Final Information 

Collection Request for the 

Microbial Rules 

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TABLE OF CONTENTS

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

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

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

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

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

2(b) Use/Users of the Data ............................................................................................. 9

3 NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 

CRITERIA ............................................................................................................ 10

3(a) Non-duplication.................................................................................................... 10

3(b) Public 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) Confidentiality...................................................................................................... 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 ................................................................................................. 65
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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 Spreadsheets
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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, 2012 – April 30, 2015............................ 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 11: 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 ............................... 63

Exhibit 13: Adjustments to Air Carrier Burden from Previous ICR Estimates...................... 64

Exhibit 14: Adjustments to Primacy Agency Burden from Previous ICR Estimates............. 64

Exhibit 15: Adjustments to Annual Burden Carried Forward from Previous ICR 

Estimates (Includes PWS and Primacy Agency Burden) ..................................... 65
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LIST OF FIGURES

Figure 1: Structure of OGWDW ICRs 5
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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 Systems 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 Administration

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 Natural 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 Supervision
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RegNeg Regulation Negotiation

RIA Regulatory Impact Analysis

RFA Regulatory Flexibility Analysis

RTCR 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 Information 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 Exemptions
Microbial Rules ICR April 2012

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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: 1895.07

 

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). 

section 1412 of the SDWA requires EPA to establish NPDWRs for contaminants that may 

adversely impact human health. In section 1414, the 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 Federal Regulations (CFR), 40 CFR part 141, subpart B. 

Section 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. State1governments—in 

those states that have assumed primary enforcement responsibility (primacy) for public water 

systems (PWSs) under SDWA section 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 violations 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

2009 version of EPA’s Guide to Writing Information Collection Requests Under the Paperwork 

Reduction Act (PRA) of 1995 (or ―ICR Handbook‖) prepared by EPA’s Office of Environmental 

Information, Office of Information Collection, Collection Strategies Division. The ICR 

Handbook provides the most current instructions for ICR preparation to ensure compliance with 

the 1995 PRA amendments and the Office of Management and Budget’s (OMB’s) implementing 

guidelines.

 

1 Throughout this document, the terms ―state‖ 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 Nation. 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

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This ICR examines PWS, air carrier, primacy agency and EPA burden and costs for 

recordkeeping and reporting required 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 (FBRR)

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, 2013. 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 section 6 of this document.

Continuing costs and burden for several existing drinking water 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 ICR4. Section 6 and Appendices B through H detail these burden and cost 

calculations. 

The approximate annual operation 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 under the 231.9 Regional full time equivalents (FTEs) dedicated to 

drinking water protection implementation activities.
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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 rules covered by this ICR. 

The Microbial Rules ICR includes the following rules addressing 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 depiction of the structure of the OGWDW ICRs, see Figure 1. A 

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

drinking water program ICRs, is included as Exhibit 1.

The information collected under this ICR is required 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 reasonably require by regulation to assist him in establishing regulations, in 

determining whether such person has acted or is in compliance with this title...”
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In addition, §1401(1)(d) of the SDWA 1986 Amendments defines NPDWRs to include 

―criteria and procedures to assure a supply of drinking water which dependably complies with 

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

procedures to insure compliance with such levels....‖ This section authorizes EPA to require 

systems and laboratories to use Agency-approved methods and quality assurance criteria for 

collecting and analyzing water samples.
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Microbial Rules ICR April 2012

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Exhibit 1: Structure of OGWDW ICRs

Currently covered To be covered in the future

PWSS Program ICR (2040-0090)

Consumer Confidence Reports (CCRs)

Variances & Exemptions (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 

activities5

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 (ADWR)

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 Number 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

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Currently covered To be covered in the future

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

Drinking Water State Revolving Fund Program

(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 supplied by surface water sources (section 1412 (b)(7)(C)(i)). In promulgating 

this regulation 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 protection 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 section 1412(b)(2)(C) of the 1996 
Microbial Rules ICR April 2012

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amendments required EPA to promulgate an Interim Enhanced Surface Water Treatment Rule. 

