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 ............................................................................................................ 11

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

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

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

3(d) Effects of Less Frequent Collection ..................................................................... 13

3(e) General Guidelines............................................................................................... 14

3(f) Confidentiality...................................................................................................... 14

3(g) Sensitive Questions .............................................................................................. 14

4 RESPONDENTS AND INFORMATION REQUESTED ................................... 15

4(a) Respondents/NAICS Codes.................................................................................. 15

4(b) Information Requested ......................................................................................... 15

5 INFORMATION COLLECTED -- AGENCY ACTIVITIES, COLLECTION

METHODOLOGY, AND INFORMATION MANAGEMENT.......................... 49

5(a) Agency Activities................................................................................................. 49

5(b) Collection Methodology and Management .......................................................... 52

5(c) Small Entity Flexibility ........................................................................................ 53

5(d) Collection Schedule.............................................................................................. 56

6 ESTIMATING BURDEN AND COST OF COLLECTION................................ 58

6(a) Respondent Burden .............................................................................................. 59

6(b) Respondent Costs ................................................................................................. 64

6(c) Agency Burden and Costs.................................................................................... 67

6(d) Estimating Respondent Universe and Total Burden and Costs............................ 67

6(e) Bottom Line Burden Hours and Costs.................................................................. 68

6(f) Reasons for Change in Burden ............................................................................. 70

6(g) Burden Statement ................................................................................................. 74
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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 C1)

Revised Total Coliform Rule Spreadsheets (Appendix C2) 

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.............................................. 16

Exhibit 3: Primacy Agency Recordkeeping and Reporting Requirements............................ 24

Exhibit 4: EPA Requirements................................................................................................ 51

Exhibit 5: Collection Schedule .............................................................................................. 57

Exhibit 6: Annual PWS Burden and Cost, May 1, 2012 – April 30, 2015............................ 66

Exhibit 7: Annual Air Carrier Burden and Cost, May 1, 2012 – April 30, 2015................... 66

Exhibit 8: Annual Primacy Agency Burden and Cost, May 1, 2012 – April 30, 2015 ......... 66

Exhibit 9: Bottom Line Annual Burden and Cost, May 1, 2012 – April 30, 2015................ 69

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

Burden) ................................................................................................................. 70

Exhibit 11: Restructuring Adjustments to the Annual Burden Inventory for the Microbial

Rules ICR (Includes PWS and Primacy Agency Burden).................................... 71

Exhibit 12: Adjustments to PWS Burden from Previous ICR Estimates............................... 72

Exhibit 13: Adjustments to Air Carrier Burden from Previous ICR Estimates...................... 73

Exhibit 14: Adjustments to Primacy Agency Burden from Previous ICR Estimates............. 73

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

Estimates (Includes PWS and Primacy Agency Burden) ..................................... 74
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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

RFA Regulatory Flexibility Analysis

RIA Regulatory Impact 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

UCMR Unregulated Contaminant Monitoring Rule

UIC Underground Injection Control

V&Es Variances and Exemptions
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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: 1895.09

1(b) Short Characterization

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

Protection Agency (EPA) 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 public drinking water systems dependably comply 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 public drinking water system (PWS) 

supplier 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. 

Forty-nine States have been given primary enforcement responsibility, or primacy, under SDWA 

to ensure that PWSs are complying with the requirements of the NPDWRs. The Safe Drinking 

Water Information System (SDWIS) federal and state databases contain information in 

conformance with reporting requirements established by the SDWA and related regulations and 

guidance. These data assist EPA in fulfilling its SDWA obligations. SDWIS assists EPA in 

tracking and interpreting violations data and other program-related data. Revisions are currently

being made to this system. EPA expects primacy agencies to fully transition to the revised 

system, SDWIS Prime, in the subsequent ICR period.

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.
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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. EPA’s microbial rules include:

1) Surface Water Treatment Rule (SWTR)2

2) Total Coliform Rule (TCR)/Revised Total Coliform Rule (RTCR)3

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)

This ICR estimates burden and costs for September 1, 2015 through August 31, 2018 for 

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

dated August 2012, which expires on August 31, 2015. Net change burden and costs (i.e., 

incremental costs over the 1989 TCR) developed in the previously approved RTCR ICR for the 

period following the RTCR effective date of April 1, 2016, are accounted for in this 

programmatic ICR. The burden and cost estimates for each rule are discussed in greater detail in 

section 6 of this document.

Continuing costs and burden for microbial rules listed above are evaluated in this ICR. 

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

14.7 million hours per year. The total annual cost associated with this ICR is estimated to be 

approximately $652.5 million. The distribution of annual burden between PWSs, air carriers and 

primacy agencies is approximately 12.0 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 $522.8 million, $4.2 million, and $125.6 million, respectively. There is no 

EPA burden or cost for this ICR.4 Section 6 and Appendices B through H detail these burden 

and cost calculations.

The approximate annual operation and maintenance (O&M) and capital costs are $110.0 

million ($88.0 million for O&M and $22.0 million for capital). This represents the “cost 

burden” as reported in the OMB inventory. These costs are for PWSs and air carriers only;

primacy agencies do not have capital or O&M costs associated with the Microbial Rules.

The total number of respondents for this ICR is 149,864; 57 of these respondents are 

primacy agencies, 42 are air carriers, and the balance are existing PWSs (149,765). The total

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 associated with the first 3 years of RTCR implementation was amended to the 2012 OMB-approved

Microbial Rules ICR on January 23, 2014. However, text and supporting appendices related to the RTCR are

included in the Microbial Rules ICR for the first time.

4 EPA directly implements the ADWR, but the burden and cost for these activities is accounted for in the PWSS

Program ICR under the 206.4 regional FTEs dedicated to drinking water protection implementation activities.
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annual number of responses for these respondents is 29.2 million (27.1 million for PWSs, 0.13

million for air carriers and 2.0 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/Revised 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 microbial ICR is required by EPA to carry out its 

monitoring and enforcement responsibilities as specified under SDWA and its amendments. 

Without comprehensive, up-to-date information on microbial contaminants present in drinking 

water, the Agency would not be able to meet these statutory requirements.

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

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

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

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

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

this title...”
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In addition, section 1401(1)(D) of the SDWA 1986 amendments defines NPDWRs to 

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

complies with such maximum contaminant levels; including accepted methods for quality 

control and testing procedures to insure compliance with such levels; including accepted 

methods for quality control and testing procedures...” This section authorizes EPA to require 

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

collecting and analyzing water samples.
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Figure 1. Structure of OGWDW ICRs

Microbial Rules ICR

FBRR TCR/

RTCR1

IESWTR SWTR 2

LT1 GWR

LT2 ADWR

Lab QA

2040-0246

DW SRF 

2040-0185

SWAP

2040-0197

Bioterrorism

UCMR 3

2040-0270

UIC Program ICR

Classes I - VI

UCMR 4

2040-0270

Green =Activities remain as in current ICR

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

1 RTCR burden and costs incurred afterApril 2016 are being

added to TCR.

2 DDBP/Chem/Rads Rules ICR includes disinfectantresidual

monitoringunderSWTR

3

Includes LCR Short-Term Revisions

DDBP/Chem/Rads Rules ICR

Chems LCR 3 Stage 1

Arsenic Rads Stage 2

Lab QA

2040-0246

DW SRF 

2040-0185

SWAP

2040-0197

Bioterrorism

UCMR 3

2040-0270

UIC Program ICR

Classes I - VI

UCMR 4

2040-0270

Green =Activities remain as in current ICR

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

1 RTCR burden and costs incurred afterApril 2016 are being

added to TCR.

