ederal government

. Some of these activities are covered in the PWSS Program ICR as general primacy activit ies

. Therefore, only microbial contaminant

- specific recordkeeping activities have been included in this Microbial Rules ICR.

1) Surface Water Treatment Rule

The SWTR states that primacy agencies must conduct the following :

Collect and maintain informati on submitted by PWSs

. Record which systems using surface water are required to provide filtration and

w hich are not

. These records must be kept indefinitely

. Submit a special report to the EPA Administrator listing PWSs that are not required to filter

. Retain the results of microbiological contaminant analyses of source water samples in the same manner as other microbiological contaminant analytical

results.Microbial Rules ICR April 2012

41 2) Total Coliform Rule

Primacy agencies are required by the TCR to conduct the following activities :

Analyze monitoring results and identify systems not in compliance with either MCL (or performance criteria) or monitoring and reporting frequencies

. Provide in writing permission for reduced monitoring or monitoring waivers;

maintain for five years

. Submit to the EPA Administrator a special report that lists PWSs that have received permission to reduce monitoring requirements

. Collect and maintain data regarding the result s of sanitary surveys conducted

under the TCR.

3) Interim Enhanced Surface Water Treatment Rule

Primacy agencies are required to maintain records of s tate verification activities and each determination made and to report to EPA in accordance with s tate reporting requirements

. In addition, primacy agencies ensure that PWSs are implementing IESWTR properly

. To meet these responsibilities, s tates are involved in the following additional activities :

Review ing individual filter turbidity monitoring data. Conducting CPEs for PWSs. Conducting sanitary surveys. Consulting w ith PWSs on changes in disinfection practice. Conducting follow

- up inspections.

4) Filter Backwash Recycling Rule

For the FBRR, primacy agencies incur a recordkeeping requirement for maintaining data submitted by conventional and direct filtration PWSs that recycle

. Primacy agencies must also maintain written approval for all PWSs with alternate recycle locations.

5) Long Term 1 Enhanced Surface Water Treatment Rule

Primacy agencies have the responsibility for ensuring the implementation of the LT1ESWTR (4 0 CFR 142.16)

. EPA anticipates that s tates will be involved in the following

activities :

Consulting with PWSs on changes in disinfection practice.

Conducting CPEs for PWSs (if requested). Conducting follow

- up inspections. Compliance tracking for turbidityMicrobial Rules ICR April 2012

42 6) Long Term 2 Enhanced Surface Water Treatment Rule

Primacy agencies have the responsibility for ensuring the implementation of th e

LT2ESWTR

. This will include the following activities (some of these activities will occur
during future ICR period s) :

Maintaining and updating the data management system

. Review ing small system sampling schedules and sampling locations

. Maintain ing E

. coli and Cryptosporidium monitoring data from small systems

. Respond ing to systems’ inquiries

. Review ing and approving bin classifications

. Review ing disinfection profiles and benchmarks

. Review ing and

, in some cases

, approving processes to meet bin treatment requirements

. Reporting the information required in section 4(b)(i)

. Keeping records of the information i n section 4(b)(i)

.

7) Ground Water Rule

States will need to perform the following tasks:

Perform sanitary surveys, and r eporting and recordkeeping requirements associated with performing sanitary survey s

. Track ing and filing monitoring results and review in g any additional reporting

.

8) Aircraft Drinking Water Rule

EPA is the primacy agency for the ADWR; EPA activities under this rule are

described in s ection 5(a) of this document.Microbial Rules ICR April 2012

43 

### 5 INFORMATION COLLECTED

-- AGENCY ACTIVITIES,

COLLECTI ON METHODOLOGY, AND INFORMATION

MANAGEMENT

5(a) Agency Activities

As part of its oversight responsibility, EPA maintains SDWIS and evaluates SDWIS data to determine system compliance

. Agency personnel also reformat, distribute, and store these

data fo r a number of uses, including responding to Congr essional and public inquiries

. EPA also

oversees its r egional and state programs, provides technical assistance, and develops policies designed to ensure consistent program implementat ion

. EPA officials se rve as respondents when testifying to Congress on the PWSS Program or in the courts for enforcement actions

.

EPA also acts as the enforcement authority for the ADWR

. Because aircraft fly in

interstate commerce , no single state can have primacy over an aircraft PWS

, as described in 40 CFR 142.3(b)

. Therefore, EPA oversees ADWR compliance

. The Agency will be responsible for collecting the information generated as air carriers comply with the rule

. EPA activities include the following :

Train EPA staff.

Provide technical assistance to air carriers. Review sampling frequency and disinfection and flushing frequency information. Review routine, repeat, and post

- disinfection monitoring results. Review information on public notification events.

Review aircraf

t water system inventory changes. Review certifications and reports of air carrier self

- inspections. Conduct onsite compliance audits, as needed.

Burden and costs for the se 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 in the first paragraph of this

section

. The 231.9 regional full time equivalents ( FTEs ) covered under the PWSS Program ICR

include the EPA ADWR burden.