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

Filter Backwash Recycling Rule

The 1996 SDWA amendments established new drinking water requirements for filtration. 

SDWA section 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 section 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 section 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. 

Aircraft 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 obtains 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

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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 

requirements 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 section 4 of this ICR will be collected by EPA and made 

available to the public upon request, as required by the Freedom of Information Act (40 CFR 

Chapter 1 part 2). In some cases, SDWA requires that the information be provided to the public 

or the primacy agency. Primary users of the data collected under this ICR are OGWDW, PWS 

managers, air carriers and primacy agencies, which include state regulators, Indian Tribes, and, 

in some instances, EPA Regional Administrators. Other users include the following:

Staff from other EPA programs (such as Superfund, 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 Water Companies (NAWC)

Association of State Drinking Water Administrators (ASDWA)

Natural Resources Defense Council (NRDC)

Consumers Federation of America

News organizations

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 information on PWS violations to SDWIS. This federal 

information system allows EPA and states to store and retrieve 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 oversight and to communicate information on 

drinking water program implementation.
Microbial Rules ICR April 2012

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3 NON-DUPLICATION, CONSULTATIONS, AND OTHER 

COLLECTION CRITERIA

3(a) Non-duplication

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

are not duplicated. EPA 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 discussed in this document. To the best of 

EPA's knowledge, data currently required by the SDWA (and its implementing regulations 

codified at 40 CFR parts 141 and 142) are not available from any other source.

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

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

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

notice in the Federal Register 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 numerous meetings with interested stakeholders, including state and EPA 

Regional personnel and PWS representatives, to identify the value and ease of collecting 

information needed to fulfill SDWA obligations. As a standard regulatory development practice 

to promote public involvement, EPA formally solicits public comment on proposed drinking 

water rules. Before any rule is finalized, EPA logs and evaluates all written comments on 

proposed rules. Additionally, EPA usually holds public meetings during which any interested 

party may provide oral testimony for Agency consideration. 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 meetings 

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 

requested 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 was published on June 29, 1989. The 1989 TCR was reviewed as part 

of the six-year review of drinking water standards. EPA published its preliminary 

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

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(67 FR 19029-19090). EPA received and reviewed comments from 44 

commenters. EPA held a stakeholder meeting on May 30, 2002 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 Committee included representatives 

from water utilities and other industries, state public health and regulatory 

agencies, environmental groups, consumer groups, and EPA. The 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 Advisory 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 Committee’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 Advocacy 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 SERs 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 representatives 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 

input 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 associations, 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 meetings 
Microbial Rules ICR April 2012

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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 

with representatives of PWSs and states 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 identify 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. Monitoring 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 with 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 with the 1995 PRA amendments and OMB’s implementing 

guidelines.

3(f) Confidentiality 

No confidential information will be collected as a result of this ICR. 
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3(g) Sensitive Questions

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

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4 RESPONDENTS AND INFORMATION REQUESTED

4(a) Respondents/NAICS Codes

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

and federal levels. Respondents include: 

Owners/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 NAICS 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 summarize 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 people 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). Instead, 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 Microbial 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 part 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 required to be 

maintained under section 141.33 and/or 

copies of documents that the state is 

entitled to under section 1445 of SDWA or 

state law.

40 CFR 141.31(e) As requested 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 years

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 reported to the state.

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)

Monthly
Microbial 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 waterborne 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 coliform 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 PWS 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 it 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 exceedances, 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 backwash 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 necessary
Microbial Rules ICR April 2012

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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 years
Microbial 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 

accordance 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 corrective 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) Within 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 indicatorpositive 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 stateapproved 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.

40 CFR 141.405(b) At least 5 years
Microbial Rules ICR April 2012

20

Requirement Regulatory Citation Frequency/Retention

ADWR7

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 disinfection 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 self-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

maintenance 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 years
Microbial 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)

Retain 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 temperature 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 within 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 systemby-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) Varies
Microbial 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 instance.