2 DDBP/Chem/Rads Rules ICR includes disinfectantresidual

monitoringunderSWTR

3

Includes LCR Short-Term Revisions

PWSS Program ICR

State Primacy

Activities

Proficiency V&E’s

CCRs PN Cap Dev

Op Cert Tribal

Op Cert

Constructed

Conveyances
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Exhibit 1: Structure of OGWDW ICRs

Currently covered To be covered in the future

PWSS Program ICR (2040-0090)

Consumer Confidence Reports (CCRs)

Variances & Exemptions

Capacity Development Program

General State Primacy Activities

Public Notification (PN)

Operator Certification Expense Reimbursement

Grants Program

Tribal Operator Certification

Constructed Conveyances

Proficiency Testing

Microbial Rules ICR (2040-0205)

Surface Water Treatment Rule, except

disinfectant residual monitoring and associated

activities5

Total Coliform Rule/ Revised Total Coliform Rule

Interim Enhanced Surface Water Treatment Rule

(IESWTR)

Filter Backwash Recycling Rule

Long Term 1 Enhanced Surface Water Treatment

Rule (LT1ESWTR)

Long Term 2 Enhanced Surface Water Treatment

Rule (LT2ESWTR)

Ground Water Rule

Aircraft Drinking Water Rule

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

Stage 1 Disinfectants and Disinfection 

Byproducts Rule

Disinfectant Residual Monitoring and 

associated activities under the SWTR

Stage 2 Disinfectants and Disinfection Byproducts 

Rule

Chemical Phase Rules

Radionuclides Rule

Arsenic Rule

Lead and Copper Rule Lead and Copper Rule Long Term Revisions

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

SWAP

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

UIC Base Program Activities

Classes I-VI Rule

Florida Class I Rule

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

Drinking Water State Revolving Fund Program

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

Drinking Water Infrastructure Needs Survey ICR (2040-0274)

Needs Survey

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

2002: Drinking Water Security and Safety ICR (2040-0253)

Vulnerability Assessments and Emergency

Response Plans for community water systems

(CWSs).

Unregulated Contaminant Monitoring Rule ICR (2040-0270)

Monitoring of Unregulated Contaminants (UCMR

3) UCMR 4

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

0246)

Proficiency Testing Program for 

Laboratories Analyzing Cryptosporidium 

 Surface Water Treatment Rule (SWTR)

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 PWSs 

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 public 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 (TCR)

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.

 Revised Total Coliform Rule (RTCR)

The 1996 SDWA amendments require EPA to review and revise, as appropriate, each

existing NPDWR no less often than every six years (SDWA section 1412(b)(9)). In 2003, EPA 

completed its review of the 1989 TCR (68 FR 42908, July 18, 2003) and stated its intent to 

revise the 1989 TCR. The purpose of the review was to identify new health risk assessments, 

changes in technology, and other factors that would provide a health-related or technological 

basis to support a regulatory revision. 
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The RTCR achieves the objectives of the 1989 TCR by taking into account the changes 

in regulatory framework for implementing the SDWA over the past 20 years and experience 

with the TCR since it was promulgated in 1989.

The information collected under the RTCR is required by EPA to carry out its monitoring 

and enforcement responsibilities under the SDWA. Without comprehensive, up-to-date 

information on drinking water contamination, EPA would not be able to meet the SDWA 

statutory requirements.

 Interim Enhanced Surface Water Treatment Rule (IESWTR)

SDWA section 1412(b)(2)(C) of the 1996 amendments required EPA to promulgate an 

Interim Enhanced Surface Water Treatment Rule. The IESWTR set the first drinking water 

standards to control Cryptosporidium in systems serving 10,000 or more customers.

 Filter Backwash Recycling Rule (FBRR)

The 1996 SDWA amendments established new drinking water requirements for 

filtration. SDWA section 1412(b)(14) required 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 (LT1ESWTR)

SDWA section 1412(b)(2)(C) required EPA to develop rules to balance the risks between 

microbial pathogens and disinfection byproducts. The provisions in the LT1ESWTR address the 

concerns covered by the IESWTR as they apply to systems serving fewer than 10,000 customers.

 Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR)

SDWA section 1412(b)(2)(C) required EPA to develop rules to balance the risks 

between microbial pathogens and disinfection byproducts. The LT2ESWTR builds upon the 

SWTR, IESWTR, and LT1ESWTR by supplementing existing microbial treatment 

requirements for systems where additional public health protection is needed. 

Collectively, the SWTR, IESWTR, LT1ESWTR, and LT2ESWTR place stringent 

treatment requirements on systems using surface water as a source.

 Ground Water Rule (GWR)

The 1996 SDWA amendments required the Administrator to publish a national drinking 

water regulation requiring disinfection of ground water as necessary (section 1412(b)(8)). The 

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

GWR was promulgated November 8, 2006.
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 Aircraft Drinking Water Rule(ADWR)

All PWSs are subject to the NPDWRs unless they are excluded from regulatory

requirements under SDWA section 1411. Section 1411 excludes from regulation any PWS that 

receives all of its water from another regulated PWS, does not sell or treat the water, and is not a 

“carrier which conveys passengers in interstate commerce.” The classes of interstate carrier 

conveyances (ICCs) include aircraft, trains, buses, and water vessels. As a result, all ICCs that 

regularly serve water to an average of at least twenty-five individuals daily, at least 60 days per 

year are PWSs and are currently subject to existing NPDWRs regardless of whether they treat or 

sell the water.

Water used for human consumption onboard an aircraft must meet the requirements of 

the SDWA, as with all other PWSs. EPA promulgated the ADWR to tailor existing healthbased 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)

 Consumer organizations

 News organizations

Primacy agencies maintain records compiled from PWS respondents (40 CFR 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.
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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.
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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 on March 31, 2015 (80 FR 17040) 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

In May 2015, as part of the revision of the Microbial Rules ICR, EPA consulted with 

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

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

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

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

and revised burden estimates for the relevant rule.

3(d) Effects of Less Frequent Collection

EPA has considered a wide range of alternatives for frequency of data collection. 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 framework 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).
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 Contaminants likely to be found.

 Historical variability in contaminant occurrence.
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3(e) General Guidelines

This collection conforms to all the general guidelines at 5 CFR 1320.5(d)(2).

3(f) Confidentiality

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

3(g) Sensitive Questions

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

4(a) Respondents/NAICS Codes

Data associated with this ICR are collected and maintained at the PWS, 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. US EPA has developed the 

Aircraft Reporting and Compliance Systems (ARCS) to capture the reporting of aircraft PWS data, pursuant to 

ADWR. 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 decided to carry that designation forward as it incorporated the ADWR ICR into 

the 2012 OMB-approved Microbial Rules ICR.
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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) By the end of the 

required monitoring 

Failure to comply with any NPDWR. 40 CFR 141.31(b) and

(c)

As necessary, unless state 

lab performs analysis and 

reports results directly to state

Copies of records required to be

maintained under 40 CFR 141.33 

and/or copies of documents that the 

state is entitled to under section 1445 of 

SDWA or state law.

40 CFR 141.31(e) As requested 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 

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 

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-site inspections

conducted during that year.

40 CFR 141.75(a)(4) Annually

Report to the state any waterborne 

disease outbreak potentially 

attributable to the water system.

40 CFR 141.75(a)(5)(i) As soon as possible but not later 

than end of the next business 

day.

Report to the state any time turbidity 

exceeds 5 nephelometric turbidity 

units (NTU).

40 CFR

141.75(a)(5)(ii)

As soon as practical but no 

later than 24 hours after 

learning of the exceedance.

Filtered Systems – Reporting
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Requirement Regulatory Citation Frequency/Retention

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

Report to the state any time turbidity 

exceeds 5 NTU the PWS.

40 CFR

141.75(b)(3)(ii)

As soon as practical but no 

later than 24 hours after 

learning of the exceedance.

Report to the state any waterborne 

disease outbreak potentially 

attributable to that water system.

40 CFR 141.75(b)(3)(i) 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) 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) By end of next business day.

Report to the state any failure to comply

with coliform monitoring requirements.

