Proposed Information Collection Request for

Cooling Water Intake Structures New

Facility Final Rule (Renewal)

OMB Control No. 2040-0241, EPA ICR No. 1973.05

July 2011

Prepared for

United States Environmental Protection Agency

Office of Wastewater Management

1200 Pennsylvania Avenue, NW

Washington, DC 20460

EPA Contract Number EP-C-11-009

EPA Work Assignment Number 0-22
Draft Renewal of the New Facility Rule Information Collection Request i

TABLE OF CONTENTS

1 IDENTIFICATION OF THE INFORMATION COLLECTION............................................................ 3

1a Title of the Information Collection .......................................................................................3

1b Short Characterization/Abstract..........................................................................................3

2 NEED FOR AND USE OF THE COLLECTION ............................................................................... 6

2a Need/Authority for the Collection ........................................................................................6

2b Practical Utility/Users of the Data .......................................................................................6

3 NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA....................... 7

3a Nonduplication ....................................................................................................................7

3b Public Notice Required Prior to ICR Submission to OMB...................................................7

3c Consultations ......................................................................................................................8

3d Effects of Less Frequent Collection ....................................................................................8

3e General Guidelines .............................................................................................................8

3f Confidentiality......................................................................................................................8

3g Sensitive Questions ............................................................................................................8

4 THE RESPONDENTS AND THE INFORMATION REQUESTED................................................... 9

4a Respondents/SIC/NAICS....................................................................................................9

4b Information Requested......................................................................................................10

4b(i) Data Items, Including Record Keeping Requirements.........................................11

4b(ii) Respondent Activities ..........................................................................................18

5 THE INFORMATION COLLECTED - AGENCY ACTIVITIES, COLLECTION, 

METHODOLOGY AND INFORMATION MANAGEMENT............................................................. 26

5a Agency Activities ...............................................................................................................26

5b Collection Methodology and Information Management ....................................................26

5c Small Entity Flexibility .......................................................................................................27

5d Collection Schedule ..........................................................................................................27

6 ESTIMATING RESPONDENT BURDEN AND COST OF COLLECTION..................................... 28

6a Estimating Respondent Burden ........................................................................................28

6b Estimating Respondent Costs...........................................................................................32

6b(i) Estimating Labor Costs........................................................................................32

6b(ii) Estimating Capital and Operation and Maintenance Costs .................................33

6c Estimating Agency Burden and Costs ..............................................................................36

6d Estimating the Respondent Universe and Total Burden and Costs .................................37

6e Bottom Line Burden Hours and Costs Tables ..................................................................37

6e(i) Respondent Tally .................................................................................................37

6e(ii) Agency Tally.........................................................................................................37

6f Reasons For Change In Burden .......................................................................................38

6g Burden Statement .............................................................................................................38

APPENDIX A Respondent Burden and Cost Analysis for the Information Collection Requirements of the 

Section 316(b) New Facility Rule

APPENDIX B SIC Codes for Nonutility Power Producers

LIST OF TABLES

Table 4-1. Industry Categories and SIC and NAICS Codes ........................................................................ 9

Table 5-1. Number of Facilities Assumed to Begin Compliance with Information Collection Requirements 

During the ICR Period by Year.................................................................................................. 28

Table 6-1. Burden and Costs per Facility for NPDES Permit Application Activities ................................. 35

Table 6-2. Burden and Costs per Facility for Annual Monitoring and Reporting Activities....................... 35

Table 6-3. Burden and Costs per Facility for NPDES Permit Renewal Activities..................................... 36

Table 6-4. Estimating Director Burden and Costs for Activities................................................................ 36
Draft Renewal of the New Facility Rule Information Collection Request ii

Table 6-5. Estimating Federal Burden and Costs for Activities ................................................................ 37

Table 6-6. Summary of Average Annual Respondents, Responses, Burden, and Costs for Facilities and 

Directors for the 3-Year Period Covered by this ICR................................................................ 37

Table 6-7. Summary of Average Annual Respondents, Responses, Burden, and Costs for Federal 

Agency for the 3-Year Period Covered by this ICR .................................................................. 38
Draft Renewal of the New Facility Rule Information Collection Request 3

1 IDENTIFICATION OF THE INFORMATION COLLECTION

1a Title of the Information Collection

Information Collection Request for Cooling Water Intake Structures New Facility Final Rule 

(Renewal). EPA ICR Number: 1973.05; OMB Control Number: 2040-0241

1b Short Characterization/Abstract

The section 316(b) New Facility Rule requires the collection of information from new facilities 

that use cooling water intake structures (CWIS). Section 316(b) of the Clean Water Act (CWA) 

requires that any standard established under section 301 or 306 of the CWA and applicable to a 

point source must require that the location, design, construction and capacity of CWISs at that 

facility reflect the best technology available (BTA) for minimizing adverse environmental 

impact. Such impact occurs as a result of impingement (where fish and other aquatic life are 

trapped on technologies at the entrance to cooling water intake structures) and entrainment 

(where aquatic organisms, eggs, and larvae are taken into the cooling system, passed through the 

heat exchanger, and then pumped back out with the discharge from the facility). This rule 

establishes standard requirements applicable to the location, design, construction, and capacity of 

cooling water intake structures at new facilities. These requirements seek to minimize the 

adverse environmental impact associated with the use of CWISs. 

Under the rule, a new facility is defined as any building, structure, facility, or installation that 

meets the definition of a “new source” or “new discharger” in 40 CFR 122.2 and 

122.29(b),(1),(2) and (4); commences construction after January 17, 2002; and uses either a 

newly constructed cooling water intake structure or an existing cooling water structure whose 

design capacity is increased to accommodate the intake of additional cooling water (40 CFR

125.83). According to the final rule, before a new facility is subject to this regulation it must first 

be a point source (i.e., be subject to a National Pollutant Discharge Elimination System (NPDES) 

permit) that uses or proposes to use a CWIS, has at least one cooling water intake structure that 

uses at least 25 percent (measured on an average monthly basis) of the water it withdraws for 

cooling purposes, and has a design intake flow greater than two million gallons per day (MGD).

Use of a cooling water intake structure includes obtaining cooling water by any sort of contract 

or arrangement with an independent supplier (or multiple suppliers) of cooling water if the 

supplier or suppliers withdraw(s) water from waters of the United States (40 CFR 125.81).

Generally, facilities that meet these criteria fall into two major groups, new power producing 

facilities and new manufacturing facilities. Power producers affected by the final rule could be 

either utility or nonutility power producers since either typically have large cooling water 

requirements. The U.S. Environmental Protection Agency (EPA) identified four categories of 

manufacturing facilities that also tend to require large amounts of cooling water: paper and allied 

products, chemical and allied products, petroleum and coal products, and primary metals (see 

section 4a). However, the New Facility Rule is not limited to manufacturers in these sectors; any 

new manufacturer that meets the criteria above is subject to the rule.
Draft Renewal of the New Facility Rule Information Collection Request 4

The section 316(b) New Facility Rule requires several distinct types of information collection as 

part of the NPDES application. In general, the information is used to identify which of the 

standard requirements in the final rule apply to the facility, how the facility is meeting these 

requirements, and whether the facility is meeting the goal of minimizing adverse environmental 

impact. Specific data requirements that would apply to all facilities are:

 source water physical data for evaluation of potential impact to the water body in which the 

intake structure is placed

 cooling water intake structure data consisting of intake structure design and facility water 

balance diagram to evaluate the potential for impingement and entrainment of aquatic 

organisms

 source water baseline biological characterization data that characterizes the biological 

community in the vicinity of the cooling water intake structure, along with a description of 

data sources and data collection procedures

 source waterbody flow data to demonstrate compliance with the proportional flow (i.e., 

intake flow may not exceed a certain proportion of source water body flow) requirements

Additional data requirements would apply to facilities, depending on which of two alternative 

permitting tracks they choose. Specific data requirements that would apply to facilities choosing 

to comply with the requirements of Track I are:

 flow reduction and velocity information to demonstrate compliance with the flow 

reduction and velocity requirements

 design and construction technology plan to demonstrate compliance with the requirement 

to implement technologies to minimize impingement and entrainment and maximize survival 

of impinged organisms

Specific data requirements that would apply to facilities choosing to comply with the 

requirements of Track II are:

 comprehensive demonstration study that characterizes the source water baseline in the 

vicinity of the intake, characterizes operation of the cooling water intake, and confirms that 

proposed technologies reduce the level of impingement and entrainment mortality to a 

comparable level that would be achieved by implementing the flow reduction, velocity and 

technology requirements of Track I

The section 316(b) New Facility Rule also contains a provision for alternative requirements (40 

CFR 125.85) if a requestor can demonstrate to the Director1that data specific to the facility 

 

1 Director means the Regional Administrator or the State Director, as the context requires, or an authorized 

representative. When there is no “approved State program,” and there is an EPA administered program, “Director” 

means the Regional Administrator. When there is an approved State program, “Director” normally means the State 

Director. In some circumstances, however, EPA retains the authority to take certain actions even when there is an 

approved State program. (For example, when EPA has issued an NPDES permit prior to the approval of a State 

program, EPA may retain jurisdiction over that permit after program approval) In such cases, the term “Director” 

means the Regional Administrator and not the State Director.
Draft Renewal of the New Facility Rule Information Collection Request 5

indicates that compliance costs are wholly out of proportion to the costs EPA considered in 

establishing the 316(b) New Facility Rule or would result in significant adverse impacts on local 

water resources other than impingement or entrainment, or significant adverse impacts on local 

energy markets. EPA anticipates that most facilities will choose to comply with either Track I or 

Track II. However, if a facility did request alternative requirements it is anticipated that the 

burden would be similar to that of Track II.

In addition to the information requirements of the NPDES permit application, NPDES permits 

normally specify monitoring and reporting requirements to be conducted by the permitted entity. 

New facilities that fall within the scope of this rule are required to perform biological monitoring 

of impingement and entrainment, monitoring of the through-screen or through-technology

velocity, and visual or remote inspections of the CWIS and any design and construction

technologies. The results of each facility’s monitoring efforts are expected to be analyzed and 

then published yearly in an annual status report to the permitting Director. Finally, facilities are 

required to maintain records of all submitted documents, supporting materials, and monitoring 

results for at least three years.

Authorized States were required to update their programs to be consistent with the cooling water 

intake requirements after they were published as final regulations. State Directors are required to 

also review all materials submitted to them by the facilities within the scope of the regulation, 

and confirm their compliance with the section 316(b) New Facility Rule. Directors are also 

required to work with new facilities to determine if design and construction technologies are 

necessary and appropriate to minimize adverse environmental impact.

As suggested, the primary users of this information will be States authorized to administer the 

NPDES permitting program and EPA. It is anticipated that other government agencies, both at 

the State and Federal level, as well as public interest groups, private companies, and individuals 

will also use the data.