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 filtration 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 requirements 

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 unreasonable 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 analyses 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 years
Microbial 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 

reduced 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 sample if that 

system assumes that the total coliformpositive 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 systemby-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
Microbial 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 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, 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 systemby-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 

assessments during sanitary surveys.

40 CFR 142.15(c)(6) After each round of monitoring.
Microbial Rules ICR April 2012

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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 ground water systems’ 

documentation for not conducting 

40 CFR 142.14(d)(17) At least 12 years
Microbial Rules ICR April 2012

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Requirement Regulatory Citation Minimum Frequency/ 

Retention Period

triggered source water monitoring.

Records of invalidations of fecal indicatorpositive 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 inactivation 

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 

removal) 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 

inactivation, 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 Rule8

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

Source water coliform data for unfiltered systems.

Combined filter effluent turbidity 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

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Source water turbidity for unfiltered systems.

Residual disinfectant 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 hours 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 surveys 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 monitoring 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 modifies 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 exceed 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 filters.

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

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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 removal 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 filter self-assessments, CPEs or 

composite correction programs (CCPs).

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

Subpart H systems9that have had a sanitary survey in the last year.

Evaluation of the state’s program for conducting sanitary surveys for all subpart H 

systems.

4) Filter Backwash Recycling Rule

Under the FBRR, PWSs should already have reported 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

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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 solids are removed, if applicable. 

Primacy agencies must maintain records of decisions regarding alternate recycle 

locations 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 system 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 disinfection 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 current

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, states are subject to the general reporting requirements under 40 CFR 142.15. 

There are no additional reporting requirements under this rule. 
Microbial Rules ICR April 2012

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The additional state 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 state to modify their disinfection practices.

A record of state decisions regarding the use of alternative filtration technologies

that have demonstrated 99 percent removal 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 filter self-assessments, CPE or 

CCP.

6) Long Term 2 Enhanced Surface Water Treatment Rule

PWSs must submit the following information:

Sampling schedule, including sampling location(s) and planned dates for source 

water sampling (for initial and second round monitoring).

For systems 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 of 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 small systems (serving fewer than 10,000 people) that filter (the first round of 

monitoring occurred during previous ICR periods; a second round of monitoring 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 samples, 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 classifications for the second round of 

monitoring must be reported to the state. All unfiltered systems must report their mean 

Cryptosporidium levels to the state. (A small amount of burden will be incurred during the last 

year of this ICR period.)
Microbial Rules ICR April 2012

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PWSs of all sizes that propose to make a significant change to their disinfection practice 

will complete disinfection profiles and benchmarks 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 outside 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 for 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 

technique 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 the following to EPA:

Initial bin classification for each filtered system and any changes in bin 

classifications. Mean Cryptosporidium level for each unfiltered system. (This 

activity was completed 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) Ground Water Rule

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

Failure to meet any state-specified requirements including minimum residual 

disinfectant concentration, membrane operating criteria or membrane integrity, 
Microbial Rules ICR April 2012

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and alternative 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 state within 30 days of a total coliform-positive sample that 

a PWS met the state 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 Records of the state-specified minimum disinfectant residual. 

o 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.

o Records of state-specified compliance requirements for membrane filtration 

and of parameters specified by the state for state-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 states, the additional requirements include the following (40 CFR 

142.14(d)(17)):

Records of written notices of significant deficiencies.

Records of corrective action plans, schedule approvals and state-specified interim 

measures.

Records of confirmations that a significant deficiency has been corrected or the 

fecal contamination in the ground water source has been addressed.

Records of state determinations and records of ground water systems’

documentation for not conducting triggered source water monitoring.

Records of invalidations of fecal indicator-positive ground water source samples.

Records of state approvals of 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 

before or at the first customer.

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 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 state-approved 

combination of 4-log virus inactivation and removal) before or at the first 

customer for 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 evaluated for each ground water system.

The date the system completed the corrective action.

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).

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.