40 CFR 141.21(g)(2) Within 10 days after 

discovering the violation.

Recordkeeping

Subject to general requirements as listed above.

RTCR

Reporting

Report an E. coli MCL violation to the

state.

40 CFR

141.861(a)(1)(i)

By end of the day in which 

system learns of the violation, 

or if state office is closed, by 

end of next business day.

Report an E. coli-positive sample to the

state.

40 CFR

141.861(a)(1)(ii)

By end of the day in which 

system receives results, or if 

state office is closed, by end of 

next business day.

Report treatment technique violation for

total coliforms to the state.

40 CFR 141.861(a)(2) By end of next business day 

after the system learns of the 

violation.

Submit assessment form to the state. 40 CFR 141.861(a)(3) Within 30 days of triggering an

assessment and upon

completion of each scheduled

corrective action for 

corrections not completed by 

the time of submission of the 

assessment form.

Report a coliform monitoring violation 

to the state.

40 CFR 141.861(a)(4) Within 10 days after 

discovering the violation.

Certify that the system has complied with

the State-approved start-up procedure

(for seasonal systems only).

40 CFR 141.861(a)(5) As necessary, prior to serving

water to the public.

Recordkeeping
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Requirement Regulatory Citation Frequency/Retention

Any assessment form, documentation 

of corrective actions completed as a 

result of assessments, or other 

available summary documentation of 

the sanitary defects found and 

corrective actions taken.

40 CFR 141.861(b)(1) No less than 5 years

Any repeat sample taken that meets state

criteria for an extension of the 24-hour

period for collecting repeat samples.

40 CFR 141.861(b)(2) 5 years (as required under 40

CFR 141.33(a))

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 

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 soon as possible but no 

later than the end of the next 

business day.

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 

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
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Requirement Regulatory Citation Frequency/Retention

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 CFE 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 exceedance.

40 CFR 141.570(b)(2),

141.563(a)

As necessary

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 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)

Within 120 days after the 

CPE was triggered
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Requirement Regulatory Citation Frequency/Retention

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 

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 

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 

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

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
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Requirement Regulatory Citation Frequency/Retention

A PWS conducting compliance 

monitoring must notify the state any time 

the system fails to meet any statespecified 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 indicator-positive ground 

water source samples.

40 CFR 141.405(b) At least 5 years

For consecutive systems, documentation

of notification to the wholesale system(s)

of total-coliform positive samples that 

are not invalidated.

40 CFR 141.405(b) At least 5 years

Records of the state-specified minimum

disinfectant residual.

40 CFR 141.405(b) At least 10 years

Records of the lowest daily residual

disinfectant concentration and records 

of the date and duration of any failure to

maintain the state-prescribed minimum

residual disinfectant concentration for a

period of more than 4 hours.

40 CFR 141.405(b) At least 5 years

Records of state-specified compliance

requirements of membrane filtration and

of parameters specified by the state for

state-approved 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
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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 

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.
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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

Copies of public notices issued 

to passengers and crew.

40 CFR 141.807(f) At least 3 years
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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 incurred by 

the PWSs and enforcement actions 

initiated by the state 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 of PWSs that includes the name, 

identification number and date of the 

determination by the state that the PWS

is not required to provide filtration system. 

40 CFR 142.15(c)(1)(i)(A) As necessary

A list of PWSs that includes the name and 

identification number for 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) 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.

40 CFR 142.14(a)(4)(ii) Varies
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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 sampling frequency or 

reporting requirements.

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 PWS’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 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, deficiencies 

have been addressed 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.
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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 HPC),

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
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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 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.

RTCR

Reporting

A list of systems that the state is 

allowing to monitor under a reduced 

monitoring frequency.

40 CFR 142.15(c)(3) Not specified

Recordkeeping

Any case-by-case decision to waive or

extend the 24-hour time limit for collecting

repeat samples following a total coliformpositive routine sample, sample

invalidation, or (for unfiltered systems) a

high turbidity measurement.

40 CFR

142.14(a)(10)(i)(A)

5 years
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Requirement Regulatory Citation Minimum Frequency/

Retention Period

Any decision to allow a system to waive

the requirement for three routine 

samples the month following a total 

coliform- positive sample.

40 CFR

142.14(a)(10)(i)(B)

5 years

Any decision to invalidate a total coliformpositive sample.

40 CFR

142.14(a)(10)(i)(C)

5 years

Completed and approved Level 1 and/or

Level 2 assessments, including reports

from the system that corrective action 

has been completed.

40 CFR

142.14(a)(10)(i)(D)

5 years

Any decision to reduce the total coliform

monitoring frequency for a NCWS using 

only ground water and serving 1,000 or 

fewer people to less than once per 

quarter.

40 CFR

142.14(a)(10)(ii)(A)

Retain in such a manner that a

system’s current status may 

be determined.

Any decision to reduce the total 

coliform monitoring frequency for a 

CWS serving 1,000 or fewer people to 

less than once per month.

40 CFR

142.14(a)(10)(ii)(B)

Retain in such a manner that a

system’s current status may be

determined.

Any decision to reduce the total coliform

monitoring frequency for a NCWS using 

only ground water and serving more than 

1,000 people during any month the 

system serves 1,000 or fewer people

40 CFR

142.14(a)(10)(ii)(C)

Retain in such a manner that a

system’s current status may be

determined.

Any decision to allow a system to forgo E.

coli testing of a total coliform-positive

sample if that system assumes that the

total coliform-positive sample is E. colipositive.

40 CFR

142.14(a)(10)(ii)(D)

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
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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 

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.
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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. 

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
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Requirement Regulatory Citation Minimum Frequency/

Retention Period

Records of state determinations and

records of ground water systems’

documentation for not conducting

triggered source water monitoring.

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

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 

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 stateapproved 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.

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).
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 CFE turbidity data for filtered systems.

 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 40 CFR 

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.

2a) 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 section 

142.15(c) and must maintain records as specified in section 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.

2b) Revised Total Coliform Rule

The following are the reporting and recordkeeping requirements for PWSs beginning on 

April 1, 2016. Note that sample siting plans were submitted during the RTCR startup period 

and were covered under the standalone ICR.

In addition to the reporting requirements specified in 40 CFR 141.31, PWSs are required 

by the RTCR to report the following to the states (see section 141.861(a)):

 E. coli MCL violation by the end of the day the system learns of the violation, 

or by the end of the next business day if the state office is closed when the 

system learns of the violation.

 E. coli-positive sample by the end of the day when the system learns of the

analytical result, or by the end of the next business day if the state office is 

closed when the system learns of the result.

 Treatment technique violation for total coliforms by no later than the end of the 

next business day after the PWS learns of the violation. The PWS must provide 

public notification.
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 Assessment form within 30 days of triggering an assessment and completion of 

each scheduled corrective action for corrections not completed by the time of 

submission of the assessment form. A “Level 1” assessment (described further 

in section 4(b)(ii)) is required in the following situations:

o PWSs taking ≥40 samples per month have total coliform bacteria 

present in more than 5 percent of samples for a given month;

o PWSs taking <40 samples per month have two or more total 

coliform positive samples in a month; or

o PWSs fail to take all required repeat samples after a single totalcoliform positive sample.

 A “Level 2” assessment is required in the following situations:

o A PWS has an E. coli MCL violation; or

o A PWS is triggered into a Level 1 assessment for the second time in 12 

months, unless the first Level 1 treatment technique trigger was based on 

exceeding the allowable number of total coliform-positive samples, the 

state has determined a likely reason for the positive samples that caused

the initial Level 1 treatment technique trigger, and the state establishes 

that the system has fully corrected the problem; or

o PWSs with approved reduced annual monitoring triggers a Level 

1 assessment in two consecutive years.

 Monitoring violation within 10 days after the PWS discovers the violation.

The PWS must provide public notification.