The first ICR approval period covering years 1 through 3 after promulgation expired in February

of 2005. The first ICR renewal period covering years 4 through 6 after promulgation expired in 

June of 2008. The second ICR renewal period covering years 7 through 9 after promulgation 

expires in December of 2011. This Supporting Statement is for the third renewal ICR, covering 

years 10 through 12 after promulgation, being submitted to OMB for re-approval of the section 

316(b) New Facility Rule information collection. For the third ICR renewal period after rule 

promulgation, the information collection required by the rule will involve responses from an 

estimated total of 86 facilities and 47 States and Territories and cost approximately $31.7 million 

(including labor costs, capital costs, and operation and maintenance costs), with an annual 

average of 128 respondents, 138,421 burden hours, and $10.6 million per year (including labor 

costs, capital costs, and operation and maintenance costs). The total annual average cost 

(including capital costs and operation and maintenance costs) is $2.5 million per year (see 

Exhibit A11 in Appendix A).
Draft Renewal of the New Facility Rule Information Collection Request 6

2 NEED FOR AND USE OF THE COLLECTION

2a Need/Authority for the Collection

The section 316(b) New Facility Rule requires the collection of information from new facilities 

that use a cooling water intake structure. The information requirements in this ICR are necessary

to ensure that new facilities are complying with the rule’s provisions, and thereby minimizing 

adverse environmental impact resulting from impingement and entrainment losses due to the 

withdrawal of cooling water. 

Section 316 was included in the Federal Water Pollution Control Act of 1972 for the express 

purpose of regulating thermal discharges and to address the environmental impact of cooling 

water intake structures. Moreover, section 316(b) is the only provision in the CWA that focuses 

exclusively on water intake. Section 316(b) provides that “[a]ny standard established pursuant to 

[CWA section 301] or [CWA section 306] and applicable to a point source shall require that the 

location, design, construction, and capacity of cooling water intake structures reflect the best 

technology available for minimizing adverse environmental impact.” The requirements of 

section 316(b) are closely linked to several of the core elements of the National Pollutant 

Discharge Elimination System (NPDES) permit program established under the CWA. Conditions 

implementing section 316(b) continue, under this rule, to be included in NPDES permits issued 

under section 402 of the CWA.

2b Practical Utility/Users of the Data

This ICR covers information that must be submitted to permitting authorities and data that must 

be collected and maintained on-site by the facility. Each new facility maintains facility-level 

records of the measurements, diagrams, and calculations submitted to the Director, as well as the 

analytical results of monitoring actions. Facilities use the data to:

 monitor CWIS performance

 monitor the performance of design and construction technologies.

Under the section 316(b) New Facility Rule rule, EPA and state NPDES Directors are to 

maintain records compiled from the regulated facilities. Much of the basic information obtained 

from the NPDES permit application is stored in EPA’s Permit Compliance System (PCS) or the 

Integrated Compliance Information System (ICIS), the Agency’s old and modernized NPDES 

program databases, respectively. PCS and ICIS are used to track permit limits, permit expiration 

dates, monitoring data, and other data, and provide EPA with a nationwide inventory of permit 

holders. 

EPA Headquarters uses the information contained in PCS and ICIS databases to develop reports 

on permit issuance, backlog, and compliance rates. The Agency also uses the information to 

respond to public and Congressional inquiries, develop and guide its policies, formulate its 

budgets, assist States in acquiring authority for permitting programs, and manage the NPDES 

program to ensure national consistency in permitting. States use this permit information along 
Draft Renewal of the New Facility Rule Information Collection Request 7

with the additional documentation and the annual reports to track facility monitoring, compliance 

violations, and enforcement activities. 

Permittees must reapply for an NPDES permit every five years. The re-application process is the 

primary mechanism for obtaining up-to-date and new information concerning on-site conditions. 

Although under the final rule, new facilities provide data from self-monitoring activities in 

annual reports to the permitting authority, these reports are a less comprehensive information 

gathering process than is the permit application process. EPA and States will use re-application 

data to identify new species at risk or other potential concerns that could lead the permit writers 

to take the following actions:

 specify additional permit limitations

 assess compliance with applicable standard requirements

 place appropriate special conditions in permits.

Environmental and citizen groups are expected to use the data collected under the final rule to 

independently assess impingement and entrainment rates for affected water bodies in their 

location. In addition, the data will be useful for the scientific community for assessing the impact 

of CWISs on recreational and commercial fisheries productivity and aquatic ecosystem health. 

3 NONDUPLICATION, CONSULTATIONS, AND OTHER 

COLLECTION CRITERIA

The following sections verify and affirm that this Information Collection Request satisfies the 

Office of Management and Budget’s data-collection guidelines, has public support, and does not 

duplicate another collection. 

3a Nonduplication

EPA has examined all other reporting requirements contained in the Clean Water Act and 40 

CFR parts 122, 123, 124, 125, 403, 501, and 503. The Agency also has consulted the following 

sources of information to determine if similar or duplicate information is available elsewhere: 

data collected by offices within EPA; data, reports, and analyses published by other Federal

agencies; reports and analyses published by industry; and publicly available financial 

information compiled by government and private organizations. From this effort, EPA has 

determined that the information collection and reporting requirements considered in this ICR are 

not contained or duplicated in other routinely collected documents or reports. 

3b Public Notice Required Prior to ICR Submission to OMB

In compliance with the 1995 Paperwork Reduction Act (PRA), any agency developing a nonrule-related ICR must solicit public comments prior to submitting the ICR to OMB. These 

comments, which are used partly to determine realistic burden estimates for respondents, must be 

considered when completing the Supporting Statement that is submitted to OMB.
Draft Renewal of the New Facility Rule Information Collection Request 8

This ICR was published in the Federal Register (XX FR XXXX) on XXXXXX XX, 2011. The 

notice included a request for comments on the content and impact of the information collection 

on the respondent universe. No comments were received.

3c Consultations

EPA finalized the section 316(b) New Facility Rule after conducting outreach activities and 

considering comments from the public and the regulated community. EPA Headquarters staff 

responsible for program oversight were contacted to provide revised information and data for 

this ICR. 

3d Effects of Less Frequent Collection

Permitted facilities must reapply for NPDES permits before their existing permits expire, 

generally once every five years. The CWA prohibits NPDES permits from having terms longer 

than five years. Less frequent permit applications would not provide the permitting authority

with sufficiently current data to establish effective limitations or conditions when reissuing 

permits and to identify in a timely manner, adverse environmental impact resulting from the 

operation of new CWISs. In addition, less frequent collection would also hinder the ability of 

EPA, States, and facility operators to take advantage of technological improvements in 

impingement and entrainment technologies as they occur, or to track long-term trends. 

3e General Guidelines

The information collection requirements of the final rule are in accordance with the Paperwork 

Reduction Act guidelines at 5 CFR 1320.5(d)(2). Requests for supplemental information for the 

purposes of emergency response or enforcement activities are exempt from the Paperwork 

Reduction Act requirements.

3f Confidentiality

Applications for an NPDES permit may contain confidential business information. However, 

EPA does not consider the specific information being requested by the final rule to be typical of 

confidential business or personal information. If a respondent does consider this information to 

be of a personal nature, the respondent may request that such information be treated as 

confidential. All confidential data will be handled in accordance with 40 CFR 122.7, 40 CFR 

part 2, and EPA’s Security Manual part III, chapter 9, dated August 9, 1976. 

3g Sensitive Questions

The section 316(b) New Facility Rule does not require respondents to divulge information 

pertaining to private or personal information, such as sexual behavior or religious beliefs. 

Therefore, this section is not applicable. 
Draft Renewal of the New Facility Rule Information Collection Request 9

4 THE RESPONDENTS AND THE INFORMATION 

REQUESTED

4a Respondents/SIC/NAICS

The section 316(b) New Facility Rule defines a new facility as any building, structure, facility, or 

installation that meets the definition of a “new source” or “new discharger” in 40 CFR 122.2 and 

122.29(b)(1), (2) and (4); commences construction after January 17, 2002; and uses either a 

newly constructed cooling water intake structure or an existing cooling water structure whose 

design capacity is increased to accommodate the intake of additional cooling water. For a new 

facility to be subject to this regulation it must be a point source (i.e., be subject to a National 

Pollutant Discharge Elimination System (NPDES) permit) that uses or proposes to use a CWIS, 

has at least one cooling water intake structure that uses at least 25 percent (measured on an 

average monthly basis) of the water it withdraws for cooling purposes, and has a design intake 

flow greater than two million gallons per day (MGD). Use of a cooling water intake structure 

includes obtaining cooling water by any sort of contract or arrangement with an independent 

supplier (or multiple suppliers) of cooling water if the supplier or suppliers withdraw(s) water 

from waters of the United States (40 CFR 125.81).

While respondents would include any facilities that meet the applicable requirements of the rule, 

EPA estimates that there are six primary industrial sectors that account for more than 99 percent 

of all cooling water used in the United States. The first two types of facilities that use CWISs 

include traditional utilities and nonutility power producers. Traditional utilities and nonutility

power producers that use cooling water were further limited to those plants that generate 

electricity by means of steam as the thermodynamic medium (steam electric) because they are 

associated with large cooling water needs. Facilities in the traditional steam electric utility

category are classified under Standard Industrial Classification (SIC) codes 4911 and 493-, while 

nonutility power producers are classified under the major code that corresponds to the primary

purpose of the facility (e.g., the primary code may be SIC 49 if the primary purpose of the 

facility is to generate electricity).

EPA identified four manufacturing industries that were found to use large amounts of cooling 

water. These manufacturing industries are Paper and Allied Products (SIC Major Group 26), 

Chemical and Allied Products (SIC Major Group 28), Petroleum and Coal Products (SIC Major 

Group 29), and Primary Metals (SIC Major Group 33). SIC and NAICS Codes associated with 

facilities that may use a CWIS are provided in Table 4-1. A more detailed accounting of SIC and 

NAICS codes for nonutility power producers is provided in Appendix B.