In addition to these activities, the Agency assume s the activities performed by the s tate
for those s tates

, territories and tribes that do not have primacy

. Specifically, the Agency will be involved in the following activities related to microbial contaminant regulations :

Training PWS and consultant staff. Analyzing and reviewing PWS data. Making compliance determinations concerning PWSs. Conducting CPEs and sanitary surveys. Meeting with PWSs about changes in recycling practices. Compliance tracking. Recordkeeping.Microbial Rules ICR April 2012

44 Burden and costs for these activities are accounted for under the primacy agency burden (see s ection 6)

. EPA Regional offices also conduct general primacy activities for s tates

, territories and tr ibes that do not have primacy

. This burden is addressed in the PWSS ICR and is included in the general primacy burden for primacy agencies.Microbial Rules ICR April 2012

45 Exhibit 4 EPA Requirements

Requirement Regulatory Citation Frequency General Requirements (apply to all regulations)

For state s and other entities for which the Agency maintains primacy, the Agency must maintain the records and perform the reporting activities required of state s

. (This burden is addressed under primacy agency burden.) 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

SWTR Publish a notice of any proposed comprehensive review of state decisions to determine if PWSs must provide filtration. 40 CFR 142.80(b) As necessary

Notify each state affected by the results of a comprehensive review. 40 CFR 142.80(c) As reviews are completed Make the results of comprehensive reviews

available to the public. 40 CFR 142.80(c) As reviews are completed Notify the state if periodic reviews or other

available information indicate that the state has abused its discretion in applying the criteria for avoiding filtration or that the state has failed to

pr escribe compliance schedules for PWSs that must provide filtration. 40 CFR 142.81(a) As necessary

Notify the state that a public hearing will be held on the notice provisions. 40 CFR 142.81(b) As necessary

Publish a notice of the public hearing in the Federal Register and in a newspaper of general

circulation in the involved state

. 40 CFR 142.81(c) As necessary

TCR Subject to general requirements as listed above.

IESWTR Subject to general requirements as listed above

FBRR Subject to general requirements as listed above.

LT1ESWTR Subject to general requirements as listed above. Publish a notice of any proposed comprehensive review of state decisions to determine if PWSs must provide filtration. 40 CFR 142.80(b) As necessary

Notify each state affected by the results of a comprehensive review. 40 CFR 142.80(c) As reviews are completed Make the results of comprehensive reviews available to the public. 40 CFR 142.80(c) As reviews are completed Notify the state if periodic reviews or other

available information indicate that the state has abused its discretion in applying the criteria for avoiding filtration or that the state has failed to prescribe compliance schedules for PWSs that must provide filtration. 40 CFR 142.81(a) As necessaryMicrobial Rules ICR April 2012

46 Requirement Regulatory Citation Frequency Notify the state that a public hearing will be held on the notice provisions. 40 CFR 142.81(b) As necessary

Publish a notice of the public hearing in the Federal Register and in a newspaper of general

circulation in the involved state

. 40 CFR 142.81(c) As necessary

LT2ESWTR Subject to general requirements as listed above. Approving laboratories 40 CFR 141.705 As necessary Collecting and managing sampling location descriptions, sampling schedules, and monitoring data submitted by medium and large systems. 40 CFR 141.702(a), 141.703(f), 141.706(b) As necessary

GWR Subject to general requirements as listed above.

ADWR No specific EPA requirements are stated in the ADWR; however, EPA will conduct the oversight activities described previously for the ADWR.

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 SDWIS, which contains the following :

Inventory data for each PWS

. Violations

. Enforcement actions and som e follow

- up activity

. Variances and exemptions

.

Primacy agencies transmit SDWIS data to EPA both manually and electronically

. In the District of Columbia, Wyoming, and Indian Lands (except for the Navajo Nation, which has primacy), results of system sam ples are sent directly to the EPA Region

. Virtually all SDWIS data are reported electronically by the primacy agency.

SDWIS data support a number of rule implementation and program management activities, which include the following :

Using data pulled from SDWIS on a quarterly basis, the Office of Enforcement and Compliance Assurance uses the Enforcement Targeting Tool (ETT) to generate a list of PWSs that are considered ―priority systems‖ for enforcement

. These data provide senior management with info rmation on trends in drinking

water enforcement.Microbial Rules ICR April 2012

47 Supporting PWSS program file reviews

. EPA undertake s a comparison of

SDWIS data to primacy agency data

— the primary purposes of which are to assess the quality of data and recommend any necessary changes in collection or reporting methodologies. Promoting consistent national program implementation

. The process of file

reviews provides insi ghts into the primacy agency’s interpretation of regulations

. Such information supports fair and consistent SDWA impleme ntation and

enforcement.

In addition to SDWIS, EPA has developed and maintains the web

- based Aircraft Reporting and Compliance System (ARCS) for air carriers complying with the ADWR

. Air carriers must report all compliance data to ARCS unless they rece ive permission to use another reporting method

. The burden for developing this system was addressed in the standalone ICR

for the ADWR

.

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 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 ―sm all government jurisdictions.‖ These terms are defined below. 11

A small business is any business that is independently owned and operated and not dominant in its field as defined by the Small Business Ad ministration regulations under s ection 3 of the Small Business Act. A small organization is any non

- profit e nterprise 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 (RFA) of all rules that have a ―significant economic impact on a substantial number of small entities.‖ Since

this ICR is not curr ently associated with new rules, it is not currently subject to the SBREFA

.

Throughout the 1992

– 1993 negotiated rulemaking process for the Stage 1 DBPR and the IESWTR and the July 1994 proposals for these rules, a small PWS was defined as a system

servi ng fewer than 10,000 people

. This definition reflects the original 1979 standard for TTHMs, which applied only to systems serving at least 10,000 people

. The definition thus recognizes that the baseline conditions from which systems serving fewer than 10 ,000 people

11 These definitions were taken from §601 of the Regulatory Flexibility Act.Microbial Rules ICR April 2012

48 would approach disinfection byproduct control and simultaneous control of microbial pathogens would be different than those for systems serving 10,000 or more people

. Subsequent to the 1994 proposals, EPA defined a ―small business‖ (for purpos es of RFAs in drinking water regulations) as a PWS serving 10,000 or fewer people

. This definition is consistent with the approach used herein and in the 1996 Congressional amendments to SDWA.