In addition to the recordkeeping requirements for PWSs specified in 40 CFR 141.33, 

PWSs are required by the RTCR to keep records of the following (see section 141.861(b)):

 Any assessment form, documentation of corrective actions completed as a result 

of assessments, or other available summary documentation of the sanitary

defects found and corrective actions taken for state review; and

 Any repeat sample taken that meets state criteria for an extension of the 24-

hour period for collecting repeat samples.

States must begin complying with the reporting and recordkeeping requirements described 

below by April 1, 2016. It is important to note that the burden associated with the development of 

primacy applications was addressed in the standalone RTCR ICR. 

In addition to the reporting requirements specified in 40 CFR 142.15, the RTCR 

requires states to report the following to EPA (see section 142.15(c)(3)):

 A list of systems that the state is allowing to monitor under a reduced 

monitoring frequency.

In addition to those items already specified in 40 CFR 142.14, states are required to 

keep records of the following (see section 142.14(a)(10)):
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 Any case-by-case decision to waive or extend the 24-hour time limit for 

collecting samples following either a total coliform-positive routine sample, 

invalidation, or a high turbidity measurement;

 Any decision to allow a system to waive the requirement for three routine 

samples the month following a total coliform-positive sample;

 Any decision to invalidate a total coliform-positive sample;

 Completed and approved Level 1 and/or Level 2 assessments, including 

reports from the system that corrective action has been completed;

 Any decision to reduce the total coliform monitoring frequency for a CWS

serving 1,000 or fewer people to less than once per month;

 Any decision to reduce the total coliform monitoring frequency for a NCWS

using only ground water and serving 1,000 or fewer people to less than once per 

quarter;

 Any decision to reduce the total coliform monitoring frequency for a NCWS

using only ground water and serving more than 1,000 people during any month

the system serves 1,000 or fewer people; and

 Any decision to allow a system to forgo E. coli testing of a total coliformpositive sample if that system assumes that the total coliform-positive sample is 

E. coli- positive.

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 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.

 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.

 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:
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 Individual filter turbidity measurements.

items:

The IESWTR (in section 142.14) requires primacy agencies to maintain the following

 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, 

CCPs.

Additionally, the primacy agency must report the following (per section 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.

 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.

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 section 141.2).
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5) Long Term 1 Enhanced Surface Water Treatment Rule

Under the 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.

 For systems that exceed 1.0 NTU in two consecutive measurements, the filter 

number, date, time, and reason for the exceedance at the end of the month.

 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.

 Any requirement to conduct a CPE and the date that it was triggered.

 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.

The additional state recordkeeping requirements under the 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.
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 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 CCPs.

6) Long Term 2 Enhanced Surface Water Treatment Rule

PWSs must submit the following information:

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

water sampling (for initial and second round monitoring). Systems serving 

50,000 people or more submitted sampling schedules for the second round of 

monitoring under the previous ICR period; all other systems will submit 

schedules during this ICR period.

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 

is in progress):

 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 that filter and serve fewer than 10,000 people, the first round of 

monitoring occurred during previous ICR periods, and a second round of monitoring will begin 

during this ICR period. These systems monitor as follows:

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

(beginning in this ICR period).

 If system exceeds the Cryptosporidium monitoring trigger based on E. coli 

monitoring results, then 24 Cryptosporidium samples, plus two matrix spike 

samples for Cryptosporidium. (Note that Cryptosporidium monitoring will not 

begin until the next ICR period.)

Large unfiltered systems are required to collect 24 Cryptosporidium samples over a 

period of 2 years. Small unfiltered systems are required to collect 24 Cryptosporidium samples 

over a period of 1 or 2 years. Both groups of systems are required to collect two matrix spike 

samples for Cryptosporidium. 

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. (Some systems will incur a burden for this during this ICR 

period.)

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 
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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. Most disinfection 

changes associated with the LT2ESWTR (and Stage 2 DBPR) occurred during previous ICR 

periods. Disinfection profiling will be completed during this 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:

 Second round bin classification for each filtered system and any changes in bin 

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

second round of monitoring began during the previous ICR period and 

continues during 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, 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).
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 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: 

• Records of the state-specified minimum disinfectant residual

• 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.

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

customer.

 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
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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 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 documents:10

 The O&M plan for the aircraft PWS to address ADWR requirements. This plan 

should be included in FAA's aircraft O&M program and made available for EPA 

review upon request.

 The coliform sampling plan that was developed as part of their O&M plan, which 

must be available for EPA review upon request.

 Any O&M plans and coliform sampling plans that must 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.

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.
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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 and 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.
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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).

2a) 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.

2b) Revised Total Coliform Rule

Beginning in April 2016, EPA anticipates PWSs to be involved in the following 

activities:

 Conducting routine, additional routine, and repeat coliform monitoring and 

reporting the results as required.

 Completing a Level 1 assessment if the PWS experiences a Level 1 trigger, and 

submitting a form to the state to identify sanitary defects detected, corrective 

actions completed, and a timetable for any corrective actions not already 

completed. A Level 1 assessment is an evaluation to identify the possible 

presence of sanitary defects, defects in distribution system coliform monitoring 

practices, and (when possible) the likely reason that the system triggered the 

assessment. It is conducted by the system operator or owner. Minimum elements 

include review and identification of atypical events that could affect distributed 

water quality or indicate that distributed water quality was impaired; changes in 

distribution system maintenance and operation that could affect distributed water 

quality (including water storage); source and treatment considerations that bear on 

distributed water quality, where appropriate (e.g., whether a ground water system 

is disinfected); existing water quality monitoring data; and inadequacies in sample 

sites, sampling protocol, and sample processing. 

 Completing a Level 2 assessment if the PWS experiences a Level 2 trigger, and 

submitting a form to the state to identify sanitary defects detected, corrective 

actions completed, and a timetable for any corrective actions not already 

completed. A Level 2 assessment provides a more detailed examination of the 

system (including the system’s monitoring and operational practices) than does a 

Level 1 assessment through the use of more comprehensive investigation and 

review of available information, additional internal and external resources, and 
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other relevant practices. It is conducted by an individual approved by the state, 

which may include the system operator. Minimum elements include review and 

identification of atypical events that could affect distributed water quality or 

indicate that distributed water quality was impaired; changes in distribution 

system maintenance and operation that could affect distributed water quality

(including water storage); source and treatment considerations that bear on 

distributed water quality, where appropriate (e.g., whether a ground water system 

is disinfected); existing water quality monitoring data; and inadequacies in sample 

sites, sampling protocol, and sample processing.

 Correcting sanitary defects found through the performance of Level 1 or Level 2

assessments and report on completion of corrective actions as required.

3) Interim Enhanced Surface Water Treatment Rule

Systems serving at least 10,000 people using surface water or ground water under the 

direct influence of surface water (GWUDI) 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 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)).

5) Long Term 1 Enhanced Surface Water Treatment Rule

Under the LT1ESWTR, systems serving under 10,000 people and using surface water or 

GWUDI 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.
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6) Long Term 2 Enhanced Surface Water Treatment Rule

Under the LT2ESWTR systems are required to do the following:

 Submit a sampling plan for the second round of monitoring. This 

requirement applies to systems serving fewer than 50,000 people.

 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. 

 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.

 Unfiltered systems are required to monitor source water for Cryptosporidium 

only and calculate treatment requirements based on monitoring results. 

 If additional treatment was installed in the previous ICR period based on the 

first round of bin classification, systems must demonstrate to the state that they

are complying with the requirements for the technologies they have chosen.

 Prepare disinfection benchmarking reports for Giardia and viruses if 

disinfection is changed. This activity will be completed during this 3-year ICR 

period.

 Keep all monitoring data on file for 3 years.

7) Ground Water Rule

Under the GWR, systems are required to do the following:

 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 specified by the state. If a system detects the statespecified 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 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).
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8) Aircraft Drinking Water Rule

Air carriers will need to undertake the following activities 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 and post-disinfection follow-up 

coliform samples following corrective action.