Table 4-1. Industry Categories and SIC and NAICS Codes

Respondent Industry Categories SIC Codes NAICS Codes

Traditional Steam Electric Utilities SIC codes 4911 and 

493-

221111, 221112, 221113, 

221119, 221121, 221122

Steam Electric Nonutility Power Producers:1) 

Industrial Self-Generators; and 2) Nonindustrial

See Appendix B SIC 

Major Group 49

See Appendix B

Other Industries:

Agricultural production 0133 111991, 11193
Draft Renewal of the New Facility Rule Information Collection Request 10

Metal mining 1011 21221

Oil and gas extraction 1311, 1321 211111, 211112

Mining and quarrying of nonmetallic minerals 1474 212391

Food and kindred products 2046, 2061, 2062, 

2063, 2075, 2085

311221, 311311, 311312, 

311313, 311222, 311225, 

31214

Tobacco products 2141 312229, 31221

Textile mill products 2211 31321

Lumber and wood products, except furniture 2415, 2421, 2436, 

2493

321912, 321113, 321918, 

321999, 321212, 321219

Paper and allied products 2611, 2621, 2631, 

2676

3221, 322121, 32213, 

322121, 322122, 32213, 

322291

Chemical and allied products 28-- (except 2895, 

2893, 2851, and 

2879)

325--- (except 325182, 

32591, 32551, 32532)

Petroleum refining and related industries 2911, 2999 32411, 324199

Rubber and miscellaneous plastics products 3011, 3069 326211, 31332, 326192, 

326299

Stone, clay, glass, and concrete products 3241 32731

Primary metal industries 3312, 3313, 3315, 

3316, 3317, 3334, 

3339, 3353, 3363, 

3365, 3366 

324199, 331111, 331112, 

331492, 331222, 332618, 

331221, 22121, 331312, 

331419, 331315, 331521, 

331524, 331525

Fabricated metal products, except machinery 

and transportation equipment

3421, 3499 332211, 337215, 332117, 

332439, 33251, 332919, 

339914, 332999

Industrial and commercial machinery and 

computer equipment

3523, 3531 333111, 332323, 332212, 

333922, 22651, 333923, 

33312

Transportation equipment 3724, 3743, 3764 336412, 333911, 33651, 

336416

Measuring, analyzing, and controlling 

instruments; photographic, medical, and optical 

goods; watches and clocks

3861 333315, 325992

Electric, gas, and sanitary services 4911, 4931, 4939, 

4961

221111, 221112, 221113, 

221119, 221121, 221122, 

22121, 22133

Educational services 8221 61131

4b Information Requested

The following sections provide details on data items requested and associated activities that the 

section 316(b) New Facility rule requires respondents to undertake to provide this information. 

The two principal respondent categories are new facilities subject to the rule and NPDES 

program Directors (i.e. States and Tribes authorized under CWA Section 402(b) to administer 

the NPDES permit program, and EPA regional offices).

Information requirements for new facilities will differ depending on criteria established by the 

rule. Certain information requirements are applicable to all new permitted facilities to which the 
Draft Renewal of the New Facility Rule Information Collection Request 11

rule applies. Other information requirements are based on which of two alternative permitting 

tracks the facility chooses to comply with in the rule.

Since section 316(b) standards are implemented through NPDES permits, the section 316(b) 

New Facility Rule affects Directors in a manner similar to other changes to NPDES program 

requirements. There are currently 46 States and one territory authorized under CWA Section 

402(b) to implement the NPDES permit program; these new cooling water intake structure 

requirements potentially affect authorized State NPDES programs. 

4b(i) Data Items, Including Record Keeping Requirements

Data items required by the rule are gathered for either record keeping or reporting purposes. 

There are several data items that are collected only during the year(s) prior to the beginning of 

each permit cycle, and others that are required to be collected on an annual basis. 

Reporting Requirements

The section 316(b) New Facility regulations do not require the Director to prepare or submit any 

reports beyond what is currently required of them under the NPDES program. However, 

Directors need to review, maintain records of, and make permitting determinations based upon 

all documents and reports submitted to them by new facilities.

At the time a new facility submits its NPDES application (180 days prior to operation), the rule 

requires the facility to submit information demonstrating that it is employing the best technology

available for its cooling water intake structure to minimize adverse environmental impact in 

compliance with section 316(b) of the CWA. The information is used to identify which of the 

requirements in the rule apply to the facility, how the facility is meeting these requirements, and 

whether the facility is meeting the goal of minimizing adverse environmental impact. Four types 

of information are required to be included in the NPDES permit applications for all new 

facilities: (1) source water physical data, (2) cooling water intake structure data, (3) source water 

baseline biological characterization data, and (4) source waterbody flow data.

Additional types of information are required to be included in the NPDES permit applications for 

new facilities, depending on which of two alternative permitting tracks they choose to comply

with. The additional types of information required to be included in the NPDES permit 

applications for facilities choosing to comply with the requirements of Track I are: (1) flow 

reduction information, (2) velocity information, and (3) Design and Construction Technology

Plan.

Facilities choosing to comply with the requirements of Track II must perform a Comprehensive 

Demonstration Study. The additional types of information required to be included in the NPDES 

permit application as part of this study are: (1) an information collection proposal plan, (2) a 

Source Water Biological Study, (3) an evaluation of potential cooling water intake structure 

effects, and (4) a Verification Monitoring Plan.

INFORMATION REQUIREMENTS FOR ALL NEW FACILITIES
Draft Renewal of the New Facility Rule Information Collection Request 12

Source Water Physical Data

The final rule requires source water information to evaluate potential impact to the water body in 

which the intake structure is placed. Typically, intake structures are located offshore, at the 

shoreline or at the end of an approach intake canal. The intake structure would be affecting 

different species or life stages depending on its location in the source water and source water 

type. For example, intakes located at the shoreline could affect spawning and nursery areas and 

intakes located offshore could affect migratory routes. In addition, the proximity of the intake 

structures to sensitive aquatic ecological areas may result in potential environmental impact. 

Specific source water physical data items include: 

 a narrative description and scale drawings showing the physical configuration of all source 

water bodies used by the facility, including areal dimensions, depths, salinity and 

temperature regimes, and other documentation that support the determination of the water 

body type where each CWIS is located (40 CFR 122.21(r)(2)(i))

 identification and characterization of source waterbody hydrological and geomorphological 

features, and methods used to conduct any physical studies to determine the intake’s area of 

influence within the waterbody and the results of such studies (40 CFR 122.21(r)(2)(ii))

 locational maps (40 CFR 122.21(r)(2)(iii)).

Cooling Water Intake Structure Data

The section 316(b) New Facility Rule requires information on the intake structure and the 

facility’s water balance to evaluate the potential for impingement and entrainment of aquatic 

organisms. Information on the design of the intake structure and its location in the water column 

allows EPA to evaluate which species or life stages would potentially be subject to impingement 

and entrainment. A diagram of the facility’s water balance would be used to identify the 

proportion of intake water used for cooling, make-up, and process water. The water balance 

diagram also would provide a picture of the total flow in and out of the facility, allowing EPA to 

evaluate compliance with the flow reduction requirements. Specific intake structure data items 

include:

 a narrative description of the configuration of each of the cooling water intake structures 

and where it is located in the water body and in the water column (40 CFR 

122.21(r)(3)(i))

 latitude and longitude in degrees, minutes, and seconds for each of the cooling water 

intake structures (40 CFR 122.21(r)(3)(ii))

 a narrative description of the operation of each of the cooling water intake structures, 

including design intake flows, daily hours of operation, number of days of the year in 

operation, and seasonal changes, if applicable (40 CFR 122.21(r)(3)(iii))

 a flow distribution and water balance diagram that includes all sources of water to the 

facility, recirculating flows, and discharges (40 CFR 122.21(r)(3)(iv))

 engineering drawings of the cooling water intake structure (40 CFR 122.21(r)(3)(v)).
Draft Renewal of the New Facility Rule Information Collection Request 13

Source Water Baseline Biological Characterization Data

This information is required to characterize the biological community in the vicinity of the 

cooling water intake structure and to characterize the operation of the cooling water intake 

structures. The Director may use this information in subsequent permit renewal proceedings to 

determine if the Design and Construction Technology Plan should be revised. Supporting 

information must include existing data (if available), which may be supplemented using actual 

field studies. Specific source water baseline biological characterization data items include:

 a list of the data that are not available and efforts made to identify sources of the data (40 

CFR 122.21(r)(4)(i))

 a list of species (or relevant taxa) for all life stages and their relative abundance in the 

vicinity of the intake (40 CFR 122.21(r)(4)(ii)) 

 identification of the species and life stages that would be most susceptible to impingement 

and entrainment. Species evaluated should include the forage base as well as those most 

important in terms of significance to commercial and recreational fisheries. (40 CFR 

122.21(r)(4)(iii))

 identification and evaluation of the primary period of reproduction, larval recruitment, and 

period of peak abundance for relevant taxa (40 CFR 122.21(r)(4)(iv))

 data representative of the seasonal and daily activities of biological organisms (for example 

feeding and water column migration) in the vicinity of the intake (40 CFR 122.21(r)(4)(v))

 identification of all threatened, endangered, and other protected species that might be 

susceptible to impingement and entrainment at the intake (40 CFR 122.21(r)(4)(vi))

 documentation of any public participation or consultation with Federal or State agencies 

undertaken in development of the plan (40 CFR 122.21(r)(4)(vii))

 if the above information is supplemented with data collected using actual field studies, a 

description of all methods and quality assurance procedures for data collection, sampling, 

and analysis including a description of the study area; identification of the biological 

assemblages (including all life stages of fish and shellfish) to be sampled and/or evaluated; 

data collection, sampling, and analysis methods. The sampling and/or data analysis methods 

used must be appropriate for a quantitative survey and based on a consideration of methods 

used in other biological studies performed within the same source water body. The study area 

should include, at a minimum, the area of influence of the cooling water intake structure. (40 

CFR 122.21(r)(4)(viii))

Source Waterbody Flow Information

The section 316(b) New Facility Rule requires information to demonstrate that the facility is 

complying with proportional flow (i.e., intake flow may not exceed a certain proportion of 

source water body flow) requirements. Specific source water body flow data items are:

 if the cooling water intake structure is located in a freshwater river or stream, the annual 

mean flow and any supporting documentation and engineering calculations to show that the 

cooling water intake structure meets the flow requirements (40 CFR 125.86(b)(3)(i) or 

125.86(c)(1)(i))
Draft Renewal of the New Facility Rule Information Collection Request 14

 if the cooling water intake structure is located in an estuary or tidal river, the mean low 

water tidal excursion distance and any supporting documentation and engineering 

calculations to show that the cooling water intake structure facility meets the flow 

requirements (40 CFR 125.86(b)(3)(ii) or 125.86(c)(1)(ii))

 if the cooling water intake structure is located in a lake or reservoir, a narrative description 

of the water body thermal stratification, and any supporting documentation and engineering 

calculations to show that the thermal stratification will not be altered by the total design 

intake flow (40 CFR 125.86(b)(3)(iii) or 125.86(c)((1)(iii)).

ADDITIONAL INFORMATION REQUIREMENTS FOR TRACK I

Flow Reduction Information

The section 316(b) New Facility Rule requires information to demonstrate that the facility has 

reduced its flow to a level commensurate with that which can be attained by a closed-cycle 

recirculating cooling water system. Specific flow reduction data items include:

 a narrative description of the system that has been designed to reduce flow to a level 

commensurate with that which can be achieved by a closed-cycle recirculating cooling water 

system and any engineering calculations, including documentation demonstrating that makeup and blowdown flows have been minimized (40 CFR 125.86(b)(1)(i))

 if the flow reduction requirement is met entirely, or in part, by reusing or recycling water 

withdrawn for cooling purposes in subsequent industrial processes, documentation that the 

amount of cooling water that is not reused or recycled has been minimized (40 CFR 

125.86(b)(1)(ii)).