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

for small entities

. In setting monitoring requirements, EPA has been able to minimize burden for

small entities as detailed below

.

1) Surface Water Treatment Rule

Only a small percentage of small systems use surface water supplies; therefore, this rule does not have a significant economic impact on a substantial number of small entities

. Since system size is the key determinant of the monitoring frequency requirements of the SWTR, systems serving fewer than 3,300 people w ill have the least stringent monitoring requirements.

EPA will allow a reduction in the frequency of turbidity monitoring from six samples per day to one sample per day for systems using slow sand filtration treatment or other eligible technologies

. Sys tems serving fewer than 500 people may also reduce sampling to once per day regardless of filtration type.

2) Total Coliform Rule

The number of required coliform samples varies directly with system size

. Specifically, for CWSs, the number of samples ran ge s from a minimum of one sample per month for systems serving fewer than 1,000 people to 480 samples per month for those serving 3,960,001 or more people

. This requirement is codified at 40 CFR 141.21(a)

. Generally, quarterly monitoring must

be conducte d at noncommunity water systems (NCWSs) using ground water only and serving 1,000 or fewer people

. As provided for in §141.21(a)(3)(i), however, the primacy agency may reduce the quarterly monitoring frequency as a result of a sanitary survey.

3) Interim Enhanced Surface Water Treatment Rule

Except for sanitary survey requirements, which are carried out by the primacy agency, the IESWTR only applies to systems serving at least 10,000 people

. Accordingly, the rule does not have a significant impact on sm all entities.

4) Filter Backwash Recycling Rule

The FBRR applies to both large and small systems

. Therefore, the rule will have an

effect on small entities

. Accordingly, as part of the economic analysis for the rule, EPA certified

that this rule would no t have a significant impact on a substantial number of small systems

. As a result, an RFA was not required.Microbial Rules ICR April 2012

49 5) Long Term 1 Enhanced Surface Water Treatment Rule

The LT1ESWTR applies only to subpart H systems se rving less than 10,000 people

. Therefore, t h e rule will have an effect on small entities

. After considering the economic impacts of the rule on small entities, EPA certified that this action would not have a significant economic impact on a substantial number of small entities

. T he Agency determin ed that less than one percent of small entities will experience an impact of one percent or more of their annual revenues or expenditures

. No affected small governmental jurisdictions are expected to incur annual costs exceeding three percent of their ann ual revenue

. Accordingly, an RFA was not required.

6) Long Term 2 Enhanced Surface Water Treatment Rule

The LT2ESWTR allows small systems to monitor for E

. coli instead of Cryptosporidium

. The analysis for E

. c oli is much less expensive than Cryptosporidium

. Small systems are only required to monitor for Cryptosporidium if E

. c oli concentrations are above a trigger value

. In addition

, systems with at least 2 years worth of historical Cryptosporidium data may use that data instead of perform ing new monitoring.

7) Ground Water Rule

The GWR was developed in consultation with the Small Business Advocacy Review

Panel

. Several of the panel’s recommendations were incorporated into the rule

. These

recommendations include:

Risk targeted approach

– only those systems most at risk are required to monitor or provide corrections. Using coliform monitoring instead of more expensive viral monitoring

– the rule requires preliminary monitoring for coliform

. Only if coliform monitoring is positive is monito ring for other organisms required.

8) Aircraft Drinking Water Rule

EPA has chosen to apply the same requirements to air carriers of all sizes

. EPA has developed the ADWR to provide flexibility to all air carriers including small entities or small

businesses

. For example, where a maintenance frequency is not specified by the water tank manufacturer, air carriers can choose the combination of monitoring and disinfection and flushing that accommodates existing routine aircraft maintenance schedules

. The ADWR allows air carriers with positive total coliform samples 72 hours to implement disinfection and flushing as corrective action or the alternative of 24 hours to collect repeat samples

. It also allows them

additional time before corrective action is required if they prevent public access to the water by physically shutting off or disconnecting the water system or preventing the flow of water through the taps

. The rule also permits air carriers to take only one routine sample (instead of two) for

c ertain aircraft with a removable/portable water tank that is drained every day of passenger service, where the aircraft has only one tap.Microbial Rules ICR April 2012

50 5(d) Collection Schedule

The collection schedules for each rule are summarized below

. Additional information may b e obtained by consulting the individual rules for specific collection schedules.

Exhibit 5
Collection Schedule

Rule Collection Commencement Year

SWTR 199 1 /1993 (depending on filtration status)

TCR 1991

– coliform monitoring

1994

– sanitary surveys for CWSs, 1999 for
NCWSs

IESWTR 2002

– turbidity monitoring
2002/2004

- sanitary surveys (depending on size and source type)

FBRR 2004

– recordkeeping

LT1ESWTR 2005

– turbidity monitoring

LT2ESWTR 2006

– Cryptosporidium and E

. coli monitoring first round (depends on system size; all sampling completed by 2011)

2010

– disinfection profiling (depends on system size)

2012

– reporting for compliance with new technologies

2015

– second round of Cryptosporidium and E

. coli monitoring

GWR 2009

– sanitary survey, triggered monitoring, corrective action plans, compliance monitoring

ADWR April 2011

– inventory data, sampling and O&M plan info rmation
October 2011

– coliform sampling data, dates

routine disinfection and flushing are performedMicrobial Rules ICR April 2012

51 

### 6 ESTIMATING BURDEN AND COST OF COLLECTION

This section estimates the burden and cost to PWSs

, air carriers and primacy agencies for complying with drinking water information requirements associated with microbial contaminant rulemakings

. These include the following :

1) Surface Water Treatment Rule 12

2) Total Coliform Rule 3) Interim Enhanced Surface Water Treatment Rule 4) Filter Backwash Recycling Rule 5) Long Term 1 Enhanced Surface Water Treatment Rule 6) L ong Term 2 Enhanced Surface Water Treatment Rule 7) G round W ater R ule 8) Aircraft Drinking Water Rule

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

three

- year ICR period of May 1, 2012

, through April 30, 2015

. This section also discusses the assumptions used to estimate cost and burden and describes the change in annual burden, as compared with the current OMB annual burden inventory.