 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. All 

public notification instances must be reported to EPA.

 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.

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 a PWSs

performance and identify areas of improvement. They also identify enforcement targets and 

systems requiring remedial action. In addition, states are responsible for 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.
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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.

2a) 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; 

Primacy agencies are required to maintain this information 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.

2b) Revised Total Coliform Rule

Beginning in April 2016, EPA expects the states to be involved in the following activities.

 Tracking compliance.

 Analyzing and reviewing PWS data.

 Making determinations concerning PWS monitoring requirements.

 Responding to PWSs with positive samples.

 Recordkeeping.

 Reviewing completed assessment forms and consulting with the PWS about the 

assessment form.

 Reviewing and coordinating with PWSs to determine the optimal 

corrective action to be implemented.

 Providing consultation, reviewing the public notification certification, and 

filing the report of the violation.

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
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addition, primacy agencies ensure that PWSs are implementing the 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.

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 system sampling schedules and proposed sampling locations.

 Maintaining E. coli and Cryptosporidium monitoring data.

 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:
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 Perform sanitary surveys, and reporting and recordkeeping requirements

associated with performing sanitary surveys.

 Track and file 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

11 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. EPA oversees ADWR 

compliance because aircraft fly in interstate commerce and, therefore, no single state can have 

primacy over an aircraft PWS, as described in 40 CFR 142.3(b). The burden associated with the

206.4 regional full time equivalents (FTEs)12 covered under the PWSS Program ICR includes the 

EPA ADWR burden. The Agency will be responsible for collecting the information generated as

air carriers comply with the rule. EPA activities for ADWR 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.

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 PWSs

 Analyzing and reviewing PWS data.

 Making compliance determinations concerning PWSs.

 Conducting CPEs and sanitary surveys.

11 As mentioned in section 1 of this ICR, revisions are currently being made to SDWIS. EPA expects the revisions 

to streamline the reporting and recordkeeping process. Details regarding potential burden and cost reductions in 

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

12 FTE figures were provided by OGWDW.
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 Meeting with PWSs about changes in recycling practices.

 Compliance tracking.

 Recordkeeping.

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.

RTCR

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
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Requirement Regulatory Citation Frequency

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

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

13, which contains the following:

 Inventory data for each PWS.

 Violations.

 Enforcement actions and some follow-up activity.

 Variances and exemptions (where applicable).

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

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

results of system samples are sent directly to the EPA Region.

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.

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

http://water.epa.gov/scitech/datait/databases/drink/sdwisfed/howtoaccessdata.cfm.
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The ETT provides information on trends in drinking water enforcement.

 Supporting PWSS program file reviews. During PWSS program file reviews, 

EPA compares SDWIS data to primacy agency data to assess the quality of the 

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 

to ensure consistent SDWA implementation.

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 (OMB control number 2040-0277).

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. The terms small entities are defined in section 601 of the 

Regulatory Flexibility Act and are listed below:14

 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 rule proposals, 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 would approach

14 These definitions were taken from section 601 of the Regulatory Flexibility Act.
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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.

2a) Total Coliform Rule

The number of required coliform samples varies directly with system size. 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 NCWSs using ground water only and serving 1,000 or fewer people. As provided 

for in 40 CFR 141.21(a)(3)(i), the primacy agency may reduce the quarterly monitoring 

frequency as a result of a sanitary survey.

2b) Revised Total Coliform Rule

To assess this impact, EPA conducted outreach to small entities and convened a Small 

Business Advocacy Review Panel SBARP in February 2008 to obtain recommendations from 

representatives of the small entities that would be subject to the rule’s requirements. The panel 

recommended using total coliforms as a trigger for investigation and/or corrective action, 

balancing monitoring requirements and costs with risk, further differentiating requirements from 

other related rules, and considering reporting and recordkeeping costs when estimating burden.

Several of these recommendations were implemented. The RTCR eliminates the 

MCLG and MCL for total coliforms and instead uses total coliforms as an indicator of the 

potential pathway of contamination into the distribution system. PWSs that may be vulnerable 

to fecal contamination are required to do an assessment and if necessary, take appropriate 

corrective action. Other provisions of the RTCR that resulted in reduced costs for small PWSs 

include:
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 Reduced routine monitoring for qualifying PWSs serving 1,000 or fewer people.

 Reduced number of repeat samples required.

 Reduced additional routine monitoring for PWSs serving 4,100 or fewer people.

 Reduced public notification requirements for all systems, including 

small systems.

 Reductions in corrective actions over time as a result of enhanced 

system performance for all small systems.

3) Interim Enhanced Surface Water Treatment Rule

Except for sanitary survey requirements, which are conducted by the primacy agency,

the IESWTR only applies to systems serving at least 10,000 people. 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. 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 and, therefore, an RFA was not required.

5) Long Term 1 Enhanced Surface Water Treatment Rule

The LT1ESWTR applies only to Subpart H systems serving fewer than 10,000 people.

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 filtered systems to monitor for E. coli instead of 

Cryptosporidium. The analysis for E. coli is much less expensive than the one for 

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 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 SBARP. Several of the panel’s 

recommendations were incorporated into the rule. These recommendations include:

 Utilizing a risk targeted approach, in which only those systems most at risk are 

required to monitor or provide corrections.

 Using coliform monitoring instead of more expensive viral monitoring. 

Monitoring for other organisms is required only if coliform monitoring is

positive.
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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 air 

carriers 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 where 

the aircraft has only one tap.

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.
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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

RTCR 2016 – coliform monitoring

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 

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 Rule15

2) Total Coliform Rule/Revised 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 September 1, 2015, through August 31, 2018. 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 has refined some of the assumptions for calculating the burden and costs associated 

with implementing the drinking water regulations contained in this ICR in an effort to 

accurately characterize the burden and costs. For this update, many assumptions were revised 

based on program changes and well-documented changes in some data. To provide a 

comparable basis on which to calculate the requirements addressed by the Microbial Rules ICR, 

and to address inconsistencies, EPA applied uniform assumptions to all rules where applicable. 

The categories of assumptions are listed below.

 A 2013 labor rate of $21.62 was obtained from the Bureau of Labor Statistics 

(BLS) for PWSs. An overhead rate of 60 percent was applied, resulting in an 

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

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

of $45.60.

 PWS inventory figures from the most recent frozen SDWIS database 

pull (October 2014).

 Number of entry points per system—data from the 2006 Community Water

Systems Survey (CWSS).

 Number of plants per system—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)).

15 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 September 1, 2015, through August 31, 2018, is estimated 

to be approximately 12.0 million hours. Exhibit 6 shows the breakdown of the annual burden 

hours on a rule-specific basis. The annual air carrier burden for the same time period is 0.034 

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 1.77 million annual burden hours per

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

carried forward from the 2012 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. Detailed burden and cost calculations for the SWTR are provided in Appendix B.

2) Total Coliform Rule/Revised Total Coliform Rule

Activities associated with the TCR and RTCR account for a burden of 4.79 million hours 

per year, and represent the sum of the TCR burden and the net change RTCR burden. Net change 

burden (i.e., incremental burden over the 1989 TCR) developed in the previously approved RTCR 

ICR for the period following the RTCR effective date of April 1, 2016, is being accounted for in 

this ICR.16 The 3-year period covered by this programmatic ICR includes approximately 3 years of 

burden for TCR activities and 2.5 years of net change burden for RTCR activities. Note that in 

order to account for the full burden related to RTCR, for modeling purposes, burden related to TCR 

is included for the full 3-year evaluation period.

TCR burden includes that incurred to conduct 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 2012 Microbial Rules ICR.