Air carriers are also required to maintain the following documents10:

An 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 was 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, the number of aircraft acquired post-ADWR promulgation is assumed to be a very small percentage of 

the existing 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

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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 Activities

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 contaminant-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 

requirements 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 system 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 (mL) for fecal coliform or less than

100/100 mL 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 state.

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

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Filtered Systems

Monitor and report to the state 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 Coliform Rule

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

Collect water samples at specified intervals, as defined in the federal or state 

regulations.

Collect monitoring data on the presence of total coliform bacteria in the 

distribution 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 state at frequencies required by

federal and state 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:

Conduct 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 federal regulations. 

Report exceptions to the state 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 state if necessary.

4) Filter Backwash Recycling Rule

The rule requires all PWSs to collect and retain on file recycle flow 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 state at frequencies 

specified in the federal 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 report to the state, if necessary.

Develop a disinfection benchmark, if necessary.

Consult with the state 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 also required to monitor 

source water turbidity; the burden for turbidity monitoring is assumed to be 

negligible. Initial 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 systems serving less than 10,000 people may monitor 

for E. coli as a trigger instead. These systems will only sample for 

Cryptosporidium if their E. coli results exceed certain levels. 

Monitor source water for Cryptosporidium 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 treatment 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 state or third 

party conducting the survey.

Conduct triggered source water monitoring if the system tests positive for total 

coliform in the distribution system under TCR, for systems not providing 4-log 

treatment of viruses. Under triggered monitoring requirements (40 CFR 141.402) 

a system must collect at least one source water sample and have that sample tested 

for a fecal indicator (E. coli, enterococci, or coliphage) specified by the state. If a 

system detects the state-specified fecal indicator at its source, then the system 

must take five additional samples within 24 hours unless the state 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 state identifies a significant deficiency during a sanitary 

survey or the system has confirmed fecal contamination of its source water.

Monitor disinfectant residual for compliance, for systems providing disinfection 

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 development of a new sampling plan; submit new monitoring and 

disinfection and flushing frequency information for new purchases or transfers of 

ownership of aircraft; and maintain sampling plans.

Report changes in aircraft water system inventory within 10 days after the end of 

the month in which they occurred.

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-inspection 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. 

Maintain state approval of plans and specifications, enforcement activities, and 

variances and exemptions (V&Es) 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, states serve as respondents when reporting 

compliance data to the federal government. Some of these activities are covered in the PWSS 

Program ICR as general primacy activities. 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 information submitted by PWSs. 

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

which 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 results of sanitary surveys conducted 

under the TCR.

3) Interim Enhanced Surface Water Treatment Rule

Primacy agencies are required to maintain records of state verification activities and each 

determination made and to report to EPA in accordance with state reporting requirements. In 

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

these responsibilities, states are involved in the following additional activities:

Reviewing individual filter turbidity monitoring data.

Conducting CPEs for PWSs.

Conducting sanitary surveys.

Consulting with 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 (40 CFR 142.16). EPA anticipates that states 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 turbidity
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6) Long Term 2 Enhanced Surface Water Treatment Rule

Primacy agencies have the responsibility for ensuring the implementation of the 

LT2ESWTR. This will include the following activities (some of these activities will occur 

during future ICR periods):

Maintaining and updating the data management system.

Reviewing small system sampling schedules and sampling locations.

Maintaining E. coli and Cryptosporidium monitoring data from small systems.

Responding to systems’ inquiries.

Reviewing and approving bin classifications.

Reviewing disinfection profiles and benchmarks.

Reviewing 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 in section 4(b)(i).

7) Ground Water Rule

States will need to perform the following tasks:

Perform sanitary surveys, and reporting and recordkeeping requirements 

associated with performing sanitary surveys. 

Tracking and filing monitoring results and reviewing any additional reporting.