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 c hanges in some data

. To provide a comparable basis on which to calculate the requirements addressed by the Microbial Rules ICR, and to address inconsistencies, EPA applied uniform assumptions to all rules where applicable

. The categories of assumptions a re listed

below.

Labor rates

— for PWSs, a 2010 labor rate of $20.24 was obtained from the

Bureau of Labor Statistics (BLS)

. An overhead rate of 60 percent was applied, resulting in an hourly rate of $32.38

. For s tates, a 2010 labor rate of $27.37 was

obt ained from the BLS

. An overhead rate of 60 percent was applied, resulting in an hourly rate of $43.79

. PWS inventory figures from the most recent frozen SDWIS database pull (October 2010). Number of entry points

— data from the 2006 Community Water System s Survey ( CWSS )

. Number of plants

— data from the 2006 CWSS.

In addition, EPA has revis e d some of the estimates of burden for particular activities (e.g., sampling, developing reports) to reflect consultations with representatives of PWSs and s tates (see se ction 3(c) )

.

12 Includes all rule components except disinfectant residual monitoring and associated activities, which are included

in the DDBP/Chem/Rads Rules ICR.Microbial Rules ICR April 2012

52 6(a) Respondent Burden

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

The annual PWS burden for May 1, 2012, through April 30, 2015

, is estimated to be approximately 10.3 million hours

. Exhibit 6 (after s ection 6(b)) shows the breakdown of the

annual burden hours on a rule

- specific basis

. The annual air carrier burden for the same time period is 0.025 million hours (see Exhibit 7)

. Wherever possible, activity

- level burden assumptions were carried forward from previous ICRs or were updated to reflect consultation

results

. However, if updated data were available (e.g., system inventories), the most recent 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) Surface Water Treatment Rule

Activities associated with the SWTR account for 1.78 million annual burden hours per

year

. The assumptions used to calculate the SWTR burden are based largely on assumptions

carried forward from the 200 8 Microbial Rules ICR

. This ICR includes burden estimates for all components of the SWTR except disinfectant residual monitoring and associated activities,

which are included in the DDBP/Chem/Rads R ule ICR

. For unfiltered systems, burden estimates include raw water sampling for coliform, on

- site in spections, watershed management and raw water turbidity monitoring

. The burden for filtered systems includes only finished water turbidity monitoring

. S ection 6(f) describes the reasons for changes between the burden reported

in the 200 8 Microbial Rules ICR and this ICR

. Detailed burden and cost calculations for the SWTR are provided in Appendix B.

2) Total Coliform Rule

Activities associated with the TC R account for a burden of 3.51 million hours per year

. The burden estimates include routine total coliform monitoring and repeat sampling for E

. coli

or fecal coliform

. The assumptions used to calculate the TCR burden are based largely on assumptions carried forward from the 200 8 Microbial Rules ICR

. Section 6(f) describes the reasons for changes between the burden reported in the 200 8 Microbial Rules ICR and this ICR

. Appendix C summarizes the assumptions used to calculate the TCR burden and provide s the

detailed burden and cost calculations

.Microbial Rules ICR April 2012

53 3) Interim Enhanced Surface Water Treatment Rule

Activities associated with IESWTR account for a burden of 4.28 million hours per year

. Included in this burden are individual filter turbidity monitoring, turbidity exceptions reporting, and conducting individual filter assessments ( IFAs )

. The assumptions used to calculate the IESWTR burden are based largely on the assumptions carried forward from the 200 8 Microbial

Rules ICR

. Reasons for changes in burden between the 200 8 Microbial Rules ICR and this ICR

are summarized in s ection 6(f)

. Detailed information about assumptions, burden, and calculations are provided in Appendix D.

4) Filter Backwash Recycling Rule

No burden is estimated for PWSs for this rul e

. Currently, the rule requires PWSs to maintain records on recycle flow

. The burden associated with this recordkeeping is assumed to be negligible.

5) Long Term 1 Enhanced Surface Water Treatment Rule

Activities associated with the LT1ESWTR account for a burden of 0.14 million hours per

year

. The burden estimates for PWSs include turbidity exceptions reporting and turbidity monitoring

. The assumptions used to calculate the LT1ESWTR burden are based l argely on the assumptions carried forward from the 200 8 Microbial Rules ICR

. Reasons for changes in burden

between the 200 8 Microbial Rules ICR and this ICR are summarized in s ection 6(f)

. Detailed information about assumptions, burden, and calculations are provided in Appendix E.

6) Long Term 2 Enhanced Surface Water Treatment Rule

Activities associated with the LT2ESWTR account for a burden of 0.043 million hours

per year

. The burden estimates include reporting associated with demonstrating compliance w ith

installed treatment

. PWS burden estimates also account for some of the burden associated with developing disinfection profiles and benchmarks

. The initial round of monitoring for E

. coli

and/or Cryptosporidium was completed during the previous ICR period

. However, t he second round of monitoring will begin during the last year of this ICR period; only large systems will incur burden for this activity during this ICR period

. In addition

, the burden estimates for PWSs

include completion of a sampling plan for those systems conducting monitoring

.