RTCR net change burden (i.e., incremental burden over the 1989 TCR) includes that

incurred to conduct routine monitoring, additional routine monitoring, and repeat monitoring; to 

perform Level 1 and Level 2 assessments; and to perform reporting and recordkeeping related to

16 The burden associated with the first 3 years of RTCR implementation was amended to the 2012 OMBapproved Microbial Rules ICR on January 23, 2014. However, text and supporting appendices related to the 

RTCR are included in the Microbial Rules ICR for the first time.
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corrective actions. The assumptions used to calculate the net change RTCR burden are based

largely on assumptions carried forward from the standalone RTCR ICR for the final rule. Note that 

net change burden related to RTCR PN has been removed from the RTCR standalone ICR and is 

accounted for under the PN Rule in the 2015 PWSS Programmatic ICR.

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

Microbial Rules ICR and this ICR. TCR reporting and recordkeeping burden is provided in 

Appendix C1. RTCR net change reporting and recordkeeping burden (i.e., incremental burden

over the 1989 TCR) is provided in Appendix C2. Since there are ongoing reporting and 

recordkeeping requirements under the 1989 TCR, Appendix C2 also provides the additional 

TCR burden calculations to calculate the net change in the reporting and recordkeeping burden 

for PWSs to comply with the RTCR, and are shown for informational purposes only.

3) Interim Enhanced Surface Water Treatment Rule

Activities associated with the IESWTR account for a burden of 4.32 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 

2012 Microbial Rules ICR. 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 0.13 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 2012 Microbial Rules ICR. 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 0.14 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 a previous ICR period. The second round of 

monitoring will take place during this ICR period. PWSs conducting monitoring are also 

expected to complete a sampling plan and bin recalculation.

Appendix F summarizes the assumptions used to calculate the LT2ESWTR burden and

provides the detailed burden and cost calculations.
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7) Ground Water Rule

Activities associated with the GWR account for a burden of 0.86 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. 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 0.034 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, which was 

incorporated into the 2012 Microbial Rules ICR. Air carrier burden includes sampling, 

reporting associated with sampling and O&M activities, self-inspection, and public notice.

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 September 1, 2015, through August 31, 

2018, is estimated to be approximately 2.62 million hours. Exhibit 8 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 0.26 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 2012 

Microbial Rules ICR. Detailed calculations for burden and cost are shown in Appendix B.
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2) Total Coliform Rule/Revised Total Coliform Rule

Activities associated with the TCR/RTCR account for a burden of 0.45 million hours per 

year, and represent the sum of the TCR burden and the net change RTCR burden. Net change 

burden (i.e., incremental burden over the 1989 TCR) developed in the previously approved RTCR 

ICR for the period following the RTCR effective date of April 1, 2016, is being accounted for in 

this programmatic ICR

17. The 3-year period covered by this programmatic ICR includes 

approximately 3 years of burden for TCR activities and 2.5 years of net change burden for RTCR 

activities. Note that in order to account for the full burden related to RTCR, for modeling purposes, 

burden related to TCR is included for the full 3-year evaluation period.

TCR burden includes monitoring TCR-related activities such as reviewing routine 

coliform reports, E. coli and fecal coliform reports18, and additional routine sampling reports. 

The burden for sanitary surveys for ground water systems is addressed under the GWR (see 

Appendix G). Sanitary survey burden for surface water systems is included under the IESWTR. 

Estimates for primacy agency burden for the TCR are based on assumptions carried forward 

from the 2012 Microbial Rules ICR.

RTCR net change burden (i.e., incremental burden over the 1989 TCR) includes responding

to positive sample results; reviewing completed assessment forms required to be filed by PWSs; 

consulting with PWSs about their assessment form; and reviewing and coordinating with PWSs to 

determine the appropriate corrective action to be implemented and providing consultation. States 

must also submit information to SDWIS to assist both EPA and states in tracking PWS compliance. 

The assumptions used to calculate the net change RTCR burden are based largely on assumptions 

carried forward from the standalone RTCR ICR for the final rule. Note that net change burden 

related to RTCR PN has been removed from the RTCR standalone ICR and is accounted for under 

the PN Rule in the 2015 PWSS Programmatic ICR.

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

Microbial Rules ICR and this ICR. TCR reporting and recordkeeping burden is provided in 

Appendix C1. RTCR net change reporting and recordkeeping burden (i.e., incremental burden

over the 1989 TCR) is provided in Appendix C2. Since there are ongoing reporting and 

recordkeeping requirements under the 1989 TCR, Appendix C2 also provides the additional 

TCR burden calculations to calculate the net change in the reporting and recordkeeping burden 

for states to comply with the RTCR, and are shown for informational purposes only.

17 The burden associated with the first 3 years of RTCR implementation was amended to the 2012 OMBapproved Microbial Rules ICR on January 23, 2014. However, text and supporting appendices related to the 

RTCR are included in the Microbial Rules ICR for the first time.

18 Once the RTCR is fully implemented, systems will only conduct coliform and E. coli monitoring.
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3) Interim Enhanced Surface Water Treatment Rule

Primacy agencies are expected to expend 0.96 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 2012 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 2012 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 or 

fewer people. 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 0.10 million hours. The 

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

forward from the 2012 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.
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7) Ground Water Rule

The annual state burden for the GWR is expected to be 0.73 million hours. The 

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

forward from the standalone GWR ICR for the final rule, which was incorporated into the 2012 

Microbial Rules ICR. The burden includes those activities 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

EPA is the primacy agency for the ADWR, and has direct oversight for that rule. This 

burden is captured in the 206.4 regional EPA FTE included 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 $522.8 million, which consists of $416.0 million in labor costs,

$84.8 million in O&M costs, and $22.0 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 $4.2 million, which consists of $0.96 million in labor 

costs, $3.2 million in O&M costs, and $0.003 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 

BLS for Standard Occupational Classification (SOC) Code 51-8031, “Local Government—

Water and Liquid Waste Treatment Plant and System Operators.” The quoted rate was $21.62 in 

2013 dollars (see http://www.bls.gov/oes/2013/may/oes518031.htm). In addition, 60 percent 

overhead was assumed, bringing the loaded rate to $34.59 in 2013 dollars. For air carriers, four 

labor rates are used and are all loaded by approximately 50 percent. All rates are from the BLS 

in 2013 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 $65.40. The second 

labor rate is for “Cleaners of Vehicles and Equipment” at a loaded rate of $16.48. Labor rates 

for “Transportation Inspectors” and “Inspectors, Testers, Sorters, Samplers, and Weighers” 

were also used at loaded rates of $48.95 and $27.14, respectively.
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In addition to the labor costs, there are O&M costs associated with the SWTR, 

TCR/RTCR, IESWTR, LT1ESWTR, LT2ESWTR, GWR and ADWR.

 SWTR 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 GWR 

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.

 RTCR O&M costs reflect net change non-labor costs associated with coliform 

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 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) and E. coli analysis materials costs from the GWR Economic 

Analysis.

Additionally, there are capital costs associated with SWTR, IESWTR, LT1ESWTR, 

GWR, and ADWR.

 SWTR, IESWTR and LT1ESWTR 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).

 GWR includes capital costs for chlorine monitoring equipment such as chlorine 

analyzer, power cord and chart recorder).

 ADWR includes a capital cost for refrigerators purchased by air carriers, which 

is distributed evenly across the replacement period for the equipment.

Further detail on the O&M and capital costs for the SWTR, TCR/RTCR, IESWTR, 

LT1ESWTR, LT2ESWTR, GWR and ADWR can be found in Appendices B, C1/C2, 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

$125.6 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
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in 2013 dollars are used and are loaded with a 60 percent overhead factor. A loaded labor rate of

$45.60 per hour in 2013 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 $94,848, including overhead, which equates to approximately

$45.60 per hour.19 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 $59.71 

per hour.

There are no O&M or capital costs for primacy agencies under this ICR.