Velocity Information

The section 316(b) New Facility Rule requires information to demonstrate that the facility is 

complying with the requirement to meet a maximum through-screen design intake velocity of no 

more than 0.5 ft/s at each cooling water intake structure. Specific velocity data items are:

 a narrative description of the design, structure, equipment, and operation used to meet the 

velocity requirement (40 CFR 125.86(b)(2)(i))

 design calculations showing that the velocity requirement will be met at minimum ambient 

source water surface elevations (based on best professional judgment using available 

hydrological data) and maximum head loss across the screens or other device (40 CFR 

125.86(b)(2)(ii)).

Design and Construction Technology Plan

The section 316(b) New Facility Rule requires information to demonstrate that the facility has 

implemented the design and construction technologies necessary to minimize impingement and 

entrainment and maximize survival of impinged organisms. The plan must contain information 

on the technologies that the facility will implement based on the results of the Source Water 

Biological Baseline Characterization. Specific design and construction technology plan data 

items include:
Draft Renewal of the New Facility Rule Information Collection Request 15

 Delineation of the hydraulic zone of influence for your CWIS (40 CFR 125.86(b)(4)(ii))

 a narrative description of the design and operation of the design and construction 

technologies, including fish-handling and return systems, that the facility will use to 

maximize the survival of those species expected to be most susceptible to impingement. This 

description should include species-specific information that demonstrates the efficacy of the 

technology (40 CFR 125.86(b)(4)(iii)(A))

 a narrative description of the design and operation of the additional design and construction 

technologies that the facility will use to minimize entrainment of those species expected to be 

the most susceptible to entrainment. This description should include species-specific 

information that demonstrates the efficacy of the technology (40 CFR 125.86(b)(4)(iii)(B))

 design calculations, drawings, and estimates to support the above descriptions (40 CFR 

125.86(b)(4)(iii)(C)).

ADDITIONAL INFORMATION REQUIREMENTS FOR TRACK II

Track II Comprehensive Demonstration Study

The section 316(b) New Facility Rule requires information in the form of a Comprehensive 

Demonstration Study to characterize the source water baseline in the vicinity of the intake, 

characterize operation of the cooling water intake, and confirm that proposed technologies 

reduce the level of impingement and entrainment mortality to the same level that would be 

achieved by implementing the flow reduction, velocity and technology requirements of Track I. 

The facility must develop and submit a plan to the Director containing a proposal of how 

information will be collected to support the study. Documentation of the results of the study must 

also be submitted to the Director. Specific Track II comprehensive demonstration study data 

items include:

 a description of the proposed technologies to be evaluated in the study (40 CFR 

125.86(c)(2)(iii)(A))

 a list and description of any historical studies characterizing the physical and biological 

conditions in the vicinity of the proposed or actual intakes and their relevancy to the 

proposed study. If the facility proposes to rely on existing source water body data, it must be 

no more than 5 years old, and the facility must demonstrate that the existing data are 

sufficient to develop a scientifically valid estimate of potential impingement and entrainment 

impacts, and provide documentation showing that the data were collected using appropriate 

quality assurance procedures. (40 CFR 125.86(c)(2)(iii)(B))

 any public participation or consultation with Federal or State agencies undertaken in 

development of the plan (40 CFR 125.86(c)(2)(iii)(C))

 a sampling plan for data that will be collected using actual field studies in the source water 

body. The sampling plan must document all methods and quality assurance procedures for 

data collection, sampling, and analysis. The proposed sampling and data analysis methods 

must be appropriate for a quantitative survey and based on a consideration of methods used 

in other studies performed in the source water body. The sampling plan must include a 

description of the study area (which must include the area of influence of the cooling water 
Draft Renewal of the New Facility Rule Information Collection Request 16

intake structure and at least 100 meters beyond); identification of the biological assemblages 

to be sampled (including all life stages of fish and shellfish); data collection, sampling, and 

analysis methods. (40 CFR 125.86(c)(2)(iii)(D))

 Source Water Biological Study. This must include:

o a taxonomic identification and characterization of aquatic biological resources to 

provide: a summary of historic and contemporary aquatic biological resources; 

determination and description of the target populations of concern (those species of 

fish and shellfish and life stages that would be most susceptible to impingement and 

entrainment); and a description of the abundance and temporal/spatial 

characterization of the target populations based on the collection of multiple years of 

data to capture the seasonal and daily activities (for example feeding and water 

column migration) in the vicinity of the cooling water intake structure (40 CFR 

125.86(c)(2)(iv)(A)(1))

o an identification of all threatened and endangered species that might be susceptible to 

impingement and entrainment by the cooling water intake structures (40 CFR 

125.86(c)(2)(iv)(A)(2))

o a description of additional chemical, water quality, and other anthropogenic stresses 

on the source waterbody (40 CFR 125.86(c)(2)(iv)(A)(3)).

 Evaluation of Potential Cooling Water Intake Structure Effects. This must include:

o calculations of the reduction in impingement mortality and entrainment of all life 

stages of fish and shellfish that would need to be achieved by the technologies the 

facility has selected to implement to meet requirements under Track II. To do this, the 

facility must determine the reduction in impingement mortality and entrainment that 

would be achieved by implementing the requirements of 40 CFR 125.84(b)(1) and (2) 

of Track I at the site. (40 CFR 125.86(c)(2)(iv)(B)(1))

o an engineering estimate of efficacy for the proposed and/or implemented technologies 

in minimizing impingement and entrainment of all life stages of fish and shellfish and 

to maximize survival of impinged life stages of fish and shellfish. The facility must 

demonstrate that the proposed technologies reduce impingement losses and 

entrainment of all life stages of fish and shellfish to a comparable level to that which 

would be achieved by meeting Track I requirements at that site. The efficacy 

projection must include a site-specific evaluation of technology suitability for 

reducing impingement and entrainment based on the Source Water Biological Study. 

(40 CFR 125.86(c)(2)(iv)(B)(2))

o a characterization of impingement and entrainment estimates of the proposed 

alternative technology based on case studies in the vicinity of the CWIS and/or sitespecific technology prototype studies (40 CFR 125.86(c)(2)(iv)(B)(2)).

 Verification Monitoring Plan. This must include, at a minimum, two years of monitoring to 

verify the full-scale performance of the alternative technologies. The plan must describe the 

frequency of monitoring, the parameters to be monitored, and the measures that the facility

will take if the proposed and/or implemented technologies do not achieve a reduction in 

impingement and entrainment mortality for all life stages of fish and shellfish equivalent to 

the level documented in the efficacy projection described above. Verification monitoring 

must begin at the start of operations of the CWIS and continue for a sufficient period of time 

to demonstrate that the facility is reducing the level of impingement and entrainment to the 
Draft Renewal of the New Facility Rule Information Collection Request 17

level documented in the Evaluation of Potential Cooling Water Intake Structure Effects (40 

CFR 125.86(c)(2)(iv)(B). (40 CFR 125.86(c)(2)(iv)(D))

ANNUAL REPORTING REQUIREMENTS

In addition to the one-time reporting requirements, operators are required to provide the 

following information in a yearly status report:

 biological monitoring records for each CWIS as required by 40 CFR 125.87(a) (40 CFR 

125.88(b)(1))

 velocity and head loss monitoring records for each CWIS as required by 40 CFR 125.87(b) 

(40 CFR 125.88(b)(2))

 records of visual or remote inspections as required in 40 CFR 125.87(c). (40 CFR 

125.88(b)(3)).

RECORDKEEPING REQUIREMENTS

All operators of new facilities are required to keep records and to report information and data to 

the permitting authority to show compliance with any requirements they are subject to in the 

rule. Records are required to be maintained for a period of at least three years from the date of 

permit issuance unless extended by the request of the Director. Each operator is required to 

maintain records of:

 all the data used to complete the permit application and show compliance (40 CFR 

125.88(a))

 any supplemental information developed under 40 CFR 125.86 (40 CFR 125.88(a)) 

 compliance monitoring data submitted under 40 CFR 125.87 (40 CFR 125.88(a)).

The section 316(b) New Facility Rule added several items to the list of records previously

maintained by Directors for the NPDES permit program. The additional record keeping items 

include:

 records of all narrative descriptions, scale drawings, location maps, schematic diagrams, and 

engineering calculations submitted by new facilities

 records of source waterbody physical and flow information submitted by facilities

 records of source water baseline biological characterization data submitted by facilities

 records of design and construction technology plans submitted by facilities

 records of comprehensive design study plans and study results submitted by new facilities

 records of source water biological studies submitted by facilities

 records of evaluations of potential cooling water intake structure effects submitted by

facilities

 records of verification monitoring plans and monitoring results submitted by facilities

 a record of all yearly status reports

 a list of determinations made for each facility

 a list of facilities required to implement design and construction technologies

 a list of monitoring requirements for each system
Draft Renewal of the New Facility Rule Information Collection Request 18

 a list of all facilities applying for a reduction in their monitoring requirements

 records of any other facility-by-facility and case-by-case decisions made by that Director 

under the rule.

4b(ii) Respondent Activities

As mentioned above, respondents include both new facilities and NPDES permit program 

Directors. Their information collection activities are described below. 

Permit Application Activities

All facilities will need to perform start-up activities such as: reading the rule, planning for the 

implementation of the rule, and training staff to perform various tasks necessary to comply with 

the rule. Activities performed during the permit application process are performed only once 

during each ICR period. However, these application activities are repeated again during the fifth 

year of the permit cycle as part of the permit renewal process.

General Information

Before new facilities can begin operation of the CWIS, they must first perform several data 

gathering activities as part of the permit application process. Under the rule, all facilities are 

required to gather source water physical, flow and baseline biological characterization 

information and cooling water intake structure information so that the Director can evaluate 

potential impact to the water body in which the intake structure is placed. 

Activities that are required to report on source water physical characteristics include: 

 describing and drawing the physical configuration of the source water body where the CWIS 

is located, including areal dimensions, depths, salinity and temperature regimes

 characterizing and documenting the hydrological and geomorphological features of the 

source waterbody and the intake’s area of influence within the waterbody

 creating locational maps of the source waterbody

 maintaining copies of these documents as well as copies of any information used in their 

development for a period of three years after submittal.

Activities that are required to report on source waterbody flow include: 

 developing a narrative describing the annual mean flow of the waterbody if the CWIS is 

located in a freshwater river or stream, the mean low water tidal excursion distance if the 

CWIS is located in an estuary or tidal river, or the waterbody thermal stratification if the 

CWIS is located in a lake or reservoir

 gathering and producing supporting documentation

 performing engineering calculations

 maintaining a record of pertinent documents for three years after submittal.