8) Aircraft Drinking Water Rule

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

described in section 5(a) of this document.
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5 INFORMATION COLLECTED -- AGENCY ACTIVITIES, 

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

oversees its regional and state programs, provides technical assistance, and develops policies 

designed to ensure consistent program implementation. EPA officials serve as respondents when 

testifying to Congress on the PWSS Program or in the courts for enforcement actions. 

EPA 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 aircraft water system inventory changes.

Review certifications and reports of air carrier self-inspections.

Conduct onsite compliance audits, as needed.

Burden and costs for these activities are addressed in the PWSS Program ICR (OMB No. 

2040-0090). Section 5(a) of the PWSS Program ICR contains additional detail regarding the 

activities supported by the collection of SDWIS data described 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 assumes the activities performed by the state 

for those states, 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.
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Burden and costs for these activities are accounted for under the primacy agency burden 

(see section 6). EPA Regional offices also conduct general primacy activities for states,

territories and tribes that do not have primacy. This burden is addressed in the PWSS ICR and is 

included in the general primacy burden for primacy agencies.
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Exhibit 4

EPA Requirements

Requirement Regulatory Citation Frequency

General Requirements (apply to all regulations)

For states and other entities for which the 

Agency maintains primacy, the Agency must 

maintain the records and perform the reporting 

activities required of states. (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 

prescribe 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 necessary
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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 some 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 samples 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 information on trends in drinking 

water enforcement.
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Supporting PWSS program file reviews. EPA undertakes 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 insights into the primacy agency’s interpretation of regulations. 

Such information supports fair and consistent SDWA implementation 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 receive 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 ―small 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 Administration 

regulations under section 3 of the Small Business Act.

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

operated and not dominant in its field.

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

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

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

The major requirement under SBREFA is a regulatory flexibility analysis (RFA) of all 

rules that have a ―significant economic impact on a substantial number of small entities.‖ Since 

this ICR is not currently 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 

serving 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

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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 purposes 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 will 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. Systems 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 ranges 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 conducted 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 small 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 not have a significant impact on a substantial number of small systems. As a 

result, an RFA was not required.
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5) Long Term 1 Enhanced Surface Water Treatment Rule

The LT1ESWTR applies only to subpart H systems serving less than 10,000 people. 

Therefore, the 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. The Agency determined 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 annual 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. coli is much less expensive than Cryptosporidium. Small 

systems are only required to monitor for Cryptosporidium if E. coli 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 performing 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 monitoring 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 

certain aircraft with a removable/portable water tank that is drained every day of passenger 

service, where the aircraft has only one tap.
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5(d) Collection Schedule

The collection schedules for each rule are summarized below. Additional information 

may be obtained by consulting the individual rules for specific collection schedules.

Exhibit 5

Collection Schedule

Rule Collection Commencement Year 

SWTR 1991/1993 (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 information

October 2011 – coliform sampling data, dates 

routine disinfection and flushing are performed
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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 Rule12

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

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 welldocumented changes 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 are 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 states, a 2010 labor rate of $27.37 was 

obtained 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 Systems Survey 

(CWSS).

Number of plants—data from the 2006 CWSS.

In addition, EPA has revised some of the estimates of burden for particular activities (e.g., 

sampling, developing reports) to reflect consultations with representatives of PWSs and states 

(see section 3(c)).

 

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

in the DDBP/Chem/Rads Rules ICR.
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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 section 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 2008 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 Rule ICR. For unfiltered systems, burden estimates 

include raw water sampling for coliform, on-site inspections, watershed management and raw 

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

turbidity monitoring. Section 6(f) describes the reasons for changes between the burden reported 

in the 2008 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 TCR 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 2008 Microbial Rules ICR. Section 6(f) describes the 

reasons for changes between the burden reported in the 2008 Microbial Rules ICR and this ICR. 

Appendix C summarizes the assumptions used to calculate the TCR burden and provides the 

detailed burden and cost calculations. 
Microbial Rules ICR April 2012

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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 2008 Microbial 

Rules ICR. Reasons for changes in burden between the 2008 Microbial Rules ICR and this ICR 

are summarized in section 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 rule. 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 largely on the 

assumptions carried forward from the 2008 Microbial Rules ICR. Reasons for changes in burden 

between the 2008 Microbial Rules ICR and this ICR are summarized in section 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 with 

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, the 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

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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, the 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 burden 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 burden also includes the burden associated with sanitary surveys.