Exhibit 6

Annual PWS Burden and Cost 

September 1, 2015 – August 31, 2018

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 1,773,186 $61,338 $4,640 $2,318 $68,297 17,737,514

TCR/RTCR 4,792,580 $165,785 $42,127 N/A $207,912 3,673,598

IESWTR 4,322,149 $149,512 $18,467 $17,228 $185,207 3,818,305

LT1ESWTR 133,839 $4,630 $2,990 $2,343 $9,963 311,346

LT2ESWTR 144,525 $4,904 $9,764 N/A $14,668 72,023

GWR 860,961 $29,782 $6,843 $89 $36,714 1,460,940

TOTAL 12,027,240 $415,950 $84,830 $21,979 $522,759 27,073,725

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

Exhibit 7

Annual Air Carrier Burden and Cost 

September 1, 2015 – August 31, 2018

Activity

Annual Burden

Hours

Cost

Annual Responses

Annual 

Labor

Cost ($K)

Annual 

O&M 

($K)($K) 

Annual

Capital 

Cost ($K)

Total 

Annual 

Cost ($K)

ADWR 34,340 $956 $3,205 $3 $4,163 133,803

TOTAL 34,340 $956 $3,205 $3 $4,163 133,803

19 According to the ICR Handbook, an employee works an average of 2,080 hours in one year.
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Exhibit 8

Annual Primacy Agency Burden and Cost

September 1, 2015 – August 31, 2018

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 264,421 $12,058 N/A N/A $12,058 75,100

TCR/RTCR 448,931 $20,477 N/A N/A $20,477 1,797,380

IESWTR 964,787 $43,994 N/A N/A $43,994 71,283

LT1ESWTR 115,789 $5,280 N/A N/A $5,280 64,830

LT2ESWTR 100,317 $4,574 N/A N/A $4,574 217

GWR 727,772 $39,201 N/A N/A $39,201 32,952

TOTAL 2,622,018 $125,585 N/A N/A $125,585 2,041,762

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

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 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. The number 

of PWS respondents is 149,765,20 the number of active PWSs. All PWSs are subject to the TCR 

and RTCR but are not necessarily subject to each of the other 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 42. Note 

that air carriers are respondents for the ADWR only.

20 Source: SDWIS/FED Data from October 2014.
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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 Navajo Nation).21

Therefore, the total number of respondents is 149,864. 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 14.7 million hours. The 

corresponding total annual respondent costs are estimated to be $652.5 million. The annual 

capital and O&M costs are approximately $110.0 million.

21 For several of these entities, primacy activities are actually implemented by EPA regional offices. However, as a

simplifying assumption, they are included with the states for respondent calculations under this ICR.
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Exhibit 9

Bottom Line Annual Burden and Cost 

September 1, 2015 – August 31, 2018

Annual Number of Respondents 149,864 (=)

149,765 (+) Existing PWSs

42 (+) Existing Air Carriers

57 Primacy agencies

Total Annual Responses 29,249,289 (=)

27,073,725 (+) PWS responses (see Exhibit 6)

133,803 (+) Air Carrier responses (see Exhibit 7)

2,041,762 Primacy agency responses (see Exhibit 8)

Number of Responses per 195.2 (=)

Total annual responses from above Respondent 29,249,289 (/)

149,864 Total number of respondents from above

Total Annual Respondent Hours 14,683,598 (=)

12,027,240 PWS hours (see Exhibit 6) (+)

34,340 (+) Air Carrier hours (see Exhibit 7)

2,622,018 Primacy agency hours (see Exhibit 8)

Hours per Response 0.50 (=)

Total annual respondent hours from above 14,683,598 (/)

29,249,289 Total annual responses from above

Annual O&M and Capital Cost $110,017 (=)

($K) Total PWS O&M costs (see Exhibit 6) 1

$84,830 (+)

$21,979 (+) Total PWS capital costs (see Exhibit 6)

$3,205 (+) Total Air Carrier O&M costs (see Exhibit 7)

$3 Total Air Carrier capital costs (see Exhibit 7)

Total Annual Respondent Cost 

($K)

$652,507 (=)

$522,759 (+) For PWSs (see Exhibit 6)

$4,163 (+) For Air Carriers (see Exhibit 7)

$125,585 For primacy agencies (see Exhibit 8)

Total Annual Hours (resp. plus 14,683,598 (=)

Total annual respondent hours from above Agency) 14,683,598 (+)

0 Total EPA hours

Total Annual Cost ($K) (resp. plus $652,507 (=)

Agency) $652,507 (+) 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.
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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 2012 Microbial Rules ICR (see Exhibit 11).

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

2012 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)

Type of Change Burden (hours) Running Total Comment

Burden Estimated in the 2012

Microbial Rules ICR 12,930,414 12,930,414

This burden serves as the baseline2 for

the 2015 Microbial Rules ICR.

Restructuring

Adjustments–see Section

6(f)(i)

839,526 13,769,940

Burden for RTCR is now included in this

ICR3.

Other Adjustments to

Burden–see Section 6(f)(ii) 913,659 14,683,598

Burden for which EPA seeks approval in

this ICR.

Notes:

(1) Detail may not add exactly to totals due to rounding.

(2) Burden requested in the 2012 Microbial Rules ICR (12,930,414 hours is used as a starting point for the 2015 Microbial 

Rules ICR.

(3) Burden associated with the first 3 years of RTCR implementation (839,526 hours) was amended to the 2012 OMBapproved Microbial Rules ICR on January 23, 2014.

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.

 Net change burden associated with the RTCR. The final RTCR was promulgated 

February 13, 2013, and the net change burden associated with the first 3 years 

post rule promulgation (839,526 hours) was amended to the 2012 OMBapproved Microbial Rules ICR on January 23, 2014. This represents the RTCR 

net change burden (i.e., incremental over the 1989 TCR) from the 2013 OMBapproved standalone RTCR ICR to perform implementation-related activities.
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Exhibit 11

Restructuring Adjustments to the Annual Burden 

Inventory for the Microbial Rules ICR

(Includes PWS, Air Carrier and Primacy Agency Burden)

Action Annual Burden Hours Brief Explanation

N/A 12,930,414

Inventory for the 2012 Microbial Rules ICR2 carried forward as the

baseline for 2015 Microbial Rules ICR (includes PWS, state, and 

air carrier burden).

Add 839,526

Microbial Rules ICR amended with RTCR net change burden3 on

January 23, 2014.

Total 13,769,940

Current opening inventory for the 2015 Microbial Rules ICR (based 

on current burden inventories.)

Notes:

(1) Detail may not add exactly to totals due to rounding.

(2) Burden requested in the 2012 Microbial Rules ICR (12,930,414 hours is used as a starting point for the 2015 Microbial Rules ICR.

(3) This represents the RTCR net change burden (i.e., incremental over the 1989 TCR) from the 2013 OMB-approved standalone ICR to

perform implementation-related activities.

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 2013 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.

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 943,903 

hours and are detailed in Exhibit 12. Burden adjustments associated with air carrier activities

resulted in a burden decrease of 747 hours and are detailed in Exhibit 13. Burden adjustments 

for primacy agencies result in a decrease of 29,498 hours per year, as shown in Exhibit 14.
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Exhibit 12

Adjustments to PWS Burden from Previous ICR Estimates

Activity

2012 Annual

Burden 

Estimate

(Hours)

2015 Annual 

Burden

Estimate

(Hours)

Change

in

Burden Reason for Change in Burden

SWTR 1,783,619 1,773,186 (10,433)

The change in burden is attributable to the use of updated system 

inventories. Note that the overall system inventory has decreased 

since the previous ICR.

TCR/RTCR24,256,101 4,792,580 536,478

For purposes of this Microbial Rules ICR, the total burden 

associated with the TCR/RTCR is equal to the sum of the TCR 

burden over three years plus the net change in RTCR burden over 

2.5 years. This assumption was made to ensure the model 

accurately reflected the full burden for TCR/RTCR.