Activities that are required to report on source waterbody baseline biological characterization 

include: 
Draft Renewal of the New Facility Rule Information Collection Request 19

 collecting existing information to develop a list of species (or relevant taxa) for all life stages 

and their relative abundance in the vicinity of the CWIS

 identifying which species and life stages would be most susceptible to impingement or 

entrainment

 identifying and evaluating the primary period of reproduction, larval recruitment, and period 

of peak abundance for relevant taxa

 collecting data that are representative of the seasonal and daily activities of biological 

organisms (for example feeding and water column migration) in the vicinity of the CWIS

 identifying all threatened and endangered species that might be susceptible to impingement 

and entrainment at the CWIS

 documenting data that are not available and efforts made to identify sources of data

 documenting public participation or consultation with Federal or State agencies

 if existing data are supplemented with data collected using actual field studies, developing a 

narrative description of all methods and quality assurance procedures for data collection, 

sampling, and analysis, including a description of the study area and the biological 

assemblages to be sampled and/or evaluated

 maintaining a copy of the characterization and the materials required to produce it for three 

years after submittal.

Activities that are required to report on cooling water intake structure characteristics include: 

 preparing a narrative description of the configuration of the CWIS and its location within the 

waterbody and in the water column

 measuring and documenting the latitude and longitude of the CWIS

 developing a flow distribution and water balance diagram for the facility that includes all 

sources of water to the facility, recirculating flows, and discharges

 developing a narrative that describes the operation of the CWIS, including design flows, 

daily hours of operation, number of days of the year in operation, and seasonal changes if any

 creating engineering drawings and locational maps in support of the CWIS descriptions 

mentioned

 maintaining copies of these documents as well as copies of any information used in their 

development for a period of three years after submittal.

Additional Information for Track I

New facilities are required to gather additional information, depending on which of two 

alternative permitting tracks they choose. Facilities choosing to comply with the requirements of 

Track I are required to gather flow reduction information, velocity information, and design and 

construction technology information.
Draft Renewal of the New Facility Rule Information Collection Request 20

Flow Reduction Information - Activities that are required to report on flow reduction include:

 developing a narrative description of the system that has been designed to reduce the intake 

flow to a level commensurate with that which can be attained by a closed-cycle recirculating 

cooling water system

 producing the necessary engineering calculations to demonstrate that the CWIS meets the 

flow reduction requirement

 developing documentation to demonstrate that make-up and blowdown flows have been 

minimized

 if the flow reduction requirement is met entirely, or in part, by reusing or recycling water 

withdrawn for cooling purposes in subsequent industrial processes, developing 

documentation that the amount of cooling water that is not reused or recycled has been 

minimized

 maintaining a record of pertinent documents for three years after submittal.

Velocity Information - Activities that are required to report on velocity include:

 developing a narrative description of the design, structure, equipment, and operation used to 

meet the velocity requirement

 producing the necessary engineering calculations to show the velocity requirement will be 

met

 maintaining a record of pertinent documents for three years after submittal.

Design and Construction Technology Plan - The facility must submit information to demonstrate 

that it will implement design and construction technologies that meet the impingement and 

entrainment requirements. Activities that are required to report on design and control technology

include:

 providing narrative descriptions of the design and operation of the technologies that will be 

used to maximize survival of those species expected to be most susceptible to impingement 

and minimize entrainment of those species expected to be the most susceptible to 

entrainment

 collecting species-specific information to demonstrate the efficacy of the technology

 producing the necessary design calculations, drawings, and estimates to support the narrative 

descriptions

 maintaining records of all materials used to develop the narrative descriptions for a period of 

three years after submittal.

Additional Information for Track II

Facilities choosing to comply with the requirements of Track II are required to gather the 

Comprehensive Demonstration Study, including a Source Water Biological Study, an evaluation 

of potential CWIS effects, and a verification monitoring plan.
Draft Renewal of the New Facility Rule Information Collection Request 21

Comprehensive Demonstration Study - The facility must develop and submit a plan for a 

Comprehensive Demonstration Study to characterize the source water baseline in the vicinity of 

the cooling water intake structure, characterize operation of the cooling water intakes, and 

confirm that technologies proposed and/or implemented at the CWIS achieve a comparable

reduction in impingement and entrainment mortality that would be achieved were the facility to 

implement the flow reduction, velocity and technology requirements of Track I. The facility

must also develop and submit documentation of the results of the study. Tasks include:

 developing and submitting a plan containing a proposal for how information will be collected 

to support the study

 developing a description of the proposed and/or implemented technologies to be evaluated in 

the study

 developing a list and description of any historical studies characterizing the physical and 

biological conditions in the vicinity of the CWIS and their relevancy to the study

 documenting any public participation or consultation with Federal or State agencies 

undertaken in development of the plan

 developing a sampling plan for data that will be collected using actual field studies in the 

source water body, documenting all methods and quality assurance procedures for data 

collection, sampling, and analysis. The sampling plan must include a description of the study

area (which must include the area of influence of the cooling water intake structure and at 

least 100 meters beyond); identification of the biological assemblages to be sampled (both 

nekton and meroplankton); data collection, sampling, and analysis methods.

 documenting and submitting the results of the study

 maintaining records of all materials used to develop the study plan and document study

results for a period of three years after submittal.

In documenting the results of the Comprehensive Demonstration Study, the facility must also 

develop a Source Water Biological Study to identify chemical and biological considerations as 

they relate to the facility’s CWIS operations. Tasks include:

 identifying and characterizing the taxonomy of aquatic biological resources

 developing a summary of historic and contemporary aquatic biological resources

 determining and describing the target populations of concern (those species of fish and 

shellfish and life stages that would be most susceptible to impingement and entrainment)

 determining and describing the abundance and temporal/spatial characterization of the target 

populations based on the collection of multiple years of data to capture the seasonal and daily

biological activity in the vicinity of the CWIS

 identifying all threatened and endangered species that might be susceptible to impingement 

and entrainment at the CWIS

 identifying and evaluating additional chemical, water quality, and other anthropogenic 

stresses on the source waterbody

 maintaining a copy of the characterization and the materials required to produce it for three 

years after submittal.
Draft Renewal of the New Facility Rule Information Collection Request 22

In documenting the results of the Comprehensive Demonstration Study, the facility must also 

develop an evaluation of potential cooling water intake structure effects. Tasks include:

 developing a statement of the baseline against which comparative analyses will be made

 calculating and documenting the impingement and entrainment baselines, assuming a 

baseline design of a once-through cooling water system and a shoreline CWIS employing a 

trash rack and traveling screens

 developing an engineering estimate of the efficacy of proposed and/or implemented 

technologies in minimizing impingement and entrainment of all life stages of fish and 

shellfish and to maximize survival of impinged life stages of fish and shellfish, and in 

reducing impingement losses and entrainment of all life stages of fish and shellfish to a level 

comparable to those expected to be achieved by implementing Track I requirements. The 

efficacy projection must include a site-specific evaluation of technology suitability for 

reducing impingement and entrainment based on the Source Water Biological 

Characterization.

 characterizing impingement and entrainment estimates of the alternative technology based on 

case studies in the vicinity of the CWIS and/or site-specific technology prototype studies

 maintaining a copy of the evaluation and the materials required to produce it for three years 

after submittal.

As part of the Comprehensive Demonstration Study, the facility must also develop a Verification 

Monitoring Plan to conduct, at a minimum, annual monitoring to verify the full-scale 

performance of the alternative technologies. The facility must perform verification monitoring 

beginning during the first year of operation of the CWIS. Tasks include:

 developing a monitoring plan, including descriptions of the frequency of monitoring, the 

parameters to be monitored, and the measures that the facility will take if the proposed and/or 

implemented technologies do not achieve a reduction in impingement and entrainment 

mortality for all life stages of fish and shellfish equivalent to the level documented in the 

efficacy projection described above

 performing and document verification monitoring

 maintaining copies of the Verification Monitoring Plan and verification monitoring records, 

along with the materials required to produce them for three years after submittal.

Annual Activities

Biological Monitoring

All new facilities affected by the rule would need to perform biological monitoring of the 

commercial and recreational fisheries and the forage base species identified in either the Source 

Water Baseline Biological Characterization or the Comprehensive Demonstration Study, for a 

minimum of two years after permit issuance. The Director may approve a request for less 

frequent sampling in the remaining years of the permit term, following review of supporting 

data. Biological monitoring includes both monitoring of impingement and entrainment. 
Draft Renewal of the New Facility Rule Information Collection Request 23

Impingement monitoring involves collecting data on aquatic organisms trapped on the outer part 

of an intake structure or against screening devices during periods of cooling water withdrawal, to 

determine the taxa and abundance of impinged organisms. Specific monitoring tasks include: 

 collecting impingement samples over a 24-hour period no less than once per month when the 

CWIS is in operation

 identifying and enumerating impinged organisms

 performing statistical analyses to summarize rates

 maintaining records of impingement monitoring results for at least three years.

Entrainment monitoring involves the collection of data on eggs, larvae, and other plankton 

incorporated with cooling water flow (entering and passing through a cooling water intake 

structure and into a cooling water system), to determine the taxa and abundance of entrained

organisms. Specific tasks include:

 collecting entrainment samples over a 24-hour period no less than biweekly during the 

primary period of reproduction, larval recruitment, and peak meroplankton abundance when 

the CWIS is in operation

 identifying and enumerating entrained organisms

 performing statistical analyses to summarize entrainment rates

 maintaining records of entrainment monitoring results for at least three years.

CWIS Operational Monitoring

Under the section 316(b) New Facilities Rule, all affected facilities need to monitor the operation 

of their CWISs. The first type of operational monitoring is the monitoring of the system’s 

velocity, performed during initial facility startup and thereafter at a frequency specified in the 

facility’s NPDES permit, but no less than once per quarter. The second form of operational 

monitoring is through either visual inspections conducted on at least a weekly basis or through 

the use of remote monitoring equipment. Specific operational monitoring tasks include:

 if the facility uses intake screen systems, monitoring head loss across the screens (measured 

at the minimum ambient source water surface elevation) and correlating the measured value 

with the design intake velocity

 if the facility uses devices other than intake screens, monitoring velocity at the point of entry

through the device

 analyzing data to determine if the CWIS is meeting the velocity requirements

 visually inspecting all installed technologies or, alternatively, inspecting remote monitoring 

devices to confirm that the impingement and entrainment technologies are functioning as 

designed

 maintaining records of operational monitoring results for at least three years.

Yearly Status Report
Draft Renewal of the New Facility Rule Information Collection Request 24

All new facilities subject to the rule are required to prepare and submit an annual report that 

details compliance with requirements set by the rule and with any additional provisions specified 

within the permit. Preparation of the report requires:

 compiling biological monitoring records for each CWIS

 compiling velocity and head loss monitoring records for each CWIS

 compiling records of visual or remote inspections

 maintaining a copy of the report for a period of three years after its submission.