Appendix G summarizes the assumptions used to calculate the GWR burden and provides 

the detailed burden and cost calculations.

8) Aircraft Drinking Water 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, selfinspection, and public notice. 

The standalone ADWR ICR expires February 28, 2013. Burden and costs associated 

with the ADWR and incurred after February 2013 are incorporated 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 2.56 million hours. Exhibit 8 (at the end of section 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 state burden 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 2008

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

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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 monitor TCR-related activities such as 

reviewing routine coliform reports, E. coli and fecal coliform reports, and additional routine 

sampling reports. The burden for sanitary surveys for ground water systems is now addressed

under the GWR (see Appendix G). Sanitary survey burden for surface water systems is included 

under IESWTR. Estimates for primacy agency burden for the TCR are based on assumptions 

carried forward from the 2008 Microbial Rules ICR. Appendix C shows detailed burden and 

cost calculations.

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 carried forward from the 2008 Microbial Rules ICR. The burden 

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

Additionally, states 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 states 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 state 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 2008 Microbial Rules ICR. 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, states 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 state burden for the LT2ESWTR is expected to be 0.029 million hours. The 

assumptions used to calculate the LT2ESWTR burden are based largely on assumptions carried 

forward from the 2008 Microbial Rules ICR. State burden includes reviewing monitoring results 

and assisting with and 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

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7) Ground Water Rule

The annual state burden for the GWR is expected to be 0.74 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, states will ensure PWSs are complying with treatment 

technique requirements and any associated reporting requirements. For ground water systems 

that do not provide 4-log treatment of viruses, state burden estimates also account for review of 

triggered source water monitoring results. Lastly, the burden 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) Aircraft Drinking Water Rule 

Note that EPA is the primacy agency for the ADWR, as EPA has direct oversight for that 

rule. This 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, and $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 2010 dollars (see http://stats.bls.gov/oes/current/oes518031.htm). In 

addition, 60 percent overhead was assumed, bringing the loaded, inflated rate to $32.38 in 2010

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 Equipment‖ 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 $45.12 and $25.44, 

respectively.
Microbial Rules ICR April 2012

57

In addition to the labor costs, there are O&M costs 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 analysis 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 associated 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 recorder 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 systems 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 (chlorine 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 costs 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 

$118.7 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 overhead. 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 - Environmental 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 compliance 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 the 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, 2015

Annual Labor 

Cost ($K)

Annual O&M 

Cost ($K)

Annual 

Capital Cost 

($K)

Total Annual 

Cost ($K)

SWTR 1,783,619 $57,761 $4,414 $2,206 $64,381 18,039,574

TCR 3,508,253 $113,611 $81,818 N/A $195,429 3,668,442

IESWTR 4,280,585 $138,622 $16,938 $15,823 $171,383 3,781,397

LT1ESWTR 138,391 $4,482 $2,894 $2,266 $9,642 321,982

LT2ESWTR 43,039 $1,394 $619 N/A $2,012 8,626

GWR 581,601 $18,834 $6,076 $88 $24,998 897,601

TOTAL 10,335,489 $334,704 $112,759 $20,383 $467,846 26,717,624

Note: Detail may not add exactly to totals due to rounding.