The change in TCR burden is attributed to the adjustments made 

in the modeling inputs to account for updated PWS inventory 

and total coliform MCL violations reported to SDWIS. This 

information was obtained from an October 2014 SDWIS data 

pull. In addition, the increase in the RTCR burden is attributed to 

the rule requirements such as conducting routine, additional 

routine, and repeat monitoring; Level 1 and Level 2 assessments, 

reporting and recordkeeping requirements related to corrective 

actions; and completion of start-up activities. 

IESWTR 4,280,585 4,322,149 41,564

IESWTR applies to surface water systems serving more than 

10,000 people. The increase in IEWSTR burden is attributed to 

the increase in the number of surface water PWSs serving more 

than 10,000 people. 

FBRR 0 0 0

Existing systems should have completed requirements 

associated with changing the recycle return location no later 

than 2006. New PWSs will design their plants to meet these

requirements. The burden is negligible.

LT1ESWTR 138,391 133,839 (4,552)

The decrease in LT1ESWTR burden is attributed to the estimated

decrease in the number of surface water PWSs serving less than 

10,000 people using conventional or direct filtration.

LT2ESWTR 43,039 144,525 101,486

This ICR accounts for all the PWSs that installed new 

technologies as a result of the first round of LT2ESWTR source 

water monitoring and are now complying with reporting 

requirements associated with these treatment changes. In 

addition, PWSs will be conducting the second round of 

Cryptosporidium monitoring during this ICR period. The 

LT2ESWTR burden also accounts for changes in the PWS 

inventory. 

GWR 581,601 860,961 279,360

The increase in GWR burden is attributed to the increase in 

number of systems adding 4-log disinfection and conducting 

compliance monitoring during this ICR period. The number of 

systems conducting compliance monitoring is expected to 

increase each year post-GWR promulgation as more entry points 

install 4-log disinfection. In addition, the burden also accounts for 

changes in the PWS inventory. 

TOTAL 11,083,337 12,027,240 943,903 Adjusted PWS Burden.

Notes:

(1) Detail may not add exactly to total due to independent rounding.

(2) System Burden associated with the first 3 years of RTCR implementation (747,848 hours) was amended to the 2012 OMB-approved Microbial Rules ICR 

on January 23, 2014 and is included in the previous annual burden estimate listed above. Net change burden and costs (i.e. incremental costs over the 1989 

TCR) developed in the standalone RTCR ICR (OMB Control Number 2040-AD94) for the period following the RTCR effective date of April 1, 2016 are 

being incorporated into the 2015 Microbial Rules ICR. Note that net change burden related to RTCR PN has been removed from the RTCR standalone ICR 

and is accounted for under the PN Rule in the 2015 PWSS Programmatic ICR.
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Exhibit 13

Adjustments to Air Carrier Burden from Previous ICR Estimates

Activity

2012 Annual

Burden 

Estimate 

2015 Annual

Burden 

Estimate 

Change in

Burden Reason for Change in Burden

ADWR 35,087 34,340 (747)

The change in burden is attributed to the use of updated aircraft 

inventory and revised estimated rates of total coliform positive 

occurrence based on actual field data in ARCS.

TOTAL 35,087 34,340 (747) Adjusted Air Carrier Burden

Exhibit 14

Adjustments to Primacy Agency Burden from Previous ICR 

Estimates

Activity

2012 Annual

Burden 

Estimate 

(Hours)

2015 Annual 

Burden Estimate 

(Hours)

Change in

Burden Reason for Change in Burden

SWTR 266,889 264,421 (2,467)

The change in burden is attributable to the use of updated system

inventories. Note that the overall system inventory has decreased since the 

previous ICR, and the state burden is based on the system inventory.

TCR/RTCR2550,615 448,931 (101,684)

For purposes of this Microbial Rules ICR, the total burden associated 

with the TCR/RTCR is equal to the sum of the TCR burden over three 

years plus the net change in RTCR burden over 2.5 years. This 

assumption was made to ensure the model accurately reflected the full 

burden for TCR/RTCR.

The change in TCR burden is attributed to the adjustments made in the 

modeling inputs to account for updated PWS inventory and total 

coliform MCL violations reported to SDWIS. This information was 

obtained from an October 2014 SDWIS data pull. In addition, the 

increase in the RTCR burden is attributed to the rule requirements such 

as conducting routine, additional routine, and repeat monitoring; Level 

1 and Level 2 assessments, reporting and recordkeeping requirements 

related to corrective actions; and completion of start-up activities. 

States must also submit information to SDWIS to assist both EPA and 

states in tracking PWS compliance. 

The decrease in RTCR burden is attributed to the completion of state 

start-up activities related to implementation prior to the time period 

covered by this ICR. 

IESWTR 947,908 964,787 16,879

IESWTR applies to surface water systems serving more than 10,000 

people, and the state burden is based on the number of systems complying 

with the rule. Since the previous ICR, the number of large surface water 

systems has increased, resulting in an increase in state burden.

FBRR 0 0 0

States have completed the review and recordkeeping associated with the 

FBRR. The burden is negligible.

LT1ESWTR 119,237 115,789 (3,448)

The change in burden results from updated system inventories. The state 

burden is based on the system inventory.

LT2ESWTR 28,642 100,317 71,675

This ICR accounts for all the PWSs that installed new technologies as a 

result of the first round of LT2ESWTR source water monitoring and are 

now complying with reporting requirements associated with these 

treatment changes. In addition, PWSs will be conducting the second 

round of Cryptosporidium monitoring during this ICR period. The 

LT2ESWTR burden also accounts for changes in the PWS inventory. 

GWR 738,226 727,772 (10,453)

The change in burden is attributable to the use of updated system

inventories. The overall system inventory has decreased since the previous 

ICR, and the state burden for some rule components is based on the 

system inventory. Although system burden related to compliance 

monitoring increases each year post-GWR promulgation as more entry 

points add 4-log disinfection, the state burden for compliance monitoring 

report review (disinfection failure) remains relatively consistent. 

TOTAL 2,651,516 2,622,018 (29,498) Adjusted Primacy Agency Burden

Note:

(1) Detail may not add exactly to totals due to rounding.

(2) Note that the state burden associated with the first 3 years of RTCR implementation (91,678 hours) was amended to the 2012 OMB-approved Microbial Rules ICR on

January 23, 2014 and is included in the previous annual burden estimate listed above. Net change burden and costs (i.e., incremental costs over the 1989 TCR) developed in the

standalone RTCR ICR (OMB Control Number 2040-AD94) for the period following the RTCR effective date of April 1, 2016, are being incorporated into the 2015 Microbial

Rules ICR. Note that net change burden related to RTCR PN has been removed from the RTCR standalone ICR and is accounted for under the PN Rule in the 2015 PWSS 

Programmatic ICR. 
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Exhibit 15 shows the effects of these adjustments on the bottom line burden. Adding 

943,903 hours to account for adjustments to PWS burden, subtracting 747 hours to account for

adjustments to air carrier burden and subtracting 29,498 hours to account for adjustments to 

primacy agency burden yields 14,683,598 hours.

Exhibit 15

Adjustments to Annual Burden Carried Forward from Previous ICR 

Estimates (Includes PWS, Air Carrier and Primacy Agency Burden)

Action Annual Burden Hours Brief Explanation

None 13,769,940

2012 Microbial Rules ICR inventory based on current burden inventories

(see Exhibit 11).

Add 943,903

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

Exhibit 12).

Add (747)

Adjustment to Air Carrier burden carried forward from previous ICR (see

Exhibit 13)

Add (29,498)

Adjustment to the primacy agency burden carried forward from 

previous ICRs (see Exhibit 14).

Total 14,683,598 Hours requested in 2015 Microbial Rules ICR (see Exhibit 10).

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

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 14.68 million 

hours, of which 12.03 million hours are attributable to PWSs, 0.034 million hours to air carriers 

and 2.62 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), WJC West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA
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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.