Director Activities

NPDES program Directors ensure the implementation of the rule. The Director should review 

materials submitted by the applicant during the initial permit application process and prior to 

each renewal period thereafter to determine if there have been any changes in facility operations 

or physical and biological attributes of the source waterbody. Any changes should be evaluated 

to determine the need for additional or more stringent conditions in the permit.

Section 316(b) requirements are imposed on a facility through an NPDES permit. The Director 

must determine, based on the information submitted by the new facility in its permit application, 

the appropriate requirements and conditions to include in the permit based on the track (Track I 

or Track II) the new facility has chosen to comply with. Specific activities include:

 analyzing and reviewing facility data

 making determinations concerning facilities such as: 

o after receiving the initial permit application, Directors must determine applicable 

standards in 40 CFR 125.84 to apply to the new facility and determine compliance 

with the applicable standards

o for each subsequent permit renewal, Directors must review the application materials 

and monitoring data to determine whether additional requirements for design and 

construction technologies should be included in the permit if they are reasonably

necessary to minimize impingement and entrainment as a result of the effects of 

multiple cooling water intake structures in the same body of water; seasonal 

variations in the aquatic environment affected by the cooling water intake structures 

controlled by the permit; or the presence of regionally important species or threatened 

and endangered species

o for Track II facilities, the Director may review the information collection proposal 

plan required by 40 CFR 125.86(c)(2)(iii). The facility may initiate sampling and data 

collection activities prior to receiving comment from the Director. 

o Directors must develop permit conditions that, at a minimum, include the 

performance standards that implement the requirements of 40 CFR 125.84(b)(1), (2), 

(3) and (4) or 40 CFR 125.84(c)(1), (2) and (3). In determining compliance with 

proportional flow requirement in 40 CFR 125.84(b)(2) and (3), the Director must 

consider anthropogenic factors unrelated to the new facility’s cooling water intake 

structure that can influence the occurrence and location of the thermocline, including 
Draft Renewal of the New Facility Rule Information Collection Request 25

source water inflows, other water withdrawals, managed water uses, wastewater 

discharges, and flow/level management practices.

o for a facility that chooses Track I, the Director must review the Design and 

Construction Technology Plan required in 40 CFR 125.84(b)(4) to evaluate the 

suitability and feasibility of the technology proposed to minimize impingement and 

entrainment of all life stages of fish and shellfish, or to maximize survival of 

impinged life stages of fish and shellfish. A condition requiring the facility to reduce 

impingement and entrainment commensurate with the implementation of the 

technologies must be placed in the permit. In addition, the Director must consider 

whether more stringent conditions are reasonably necessary in accordance with 40 

CFR 125.84(d).

o for a facility that chooses Track II, the Director must review the information 

submitted with the Comprehensive Demonstration Study information required in 40 

CFR 125.86(c)(2), evaluate the proposed suitability for the proposed technologies at 

the site, and determine whether the technologies achieve a comparable level of 

impingement and entrainment reduction as the facility would if it complied with 40 

CFR 125.84(b)(1), (2) and (4) and used a shoreline intake. A condition requiring the 

facility to implement the Technology Proposal Plan and to reduce their impingement 

and entrainment to the level that can be achieved by employing the implemented 

technologies must be placed in the permit. In addition, the Director must review the 

Verification Monitoring Plan in 40 CFR 125.86(c)(2)(iv)(D) and require that the 

proposed monitoring be performed within the first year of operations at the facility.

o Directors must determine frequency of the monitoring subject to minimum 

requirements. The Director may modify the monitoring program when the permit is 

reissued and during the term of the permit based on changes in physical or biological 

conditions in the vicinity of the CWIS. The Director may require continued 

monitoring based on the results of the Verification Monitoring Plan in 40 

CFR 125.86(c)(2)(iv)(D).

o Directors must determine record keeping and reporting requirements for each facility 

subject to minimum requirements

o Directors have the discretion to include more stringent requirements in the NPDES 

permits than those specified in the regulations if they determine that more stringent 

conditions are reasonably necessary to ensure the minimization of impingement and 

entrainment as a result of the effects of multiple CWISs in the same water body; 

seasonal variations in the aquatic environment effected by the presence of the 

permitted CWIS; or the presence of regionally important species

 facility compliance tracking

 record keeping for all reports, documents, and supporting materials submitted by facilities in 

fulfillment of their cooling water intake requirements of their NPDES permit.
Draft Renewal of the New Facility Rule Information Collection Request 26

5 THE INFORMATION COLLECTED - AGENCY ACTIVITIES, 

COLLECTION, METHODOLOGY AND INFORMATION 

MANAGEMENT

The following sections describe EPA activities related to analyzing, maintaining, and distributing 

the information collected.

5a Agency Activities

EPA is responsible for overseeing implementation of this rule. Implementation of reporting and 

monitoring requirements would rely extensively on State governments in those States that have 

authorization under CWA section 402(b) to implement the NPDES permit program. In States 

that do not have NPDES permitting authority, EPA is responsible for administering the program. 

Under these circumstances, EPA performs the same activities as those outlined for Directors in 

section 4. 

EPA is also involved in the review of State-issued NPDES permits for compliance with section 

316(b) New Facility Regulation requirements. EPA typically reviews NPDES permits in the 

early stages of implementation of new regulations. As such, EPA assumes that it will perform a 

detailed review, make comments, and follow up on comments for the 316(b) portions of State 

issued NPDES permits, during the three covered by this ICR. 

5b Collection Methodology and Information Management

The section 316(b) New Facility Rule provides minimum requirements regarding the type of 

information collected. Directors of NPDES programs are primarily responsible for determining 

which collection method and information management strategy is most appropriate. EPA 

maintains the compliance data in its Permit Compliance System (PCS) database and the 

Integrated Compliance Information System (ICIS). PCS and ICIS are the national computerized 

management information systems that automate entry, updating, and retrieval of NPDES data 

and tracks permit issuance, permit limits and monitoring data, and other data pertaining to 

facilities regulated under NPDES. This technology reduces the burden to the permitting authority

of gathering, analyzing, and reporting national permit and water quality data.

Permitting authorities are responsible for reviewing permit applications, permits, monitoring 

reports, etc. to verify the accuracy of the data. Permitting authorities are also responsible for 

entering that data into PCS/ICIS. Different authorities have different approaches for entering the 

data into PCS/ICIS and different approaches for checking data quality. This includes the use of 

coding forms, double-entry, technical review, etc. Many States have developed State databases 

that are tailored to individual State needs. EPA is working on processes to provide uploads 

directly to PCS/ICIS from the State system. Permit data can be accessed by the public in one of 

two ways:

 via the Freedom of Information Act (FOIA) by submitting a request to EPA or the State.
Draft Renewal of the New Facility Rule Information Collection Request 27

 via an on-line query using EPA’s Envirofacts Data Warehouse and Applications website at 

http://www.epa.gov/enviro/index_java.html. Accessing data via Envirofacts provides a 

method to combine PCS/ICIS data with other EPA databases and mapping tools.

5c Small Entity Flexibility

The final rule’s minimum intake requirements would exclude most new small entities from the 

compliance requirements. As a result, the final rule is expected to affect only a small absolute 

number of facilities owned by small entities. In 2001, EPA estimated that over the next 20 years 

eleven facilities owned by small entities are projected to be subject to the final 316(b) regulation. 

Of these, 8 are estimated to be electric generators, and 3 will be manufacturing facilities.

EPA considers the information collection and reporting requirements to be the minimum 

necessary to ensure that the section 316(b) goal of “minimizing adverse environmental impact”

is met. Because small entities constitute a very small share of the potentially affected facilities, 

providing them greater flexibility such as less frequent data collection and reporting 

requirements would not have a large effect on their overall burden, but could have an adverse 

impact on the effectiveness of the rule. Furthermore, because the reporting requirements differ 

by water type and permitting track, entities of all sizes have the flexibility to minimize their total 

compliance costs including the costs and burden of information collection requirements.

5d Collection Schedule

EPA estimated that 16 new facilities fell within the scope of the final rule during the first three 

years after promulgation and that an additional 29 and 23 facilities fell within the scope of the 

rule during the first and second ICR renewal periods (years 4-6, and 7-9 after promulgation, 

respectively).

EPA estimates that an additional 18 facilities will fall within the scope of the rule during the 

third ICR renewal period (years 10-12 after promulgation). The permitting process is assumed to 

take less than one year to complete for those facilities following Track I requirements. For those 

facilities opting for Track II, EPA assumes it takes approximately two years for facilities with 

intakes drawing from freshwater sources, and three years for those facilities drawing from 

marine waters to complete the permitting process. EPA assumes that 10 of the facilities that 

began the permitting process during the second ICR renewal period will receive their permits 

during the third ICR renewal period and seven facilities will begin the process of renewing their 

permits during the third ICR renewal period.

The 18 expected new facilities will undergo initial start-up activities and submit information on 

CWIS design. Table 5-1 provides the estimated implementation schedule for permit application 

process for these 18 facilities during the second ICR renewal period. There are 21 new facilities 

that are expected to begin annual monitoring activities during the second ICR renewal period

covered by this supporting statement. Of the 21 facilities that begin annual monitoring, 10

facilities began their permit application process during the previous ICR, and 11 facilities will 

complete their permit applications during this second ICR renewal period. Table 5-1 also 
Draft Renewal of the New Facility Rule Information Collection Request 28

provides the estimated implementation schedule for monitoring activities for these facilities 

during the second ICR renewal period.

Table 5-1. Number of Facilities Assumed to Begin Compliance with Information Collection

Requirements During the ICR Period by Year

Type of Activity

ICR Period

12/2011-

11/2012

12/2012-

11/2013

12/2013-

11/2014

Track I Facilities Beginning the NPDES Permit 

Application Process 

5 5 3

Track II Facilities Beginning the NPDES Permit 

Application Process 

2 2 1

Total Facilities Beginning the NPDES Permit 

Application Process 

7 7 4

Track I Facilities Beginning Annual Monitoring and 

Reporting of Operations

4 * 5 ** 5 **

Track II Facilities Beginning Annual Monitoring and 

Reporting of Operations

2 * 4 * 1 **

Total Facilities Beginning Annual Monitoring 

and Reporting of Operations

6 9 6

* : These 10 facilities began their permit application process during the previous ICR approval period.