Appendix F summarizes the assumptions used to calculate the LT2ESWTR burden and provides the detailed burden and cost calculations.Microbial Rules ICR April 2012

54 7) Ground Water Rule

Activities associated with the GWR account for a burden of 0.58 million hours per year

. For ground water systems providing 4

- log treatment of viruses, t he burden estimates include compliance monitoring to demonstrate treatment effectiveness and associated reporting

, including reports of disinfection failure

. In addition, burden estimates for developing corrective action plans are included

. For ground water systems that do not provide 4

- log treatment of viruses, PWS burden estimates also account for burde n associated with conducting triggered source water monitoring if the system tests positive for total coliform in the distribution system

under the TCR , including the burden for initially notifying the state that the system provides

disinfection

. PWS burd en also includes the burden associated with sanitary surveys.

Appendix G summarizes the assumptions used to calculate the GW R burden and provides

the detailed burden and cost calculations.

8) Aircraft Drinking W ater Rule

Activities associated with the ADWR account for an air carrier burden of 0.025 million hours per year

. The assumptions used to calculate the ADWR burden are based largely on assumptions carried forward from the standalone ADWR ICR for the final rule

. Air carrier burden includes sampling, reporting associated with sampling and O&M activities, self

inspection, and public notice

.

The standalone ADWR ICR expires February 28, 2013

. Burden and costs associated with the ADWR and incurred after February 2013 are inco rporated into the Microbial Rules ICR

. Appendix H summarizes the assumptions used to calculate the ADWR burden and provides the

detailed burden and cost calculations.

6(a)(ii) Burden to Primacy Agencies

The annual burden for primacy agencies for May 1, 2012, through April 30, 2015 is estimated to be approximately 2.5 6 million hours

. Exhibit 8 (at the end of s ection 6(b)) shows

the annual burden hours on a rule

- specific basis

. Many other primacy agency 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 bases for burden

estimates included in this ICR are detailed below

.

1) Surface Water Treatment Rule

The annual s tate bur den for the SWTR is expected to be 0.27 million hours

. All of this burden is associated with review of finished water turbidity monitoring results

. Estimates for primacy agency burden for the SWTR are based on assumptions carried forward from the 200 8

Mi crobial Rules ICR

. Detailed calculations for burden and cost are shown in Appendix B.Microbial Rules ICR April 2012

55 2) Total Coliform Rule

For primacy agencies, the annual burden associated with the TCR is estimated to be approximately 0.46 million hours

. This reflects burden to moni tor TCR

- related activities such as reviewing routine coliform reports, E

. coli and fecal coliform reports , and additional routine sampling reports

. T he burden for sanitary surveys for ground water systems is now addressed under the GWR (see App endix G)

. Sanitary survey burden for surface water systems is included

under IESWTR

. Estimates for primacy agency burden for the TCR are based on a ssumptions

carried forward from the 200 8 Microbial Rules ICR

. Appendix C shows detailed burden and

cost calculatio ns.

3) Interim Enhanced Surface Water Treatment Rule

Primacy agencies are expected to expend 0.95 million annual burden hours implementing requirements of the IESWTR

. The assumptions used to calculate the IESWTR burden are based largely on assumptions car ried forward from the 200 8 Microbial Rules ICR

. The burden includes estimates for review of turbidity monitoring results and exceptions reports

. Additionally, s tates conduct CPEs as necessary and sanitary surveys for all surface water

systems

. Detailed cost and burden calculations are included in Appendix D

.

4) Filter Backwash Recycling Rule

No burden is estimated for s tates for this rule

. The burden associated with the recordkeeping requirements in this rule is assumed to be negligible.

5) Long Term 1 Enhanced Surface Water Treatment Rule

The annual s tate burden for the LT1ESWTR is expected to be 0.12 million hours

. The assumptions used to calculate the LT1ESWTR burden are based largely on assumptions carried

forward from the 200 8 Microbial Rules IC R

. The burden includes estimates for compliance tracking and recordkeeping of turbidity monitoring for small systems , and review of turbidity monitoring and turbidity exceptions reports

. Additionally, s tates conduct turbidity exceptions reporting, which includes CPEs and annual exception reports for systems serving 10,000 people

or fewer

. Detailed calculations for burden and cost are shown in Appendix E

.

6) Long Term 2 Enhanced Surface Water Treatment Rule

The annual s tate burden for the LT 2 ESWTR is expected to be 0.029 million hours

. The assumptions used to calculate the LT 2 ESWTR burden are based largely on assumptions carried

forward from the 2008 Microbial Rules ICR

. State burden includes reviewing monitoring results and assisting with a nd reviewing bin classifications

. States will also review disinfection profiles and benchmarks for systems that significantly change their disinfection practices

.

Appendix F summarizes the assumptions used to calculate the LT2ESWTR burden and provides the detailed burden and cost calculations

.Microbial Rules ICR April 2012

56 7) Ground Water Rule

The annual s tate burden for the GWR is expected to be 0.7 4 million hours

. The assumptions used to calculate the GWR burden are based largely on assumptions carried forward

from the GWR ICR

. The burden includes that associated with performing sanitary surveys, as

well as burden to review initial compliance monitoring notification and compliance monitoring

reports submitted by PWSs

. In addition, s tates will ensure PWSs are complying with tr eatment technique requirements and any associated reporting requirements

. For ground water systems that do not provide 4

- log treatment of viruses, s tate burden estimates also account for review of triggered source water monitoring results

. Lastly, the bu rden includes annual administrative activities such as recordkeeping, staff training, and technical assistance to PWSs

. Appendix G summarizes the assumptions used to calculate the GWR burden and provides the detailed burden

and cost calculations.