Activity

Annual Burden 

Hours

Cost

Annual Responses Annual Labor 

Cost ($K)

Annual O&M 

Cost ($K)

Annual 

Capital Cost 

($K)

Total Annual 

Cost ($K)

ADWR 25,341 $667 $2,202 $2 $2,871 98,384

TOTAL 25,341 $667 $2,202 $ 2 $2,871 98,384

Activity

Annual Burden 

Hours

Cost

Annual Responses

Annual Labor 

Cost ($K)

Annual O&M 

Cost ($K)

Annual 

Capital Cost 

($K)

Total Annual 

Cost ($K)

SWTR 266,889 $11,688 N/A N/A $11,688 76,108

TCR 458,937 $20,098 N/A N/A $20,098 1,835,748

IESWTR 947,908 $41,511 $0 $0 $41,511 70,619

LT1ESWTR 119,237 $5,222 $0 $0 $5,222 67,045

LT2ESWTR 28,642 $1,254 N/A N/A $1,254 307

GWR 738,226 $38,914 N/A N/A $38,914 33,714

TOTAL 2,559,838 $118,686 N/A N/A $118,686 2,083,540

Note: Detail may not add exactly to totals due to rounding.

Activity

Annual Burden 

Hours

Cost

Annual Responses
Microbial Rules ICR April 2012

59

6(c) Agency Burden and Costs

Burden and costs to the federal 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 for 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 rule-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 included 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 carriers and primacy agencies. This ICR 

estimates that the number of PWS respondents is 152,97914 existing PWSs. All PWSs are not 

necessarily subject to each of the information collection requirements contained in this ICR. 

Each rule associated with this ICR 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 

for the ADWR only.

In addition to the PWS and air carrier respondents, this ICR assumes 57 primacy agencies 

(50 states plus the District of Columbia, U.S. territories, 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 with 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 states 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, 2015

153,083 (=)

152,979 (+) Existing PWSs

47 (+) Existing Air Carriers

57 Primacy agencies

28,899,549 (=)

26,717,624 (+) PWS responses (see Exhibit 6)

98,384 (+) Air Carrier responses (see Exhibit 7)

2,083,540 Primacy agency responses (see Exhibit 8)

188.8 (=)

28,899,549 (/) Total annual responses from above

153,083 Total number of respondents from above

12,920,667 (=)

10,335,489 (+) PWS hours (see Exhibit 6)

25,341 (+) Air Carrier hours (see Exhibit 7)

2,559,838 Primacy agency hours (see Exhibit 8)

0.45 (=)

12,920,667 (/) Total annual respondent hours from above

28,899,549 Total annual responses from above

$135,347 (=)

$112,759 (+) Total PWS O&M costs (see Exhibit 6)

$20,383 (+) Total PWS capital costs (see Exhibit 6)

$2,202 (+) Total Air Carrier O&M costs (see Exhibit 7)

$2 Total Air Carrier capital costs (see Exhibit 7)

$589,403 (=)

$467,846 (+) For PWSs (see Exhibit 6)

$2,871 (+) For Air Carriers (see Exhibit 7)

$118,686 For primacy agencies (see Exhibit 8)

12,920,667 (=)

12,920,667 (+) Total annual respondent hours from above

0 Total EPA hours

$589,403 (=)

$589,403 (+) Total annual respondent cost from above

$0 Total EPA cost

Note: Detail may not add exactly to totals due to rounding.

1No Primacy Agency capital or O&M costs are incurred, see Exhibit 8.

Total Annual Cost ($K) (resp. plus 

Agency) 

Total Annual Respondent Cost ($K)

Annual Number of Respondents

Total Annual Responses

Number of Responses per 

Respondent

Total Annual Respondent Hours

Hours per Response

Annual O&M and Capital Cost 

($K)1

Total Annual Hours (resp. plus 

Agency) 
Microbial 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 

rules) since the 2008 Microbial Rules ICR (see Exhibit 11).

Section 6(f)(ii) summarizes burden adjustments to each rule since the 2008

Microbial Rules ICR (see Exhibits 12 through 14).

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 Agency Burden)

6(f)(i) Restructuring Adjustments 

Restructuring 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 Rules ICR.

Type of Change Burden (hours) Running Total Comment

Burden Estimated in the 2008 

Microbial Rules ICR 10,669,916 10,669,916 

This burden serves as the baseline for 

the 2012 Microbial Rules ICR.

Restructuring 

Adjustments–see Section 

6(f)(i) 17,583 10,687,499 

Burden for ADWR is now included in 

this ICR.