**: These 11 facilities will complete their permit applications during this third ICR approval period.

6 ESTIMATING RESPONDENT BURDEN AND COST OF 

COLLECTION

The following sections present rationale and results of EPA’s estimation of burden and costs for 

the implementation of the section 316(b) New Facility Rule. The burden hours and cost in this 

section are calculated by first estimating the annual burden, labor cost, and other direct cost 

(ODC) per facility or Director for each activity. (See Tables 6-1 through 6-5). The number of 

facilities or Directors required to conduct each of the activities per year are then estimated and 

used to calculate the yearly burden hours and costs. Not all facilities are required to conduct all 

the activities, and not all activities occur during all years of the ICR. The total yearly burden 

hours and costs are then summed and averaged to compute the bottom line average annual 

burden hours and costs shown in Table 6-6. See Appendix A for a more detailed calculation.

6a Estimating Respondent Burden

This section describes the burden estimates for facilities and Directors, as well as the methods 

used to derive them. Respondent activities are separated into those activities associated with the 

NPDES permit application and those activities associated with monitoring and reporting after the 

permit is issued. The reason for this is that the permit cycle is every five years while ICRs must 

be renewed every three years. Therefore, the application activities occur only once per facility 

during an ICR period, and so they are considered one-time burden for the purpose of this ICR. 

By contrast, the monitoring and reporting activities that occur after issuance of the permit occur 

on an annual basis. 

Facility Burdens
Draft Renewal of the New Facility Rule Information Collection Request 29

Information collection would require in-scope facilities to devote time (i.e., as measured by staff 

hours) and resources (e.g., copies of documents and report mailings) to produce the necessary

NPDES permit applications, implementation plans, and annual status reports. EPA expects that 

facility employees, including managers, engineers, engineering technicians, statisticians, 

draftsmen, and clerical staff, will devote time toward gathering, preparing, and submitting the 

various documents. To develop representative profiles of each employee’s relative contribution, 

EPA assumed burden estimates that reflect the staffing and expertise typically found in 

manufacturing facilities and power generating plants. In doing this, EPA considered the time and 

qualifications necessary to complete a variety of tasks: reviewing instructions, planning 

responses, researching data sources, gathering and analyzing data, typing or writing the 

information requested, reviewing results, conferring with permitting authorities and expert 

consultants, and sending documents. 

EPA anticipates that facilities will use the contracted services to perform many of their required 

sampling and analysis tasks. The contracted staff is likely to include project managers, biologists, 

statisticians, and biological technicians. The work done by these contracted employees will be 

done on-site on a regular basis. Therefore, the hourly burdens associated with their work are

included in the overall burden estimates for each facility.

For each activity burden assumption, EPA selected time estimates to reflect the expected effort 

necessary to carry out these activities under normal conditions and reasonable labor efficiency

rates. EPA assumed that the majority of the actual work performed by facility staff, such as 

researching, collecting, and analyzing data, as well as writing the documents, will be carried out 

by junior technical staff. Burdens associated with managerial and senior engineering staff 

include time for actions such as occasional or seasonal visits to supervise sampling efforts, as 

well as periodic review of lab results and documentation. EPA assumed that the facilities will 

employ a drafter to perform computer aided drafting (CAD) operations. For contracted 

employees, EPA assumes that the majority of the work will be carried out by the biologists and 

the biological technicians.

Tables 6-1 and 6-2 provide a summary of the hourly burden estimates for facilities performing 

the NPDES permit application, annual monitoring, and annual reporting activities associated 

with the final rule. For a more detailed presentation of hourly burdens for facilities see Exhibits 

A.1 and A.2 in Appendix A.

The activities listed in the first column of both Tables 6-1 and 6-2 correspond to the facility

respondent activities outlined earlier in section 4b(ii). Start-up burden includes reading the 

published regulations, sample permits, and any guidance materials associated with the rule; 

determining the required staff and resources necessary to successfully complete the application 

process and meet all annual monitoring and reporting requirements; and training staff to perform 

tasks that they would not be required to conduct if the rule were not implemented. General 

information activities refer to the development and submittal of documentation on source 

waterbody characteristics and CWIS location and design. 
Draft Renewal of the New Facility Rule Information Collection Request 30

As part of the permit application process, facilities will demonstrate compliance with the 

proportional flow (i.e., intake flow may not exceed a certain proportion of source water body 

flow) requirements. Facilities will also collect Source Water Baseline Biological 

Characterization Data to evaluate the condition of the biological community prior to operation of 

the new facility and prior to each permit renewal application. The level of effort needed for the 

study may vary considerably from one facility to another, depending on the availability of 

existing background information and the characteristics of the waterbody that the CWIS will be 

located in. For the purpose of developing the ICR cost and burden estimates, it is assumed that 

there is sufficient existing data for facilities to develop a baseline characterization of the 

contributing waterbody’s biological community. 

If a facility chooses Track I for meeting its permit obligations, the facility also needs to comply

with flow reduction, velocity and technology requirements. Under the final rule, new facilities 

choosing Track I must provide information to the permitting authority demonstrating that they 

are in compliance with the flow reduction, velocity and technology requirements that are 

applicable to their CWISs. The facility hourly burdens for demonstrating compliance with these

requirements include developing and submitting narrative descriptions, supporting 

documentation, and engineering calculations. Facility burden for Design and Construction 

Technology Plans is comparable to the burden for demonstrating compliance with one of the 

CWIS requirements.

Under Track II, the Comprehensive Demonstration Study evaluates the condition of the 

biological community prior to operation of the new facility and prior to each permit renewal 

application. The study entails plan development, a source water biological study, projections of 

anticipated impacts, and verification monitoring. As with the source water baseline biological 

characterization, the required effort level for the Track II source water biological study is likely 

to vary considerably depending on the availability of existing data and the complexity of the 

habitat that the CWIS will be located in.

For the purpose of developing the ICR cost and burden estimates it is assumed that each Track II 

facility will perform sampling to develop the Source Water Biological Study for the 

Comprehensive Demonstration Study. The sampling required for the study is expected to take 

two years for facilities with intakes drawing from freshwater sources, and three years for 

facilities drawing from marine sources. Therefore, the entire application process can take up to 

three years to complete. EPA assumes that start-up activities and general information activities 

are accomplished during the first year of the permitting process. The Source Water Biological 

Study activities will be performed over the three years prior to the issuance of the NPDES permit 

to Track II facilities. The study to evaluate CWIS impacts will be conducted the year just prior to 

operation of the CWIS to allow the facility time to incorporate information from the Source 

Water Biological Study already underway. For those Track II facilities beginning operation 

during the first year of the ICR period, EPA assumes that they do not actually begin operating 

the CWIS until the end of the year, allowing them enough time to conduct the pilot study.

EPA anticipates that start-up, general information, and the Track I activities will be performed by 

facility staff. For those facilities taking Track II, EPA assumes that the sampling and statistical 
Draft Renewal of the New Facility Rule Information Collection Request 31

analyses will be conducted by the contracted employees, although some of the taxonomic 

identification, enumeration, and characterization will be performed by a sub-contracted 

laboratory. 

After both Track I and II facilities receive their NPDES permits and commence operations, they

have annual monitoring and reporting requirements as well. Velocity monitoring and the 

inspection of installed technology will be carried out by facility staff. For impingement and 

entrainment monitoring, EPA assumes that the actual monitoring will be conducted by the 

contracted employees, while the facility manager and junior technical staff will spend some time 

reviewing the results in preparation for the yearly status report.

In the first year of permitted operation, Track II facilities are required to use impingement and 

entrainment monitoring data to perform a verification study, confirming that the CWIS 

technology is achieving impingement and entrainment rates commensurate to that obtained 

through closed-cycle recirculation technology. EPA assumes that each year approximately 25% 

of the Verification Studies will show that the facilities have not achieved the required 

impingement and entrainment level that they predicted in their Comprehensive Demonstration 

Studies. As a result, EPA assumes that these facilities will take measures to improve their 

impingement and entrainment rates and submit another Verification Study the following year.

Approval periods for ICRs are for three years while NPDES permits are renewed on a five year 

cycle. Due to the shorter time frame for the ICR approval period, there were no permit renewals 

during the first ICR approval period. However, EPA anticipated that seven previously permitted 

facilities renewed their permits during the second ICR renewal period and ten currently

permitted facilities will renew their permits during the second ICR renewal period. EPA assumes 

that for Track I facilities, all of the activities performed during the initial permitting process 

would be repeated for the permit renewal. Track II facilities will need to revise their 

Comprehensive Demonstration Study and repeat the Sourcewater Baseline Characterization 

Study. They do not have to perform another Evaluation of Cooling Water Intake Structure 

Effects or Verification Monitoring Plan. EPA anticipates that the level of effort required to 

repeat many of these tasks will be considerably less than what was initially required. Facilities 

will be able to rely on much of the information gathered during the first permitting process. As a 

result the hourly burden estimates for activities are assumed to be 50% to 70 % less than those 

for the initial permitting process.

Table 6-3 provides a summary of the hourly burden estimates for facilities performing the 

NPDES permit renewal activities associated with the rule. For a more detailed presentation of 

hourly burdens for facilities see Exhibit A.12 in Appendix A.
Draft Renewal of the New Facility Rule Information Collection Request 32

Director Burdens

Each Director’s actual burden associated with reviewing submitted materials, writing permits, 

and tracking compliance will depend on the number of new in-scope facilities that will be built in 

the Director’s State during the ICR period. EPA expects that State senior technical, junior 

technical, and clerical staff will devote time toward gathering, preparing, and submitting the 

various documents. EPA assumed burden estimates that reflect the staffing and expertise used by

States for the NPDES permit administration process. In doing this, EPA considered the time and 

qualifications necessary to complete various tasks such as: reviewing submitted documents and 

supporting materials, verifying data sources, planning responses, determining specific permit 

requirements, writing the actual permit, conferring with facilities and the interested public, and 

entering the permit information into the PCS/ICIS databases. Table 6-4 provides a summary of 

the hourly burden estimates for Directors performing various activities associated with the final 

rule. EPA assumes that the directors will spend a significant amount of time reviewing the 

Sourcewater Biological Characterization Data. The additional effort devoted to reviewing the 

study is due to the fact that the studies cover three years worth of data collected at the site. For a 

more detailed presentation of Director hourly burdens see Exhibits A.3 and A.13 in Appendix A.

6b Estimating Respondent Costs

This section describes the cost estimates for facilities and Directors, as well as the methods used 

to derive them.

6b(i) Estimating Labor Costs

The costs to the respondent facilities associated with these time commitments can be estimated 

by multiplying the time spent in each labor category by an appropriately loaded hourly wage 

rate. All base wage rates used for facility labor categories were derived from the Bureau of Labor 

Statistic’s (BLS) Occupational Employment and Wages, 2009

2

. These reported labor rates were 

based upon data from June 2009, and required adjustment for inflation. Inflation factors ranging 

from 1.0% to 1.6%, depending on the labor category, were derived from the BLS Employment 

Cost Index3for adjusting the Occupational Employment and Wages, 2010 labor rates to reflect 

labor rates as of March of 2010. Compensatory loading factors ranging from 39% or 50%, 

depending on the labor category, were used to account for any paid leave, supplemental pay, 

insurance, retirement and savings, and required and non-required benefits received by 

employees4. EPA assumed an additional loading factor of 15% to account for general overhead 

costs directly attributable to facility employees performing work in support of the permit process. 