8) Aircraf

t Drinking Water Rule

Note that EPA is the primacy agency for the ADWR, as EPA has direct oversight for that

rule

. T his burden is captured in the 231.9 regional EPA FTEs in the PWSS Program ICR

.

6(b) Respondent Costs

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

Exhibit 6 shows the annual costs for PWSs over the three

- year ICR period

. Annual costs are estimated at approximately $ 467.8 million , which consists of $ 334.7 million in labor costs, $ 112.8 million in operation and maintenance ( O&M ) costs, an d $20.4 million in capital costs.

Exhibit 7 shows the annual costs for air carriers over the three

- year ICR period

. Annual costs are estimated at approximately $2.9 million , which consists of $0.67 million in labor costs, $2.2 million in O&M costs, and $0.002 million in capital costs.

PWS labor costs are based on the number of burden hours times the average hourly wage rate, including overhead

. The average hourly wage rate for PWSs is the rate quoted by the

Bureau of Labor Statistics for Standard Occupational Classification ( SOC ) Code 51

- 8031,

―Local Government

— Water and Liquid Waste Treatment Plant and System Operators.‖ The quoted rate was $ 20.24 in 20 10 dollars (see http://stats.bls.g ov/oes/current/oes518031.htm )

. In addition, 60 percent overhead was assumed, bringing the loaded, inflated rate to $3 2

. 38 in 20 10

dollars

. For air carriers, four labor rates are used and are all loaded by 50 percent

. All rates are

from the Bureau of Labor Statistics in 2010 dollars (see Appendix H for SOC codes for each occupation)

. The first labor rate is for ―Transportation, Storage, and Distribution Managers‖ at a loaded rate of $62.00

. The second labor rate is for ―Cleaners of Vehicles and Equip ment ‖ at a

loaded rate of $15.94

. Labor rates for ―Transportation Inspectors‖ and ―Inspectors, Testers, Sorters, Samplers, and Weighers‖ were also used at loaded rates of $4 5.12 and $ 25.44, respectively

.Microbial Rules ICR April 2012

57 In addition to the labor costs, there are O&M cos ts associated with the SWTR, TCR,
IESWTR, LT1ESWTR , LT2ESWTR

, GWR and ADWR

. For the SWTR, these O&M costs

reflect non

- labor costs associated with coliform analyses (unfiltered systems) and turbidity analyses (unfiltered and filtered systems)

. Coliform an alysis O&M costs are based on analysis

costs as listed in the ADWR Economic Analysis

. Turbidity analysis O&M costs are based on vendor quotes regarding calibration materials needed to perform turbidity analyses

. TCR O&M

costs reflect non

- labor costs asso ciated with coliform and E

. coli analysis

. IESWTR O&M costs

reflect non

- labor costs associated with turbidity analysis for individual filters

. For the IESWTR, turbidity analysis costs are based on O&M cost equations for operating an integrated supervisory control and data acquisition (SCADA) system

. These cost equations are carried forward from the IESWTR Regulatory Impact Analysis (RIA)

. LT1ESWTR O&M costs also reflect non

- labor costs associated with turbidity analysis for individual filters

. LT2ESWTR O&M costs reflect

non

- labor costs associated with Cryptosporidium and E

. coli laboratory analysis

. GWR O&M

costs reflect non

- labor costs associated with compliance (disinfection) monitoring (maintenance costs, monthly reagents, charts and reco rder pens).

The SWTR, IESWTR and LT1ESWTR also include capital costs for turbidity monitoring equipment

. For these rules, capital costs are estimated based on vendor estimates and costing equations for in

- line and bench

- top turbidimeters, or SCADA syste ms needed to comply with turbidity monitoring requirements

. Capital costs are distributed evenly across the replacement period for turbidity analysis equipment (estimated to be 7 years)

. The GWR includes capital costs for chlorine monitoring equipment (c hlorine analyzer, power cord and chart recorder)

. The ADWR includes a capital cost for refrigerators purchased by air carriers, which is distributed evenly across the replacement period for the equipment (estimated to be 10 years).

Further detail on the O&M and capital cost s for the SWTR, TCR, IESWTR,

LT1ESWTR , LT2ESWTR , GWR and ADWR can be found in Appendices B, C, D, E, F , G and
H, respectively.

6(b)(ii) Cost to Primacy Agencies

Exhibit 8 shows that the annual costs to primacy agencies are estimated at approximately $11 8.7 million

. All costs incurred by primacy agencies are labor costs

. Labor costs are based on the number of burden hours times the average hourly wage rate, including overh ead

. Labor rates in 2010 dollars are used and are loaded with a 60 percent overhead factor

. A loaded labor rate of $43.79 per hour in 2010 dollars was used for state labor

. The labor costs are based on the BLS

SOC Code 19

- 2041, ―State Government

- Envir onmental Scientists and Specialists, Including

Health

, ‖ an average FTE cost of $ $91,087

, including overhead, which equates to approximately $ 43.79 per hour. 13 In addition, another labor rate was used for states conducting sanitary surveys and reviewing com pliance monitoring results for the GWR

. Loaded, this rate comes to $58.86 per hour

.

There are no O&M or capital costs for primacy agencies under this ICR.