Other Adjustments to 

Burden–see Section 6(f)(ii) 2,233,168 12,920,667 

Burden for which EPA seeks approval in 

this ICR.

Note: Detail may not add exactly to totals due to rounding.
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, waiver, 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. 

Additional 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 be 

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, systems 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 conducting 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.

Action Annual Burden Hours Brief Explanation

N/A 10,669,916

Inventory for the 2008 Microbial Rules ICR carried forward as the 

baseline for 2012 Microbial Rules ICR (includes PWS, State, and EPA 

burden). Current opening inventory for the 2012 Microbial Rules ICR.

Add 17,583

This represents the current ADWR burden inventory. This inventory is 

being moved from the ADWR ICR (OMB 2040–0277) into the 2012 

Microbial Rules ICR.

Total 10,687,499 Microbial Rules ICR inventory based on current burden inventories.

Note: Detail may not add exactly to totals due to rounding.
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 all 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 period. 

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 to 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.

ADWR 17,583 25,341 7,758 

This represents the current ADWR annual air carrier burden 

estimate. This burden is being moved from the ADWR ICR 

(OMB 2040-0277) into the 2012 Microbial Rules ICR. The 2012-

2015 burden estimate reflects changes in rule requirements. Air 

carriers have completed implementation and will begin 

monitoring, disinfection and flushing, self-inspections, and 

public notice activities in this ICR period.

TOTAL 17,583 25,341 7,758 Adjusted Air Carrier Burden

Activity

Previous Annual 

Burden Estimate 

(hours) 2008-2011

2012-2015 

Annual 

Burden 

Estimate

Change in 

Burden Reason for Change in Burden
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 

primacy 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 resources expended by people to 

generate, maintain, retain, disclose, or provide information to or for a federal agency. This 

includes the time needed to review instructions; develop, acquire, install, and utilize technology, 

and systems for the purposes of collecting, validating, and verifying information; processing and 

maintaining information and disclosing and providing information; adjust the existing ways to 

comply with any previously applicable instructions and requirements; train personnel to be able 

to respond to a collection of information; search data sources; complete and review the collection 

of information; and transmit or otherwise disclose the information. An agency may not conduct 

or sponsor, and a person is not required to respond to, a request for information collection unless 

it displays a currently valid OMB control number. The OMB control numbers for EPA’s 

regulations are listed in 40 CFR part 9 and 48 CFR part 15.

To comment on the Agency’s need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including the 

use of automated collection techniques, EPA has established a public docket for this ICR under 

Docket ID Number EPA-HQ-OW-2011-0442, 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 EPA 

Action Annual Burden Hours Brief Explanation

None 10,687,499

2008 Microbial Rules ICR inventory based on current burden inventories 

(see Exhibit 11).

Add 1,813,482

Adjustment to the PWS burden carried forward from previous ICRs (see 

Exhibit 12).

Add 7,758

Adjustment to Air Carrier burden carried forward from standalone ICR 

(see Exhibit 13)

Add 411,929

Adjustment to the primacy agency burden carried forward from previous 

ICRs (see Exhibit 14).

Total 12,920,667 Hours requested in 2012 Microbial Rules ICR (see Exhibit 10).

Note: Detail may not add exactly to totals due to rounding.
Microbial Rules ICR April 2012

66

Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through 

Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 566-

1744, and the telephone number for the Water Docket is (202) 566-2426. An electronic version 

of the public docket is available at www.regulations.gov. This site can be used to submit or view 

public comments, to access the index listing of the contents of the public docket, and to access 

those documents in the public docket that are available electronically. When in the system, 

select ―search,‖ then key in the Docket ID Number identified above. Comments can also be sent 

to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 

17th Street, NW, Washington, DC 20503, Attention: Desk Officer for EPA. Please include the 

EPA Docket ID Number (EPA-HQ-OW-2011-0442) and the OMB Control Number 2040-0205 

in any correspondence.