13 According to t he ICR Handbook, an employee works an average of 2,080 hours in one year.Microbial Rules ICR April 2012

58 Exhibit 6
Annual PWS Burden and Cost May 1, 2012

– April 30, 2015

Exhibit 7

Annual Air Carrier Burden and Cost May 1, 2012

– April 30, 2015

Exhibit 8 Annual Primacy Agency Burden and Cost May 1, 2012

– April 30, 2015Microbial Rules ICR April 2012

59 6(c) Agency Burden and Costs

Burden and costs to the f

ederal government are incurred by EPA’s drinking water program at Headquarters and EPA Regions to assist primacy agencies in implementing drinking water regulations

. EPA burden and costs for on

- going general activities for all EPA drinking water regulations (not just those listed in this ICR) are accounted fo r under the PWSS Program

ICR

. Burden and costs included in the PWSS Program ICR cover all cross

- cutting (non

- rule specific) regulatory activities associated with compliance tracking, regulatory enforcement, and rule development activities

. There are no r ule

- specific activities expected for EPA under any of the rules covered by this ICR , except for EPA’s oversight of air carriers for the ADWR

. EPA’s burden under the ADWR is shown for informational purposes in Appendix H; however, this

burden is not includ ed in the total burden for the ADWR

. As explained above and in section 5(a), EPA ADWR burden is accounted for in the PWSS Program ICR.

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

Respondents for this ICR include PWSs , air ca rriers and primacy agencies

. This ICR estimates that the number of PWS respondents is 152,979 14 existing PWSs

. All PWSs are not necessarily subject to each of the information collection requirements contained in this ICR

. Each rule associated with this I CR identifies the types of PWSs that are subject to that particular requirement

. The numbers, by type of PWSs affected for each rule, are identified in the appendices

. The number of air carrier respondents is 47

. Note that air carriers are respondents

f or the ADWR only.

In addition to the PWS and air carrier respondents, this ICR assumes 57 primacy agencies (50 s tates plus the District of Columbia, U.S

. t erritories, and Indian Nations) 15

. Therefore, the total number of respondents is 153,083

. The total costs and burden for these respondents are

summarized in Exhibits 6

, 7

, and 8

.

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 w ith this ICR, which includes burden for PWSs , air carriers and primacy agencies, is estimated to be approximately 12.9 million hours

. The corresponding total annual respondent costs are estimated to be $ 589.4 million

. The annual capital and O&M

costs are approximately $ 135.3 million

.

14 Source: SDWIS/FED Data from October 2010.

15 For several of these entities, primacy activities are actually implemented by EPA Regional offices

. However, as a simplifying assumption, they are included with the s tates for respondent calculations under this ICR.Microbial Rules ICR April 2012

60 Exhibit 9
Bottom Line Annual Burden and Cost May 1, 2012

– April 30, 2015Microbial Rules ICR April 2012

61 6(f) Reasons for Change in Burden

This section presents the change in burden and explains the reasons for the change in

burden

. The discussion is divided into two parts :

Section 6(f)(i) summarizes the burden adjustments made (by addition of new

r ules) since the 200 8 Microbial Rules ICR (see Exhibit 1 1 ).

Section 6(f)(ii) summarizes burden adjustments to each r ule since the 200 8

Micro bial Rules ICR (see Exhibits 1 2 through 1 4 ).

Exhibit 10 summarizes how each of these changes affects the overall burden inventory

for the Microbial Rules ICR

.

Exhibit 10 Summary of Changes in Annual Burden (Includes PWS , Air Carrier and Primacy Agenc y Burden)

6(f)(i) Restructuring Adjustments

R estructuring adjustments have been made to consolidate the burden for the regulation being incorporated into the Microbial Rules ICR

. These adjustments are discussed below and

summarized in Exhibit 11

.

Burden associated with the ADWR

. The final ADWR was promulgated October
19, 2009

. The standalone ADWR ICR expires on February 28, 2013

. Burden and costs associated with the ADWR and incurred after February 2013 are incorporated into the Microbial Rule s ICR.Microbial Rules ICR April 2012

62 Exhibit 11 Restructuring Adjustments to the Annual Burden Inventory for the Microbial Rules ICR (Includes PWS , Air Carrier and Primacy Agency Burden)

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 (e.g., PWS inventories) and updating to 2010 labor rates

. Where appropriate, estimated violation, wa iver, and other associated rates have also been updated to reflect current information on rule compliance

. Burden also may have changed as a result of consultation with water industry representatives and due to changes in rule requirements

.

Additiona l changes were made to the burden for the SWTR

. The number of systems incurring burden for combined filter effluent turbidity monitoring was modified from the 2008 ICR to include all filtered surface water systems that do not purchase water, in order to b e consistent with the rule

. The SWTR requires all surface water systems that provide filtration to monitor representative samples of filtered water

. When the standalone ICRs for the IESWTR and LT1ESWTR were consolidated into the Microbial Rules ICR, syst ems that provide conventional or direct filtration (the majority of filtered systems) were mistakenly excluded

. Other burden adjustments were made for the GWR

. The sanitary survey burden was updated to

include the full rather than incremental burden of c onducting surveys.

Exhibits 12

- 14 summarize reasons for these changes and quantify the changes by rule

. Burden adjustments associated with PWS activities resulted in a burden increase of 1,813,482

hours and are detailed in Exhibit 12

. Burden adjustments associated with air carrier activities

resulted in a burden increase of 7,758 hours and are detailed in Exhibit 13

. Burden adjustments for primacy agencies result in an increase of 411,929 hours per year, as shown in Exhibit 14

.Microbial Rules ICR April 2012

63 Exhibit 12 Adjustments to PWS Burden from Previous ICR Estimates

Activity Previous

Annual

Burden

Estimate (hours) 2008

- 2011 2012

- 2015

Annual

Burden

Estimate Change in

Burden Reason for Change in Burden

SWTR 776,724 1,783,619 1,006,895 The change in burden is attributable to the use of updated system inventories and plant per system ratios, as well as a change in the universe of systems addressed in the rule. The number of systems incurring burden for turbidity monitoring was changed to include al l filtered surface water systems that do not purchase water. Previously, systems with conventional or direct

filtration were excluded.

TCR 3,464,341 3,508,253 43,912 The change in burden results from updated system inventories. Additionally, coliform violation rates used to estimate repeat and additional monitoring burden have been updated based on SDWIS data from the FY10Q03 frozen database.

IESWTR 3,875,847 4,280,585 404,738 The change in burden is attributable to the use of updated system inventories , plant per system ratios, and percentages of systems using conventional and direct

filtration.

FBRR 0 0 0 Existing PWSs should have completed requirements associated with changing the recycle return location no later than 2006. New PWSs will design their plants to meet the return location requirements. The burden going forward is expected to be negligible.

LT1ESWTR 162,290 138,391 (23,899) The change in burden results from updated system

inventories.

LT2ESWTR 66,406 43,039 (23,367) The change in burden results from updated system inventories and plant per system ratios, and it reflects the change in rule requirements. Systems completed monitoring activities in the previous ICR period and will begin technology reporting in this ICR pe riod. Additionally, E. coli system sample analysis burden was increased in response to consultations.

GWR 176,399 581,601 405,202 The change in burden results from updated system inventories and plant per system ratios. Also, the previous ICR only included 2 years of GWR burden, as the GWR burden was only incorporated into the Microbial Rules ICR following the expiration of the standalone ICR. During this ICR period, systems will

continue to add 4

- log disinfection and conduct compliance monitoring t o comply with the GWR. The number of systems conducting compliance monitoring increases each year post

- GWR promulgation as more systems install 4

- log disinfection. Therefore, the number of systems conducting compliance monitoring during this ICR period is higher than during the last ICR period. Lastly, sanitary survey burden was updated to

include the full rather than incremental burden of conducting surveys.

TOTAL 8,522,007 10,335,489 1,813,482 Adjusted PWS Burden.

Note: Detail may not add exactly to total due to independent rounding.Microbial Rules ICR April 2012

64 Exhibit 13 Adjustments to Air Carrier Burden from Previous ICR Estimates

Exhibit 14 Adjustments to Primacy Agency Burden from Previous ICR Estimates

Activity Previous

Annual

Burden

Estimate (hours) 2008

- 2011 2012

- 2015

Annual

Burden

Estimate Change in

Burden Reason for Change in Burden

SWTR 183,216 266,889 83,673 The change in burden is attributable to the use of updated system inventories and plant per system ratios, as well as a change in the universe of systems addressed in the rule. (The state burden is based on the system burden).

TCR 591,019 458,937 (132,082) The change in burden results from updated system inventories. (The state burden is based on the number of systems complying with the rule). Additionally, sanitary survey burden has been moved and is now addressed under

the GWR.

IESWTR 897,456 947,908 50,452 The change in burden is attributable to the use of updated system inventories , plant per system ratios, and percentages of systems using conventional and direct filtration. (The state burden is based on the number of systems complying with the rule).

FBRR 0 0 0 States have completed the review and recordkeeping associated with the FBRR. The burden going forward is expected to be negligible.

LT1ESWTR 141,732 119,237 (22,495) The change in burden results from updated system inventories. (The state burden is based on the system burden).

LT2ESWTR 43,844 28,642 (15,202) The change in burden results from updated system inventories and plant per system ratios, and it reflects the change in rule requirements. Systems completed monitoring activities in the previous ICR period and will begin technology reporting in this ICR period, and states will be overseeing this activity.

GWR 290,642 738,226 447,584 The change in burden results from updated system inventories and plant per system ratios (state burden for some rule components is based on the number of systems complying with the rule). Also, the previous ICR included only 2 years of GWR burden, as the GWR burden was only incorporated into the Microbial Rules ICR following the expiration of the standalone ICR. Lastly, sanitary survey burden was updated to include the full rather than incremental burden of conducting surveys.

TOTAL 2,147,909 2,559,838 411,929 Adjusted Primacy Agency Burden Note: Detail may not add exactly to totals due to rounding.Microbial Rules ICR April 2012

65 Exhibit 15 shows the effects of these adjustments on the bottom line burden

. Adding
1,813,482 hours to account for adjustments to PWS burden , adding 7,758 hours to account for adjustments to air carrier burden and adding 411,929 hours to account for adjustments to

p rimacy agency burden yields 12,920,667 hours

.

Exhibit 15 Adjustments to Annual Burden Carried Forward from Previous ICR Estimates

(Includes PWS , Air Carrier and Primacy Agency Burden)

6(g) Burden Statement

The public reporting burden for collections included in this ICR is detailed in Exhibit 15

above

. The annual respondent burden is estimated to average approximately 12.92 million

hours , of which 10.34 million hours are attributable to PWSs

, 0.025 million hours to air carriers

and 2.56 million hours to primacy agencies (numbers may not add due to rounding )

. These estimates include time for gathering information as well as developing and maintaining records.

Burden means the total time, effort, or financial resour ces expended by people to generate, maintain, retain, disclose, or provide information to or for a f ederal agency

. This includes the time needed to review instructions; develop, acquire, install, and utilize technology, and systems for the purposes of col lecting, 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

re gulations are listed in 40 CFR p art 9 and 48 CFR part 15.

To comment on the Agency ’ s need for this information, the accuracy of the p rovided 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

- 0442 , 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), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC

. The EPAMicrobial Rules ICR April 2012

66 Docket Center Public Readi ng 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 publ ic 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

. C omments can also be sent to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725

17th Str eet, NW, Washington, DC 20503, Attention: Desk Officer for EPA

. Please include the EPA Docket ID Number (EPA

- HQ

- OW

- 2011

- 0442 ) and the OMB Control Number 2040

- 0205 in any correspondence.