Expenses for contracted employees, typically include higher overhead costs, as well as fees to 

ensure profit for the contracting company. EPA assumes that the overhead for the contracted 

employees will be 50% and the fee will be 8%. 

 

2 BLS Occupational Employment and Wages, 2009, http://www.bls.gov/news.release/pdf/ocwage.pdf

3 BLS Employment Cost Index, http://www.bls.gov/web/echistrynaics.pdf

4 Compensation factors are from the BLS Employment Cost Trends Tables 4 and 10 as of December 2009. 

http://stats.bls.gov/news.release/ecec.t04.htm and http://stats.bls.gov/news.release/ecec.t10.htm
Draft Renewal of the New Facility Rule Information Collection Request 33

To represent the base labor rate for facility management, EPA used the median engineering 

manager in management occupations of $56.25 per hour. After adjusting this rate for inflation, 

compensation, and overhead the rate is $98.80 per hour. The median wage of $23.54 per hour for 

an engineering technician was used to represent the base labor rate junior technical staff. After 

adjusting for inflation and other factors this labor rate was $41.40 per hour. The median annual 

salary for a drafter performing CAD work was reported to be $21.92 per hour, and after adjusting 

and loading the rate it is $38.50. The reported median wage for clerical workers was $13.32 per 

hour and the fully adjusted and loaded hourly rate is $23.30 per hour.

The base labor rate for a contracted manager of monitoring work done on-site is assumed to be

for the median natural science manager in management occupations, with a fully loaded rate of 

$125.40 per hour. The median wage for a statistician was $35.10 per hour, with an adjusted 

hourly rate of $79.60 per hour. Biologists and biological technicians have an average hourly pay 

of $28.30 and $19.61, and a fully loaded rate of $63.70 and $44.60, respectively.

Director Labor Costs

For Director costs, all of the base labor rates and compensation factors were derived from 

published employment cost trends for State and local government workers for the second quarter 

of 2009

5

. These labor rates were adjusted to reflect labor rates for March 20106. EPA chose the 

BLS labor category of white-collar General Operations Manager to represent the senior 

administrative and technical staff that will oversee and manage the NPDES permit program. The 

base hourly rate for this category was approximately $42.77 per hour, and after adjusting for 

compensation and inflation it is $72.70 per hour. Similarly, EPA chose the BLS labor category of 

mechanical engineering technician to represent the junior technical staff that EPA expects to 

perform the majority of the actual NPDES permitting work. The reported base pay for this 

category was approximately $23.25 per hour, which becomes $39.50 per hour after being 

adjusted for compensation, overhead, and inflation. The hourly wage for State government 

clerical workers was $14.63 per hour before adjustment, and $27.90 afterward.

6b(ii) Estimating Capital and Operation and Maintenance Costs

Facility O&M Costs

A facility incurs capital/start-up costs when it purchases equipment or builds structures that are 

needed for compliance with the rule’s reporting and record keeping requirements that the facility

will not use otherwise. EPA assumed that some facilities would incur capital/startup costs as a 

result of this rule.

A facility incurs operation and maintenance (O&M) costs when it uses services, materials, or 

supplies needed to comply with the rule’s reporting and record keeping requirements that the 

facility will not use otherwise. Any cost for the operation and upkeep of capital equipment is 

considered O&M costs. Another type of O&M cost is for the purchase of contracted services 

such as laboratory analyses. The purchase of supplies such as filing cabinets and services such as 

 

5 May 2009 National Industry-Specific Occupational Employment and Wage Estimates, 

http://www.bls.gov/oes/current/naics3_999000.htm

6 BLS Employment Cost Index, http://www.bls.gov/web/echistrynaics.pdf
Draft Renewal of the New Facility Rule Information Collection Request 34

photocopying or boat rental, are also considered O&M costs, and are referred to as other direct 

costs (ODCs).

EPA assumes that samples taken for the Source Water Baseline Biological Characterization 

Study will be analyzed by a contracted laboratory. The outside laboratories will perform 

taxonomic classification, data tabulation, and then deliver the data back to the facility. For the 

two to three years of monitoring required by the Source Water Baseline Biological 

Characterization Study, this service is estimated to cost $84,400 for facilities located adjacent to 

freshwater waterbodies and $164,600 for facilities drawing from either estuaries, oceans, or the 

Great Lakes. 

For the evaluation of CWIS effects, EPA anticipates that facilities will perform pilot studies to 

determine the effectiveness of the technology they will be using to minimize impingement and 

entrainment. EPA assumes that the facility will be willing to spend approximately 10% of the 

anticipated costs of installing and operating the proposed technology. For costing purposes, EPA 

is assuming that a pilot study will be performed using a Gunderboom system. The range of costs 

for a floating Gunderboom system for a 150 MGD intake structure is $1.8 to $2.5 million in 

capital costs, and $150 to $300 thousand in annual O&M costs (Campbell, George, & Strong, 

2001). Using 10% of the high end of this range, and adjusting for inflation, EPA estimates the 

Track II facility spends $285,000 to purchase and install a pilot Gunderboom system, and 

$35,500 to operate and maintain it for the study. EPA assumes the pilot study impingement 

samples will be analyzed on-site by the biologists due to the difficulty of preserving 

impingement samples for shipment to an outside laboratory. Entrainment analysis of pilot study

monitoring samples will be performed by an outside laboratory, at a cost of $6,500 for facilities 

drawing from freshwater, and $8,400 for facilities drawing from estuaries and the Great Lakes.

For visual inspections, EPA assumes that the Track I facilities will employ remote monitoring 

devices to monitor the equipment performance. The cost for the remote monitoring device 

includes $33,250 (Haught and Panguluri, 1998) for purchase of equipment and $16,750 for 

installation and testing of equipment, for an adjusted total of $58,000.

For annual O&M costs, EPA assumes again that the analysis of impingement monitoring 

samples will be done on-site, while entrainment monitoring samples will be performed by an 

outside laboratory. Entrainment samples are estimated to cost $8,400 per year for freshwater 

facilities, and an estimated $11,000 per year for facilities drawing from estuaries or the Great 

Lakes.

In general, the labor costs and O&M costs reported in this analysis are assumed to represent 

typical average national cost estimates that are likely to be incurred by new facilities and by 

permitting authorities. EPA attempted to take into account various factors such as decreases in 

labor efficiency that occur during extreme climate conditions, equipment down time, and the 

occasional sample that might need to be replaced because it was lost or spoiled during transport. 

The Tables 6-1 and 6-2 provide a summary of both the estimated labor costs and ODCs per 

facility. For a more detailed presentation of all compliance costs for facilities see Exhibits A.1 

and A.2 in Appendix A.
Draft Renewal of the New Facility Rule Information Collection Request 35

Table 6-1. Burden and Costs per Facility for NPDES Permit Application Activities

Activities Burden 

(hrs)

Labor 

Cost ($)

ODC ($)

Start-up Activities 43 $2,759 $55 

General Information Activities 146 $7,072 $540 

CWIS Flow Requirement 104 $4,330 $110 

Source Water Baseline Biological Characterization 265 $14,687 $810 

CWIS Velocity Requirement (Track I) 138 $7,001 $1,080 

CWIS Flow Reduction Requirement (Track I) 108 $4,877 $435 

Design and Construction Technology Plan (Track I) 108 $5,666 $55 

Comprehensive Study Plan (Track II) 271 $15,869 $810 

Source Water Biological Characterization-Freshwater (Track 

II)*

5,196 $301,013 $5,600 

Source Water Biological Characterization-Estuary & Great 

Lake (Track II)*

9,368 $529,677 $14,100 

Evaluation of Potential CWIS Effects - Freshwater (Track II)* 1,626 $104,021 $1,100 

Evaluation of Potential CWIS Effects - Estuary & Great Lake 

(Track II)*

1,950 $121,414 $1,100 

Verification Monitoring Plan 128 $7,660 $435 

*This activity also has contracted service costs associated with it

Table 6-2. Burden and Costs per Facility for Annual Monitoring and Reporting Activities

Activities Burden 

(hrs)

Labor 

Cost ($)

ODC ($)

Verification Monitoring- Freshwater (Track II) 92 $6,678 $540 

Verification Monitoring- Estuary (Track II) 122 $8,930 $540 

Initial Biological Monitoring (impingement) Freshwater 379 $22,769 $540 

Reduced Biological Monitoring (impingement) Freshwater 191 11507.8 270

Initial Biological Monitoring (entrainment)Freshwater* 482 $28,952 $705 

Reduced Biological Monitoring (entrainment)Freshwater* 244 $14,728 353

Initial Biological Monitoring (impingement) Estuary 614 $37,389 1080

Reduced Biological Monitoring (impingement) Estuary 308 $18,778 540

Initial Biological Monitoring (entrainment) Estuary* 776 $46,689 1245

Reduced Biological Monitoring (entrainment) Estuary* 392 $23,616 622.5

Velocity Monitoring 163 $7,005 $110 

Visual Inspection of CWIS Technology 253 $11,988 $110 

Yearly Status Report Activities 348 $23,121 $810 

*This activity also has contracted service costs associated with it.
Draft Renewal of the New Facility Rule Information Collection Request 36

Table 6-3. Burden and Costs per Facility for NPDES Permit Renewal Activities

Activities Burden 

(hrs)

Labor 

Cost ($)

ODC ($)

Start-up Activities 13 $883 $55

General Information Activities 72 $3,726 $540

CWIS Flow Requirement 31 $1,272 $110

Source Water Baseline Biological Characterization 79 $4,447 $810

CWIS Velocity Requirement (Track I) 75 $3,749 $1,080

CWIS Flow Reduction Requirement (Track I) 108 $4,877 $435

Design and Construction Technology Plan (Track I) 43 $2,240 $55

Comprehensive Study Plan (Track II) 80 $4,626 $810

Source Water Biological Characterization - Freshwater (Track 

II)*

2,808 $158,111 $3,400

Source Water Biological Characterization - Estuary & Great 

Lake (Track II)*

5,268 $292,142 $8,400

*This activity also has contracted service costs associated with it.

Director O&M Costs

EPA does not anticipate any operation and maintenance costs for Directors under this rule. Table 

6-4 provides estimates of Director ODCs and labor costs. For a more detailed explanation of 

Director costs see Exhibit A.3.

Table 6-4. Estimating Director Burden and Costs for Activities

Activities Burden 

(hrs)

Labor 

Cost ($)

ODC ($)

Director Permit Issuance Activities for Track I Facility 188 $10,180 $325

Director Permit Issuance Activities for Track II Facility 646 $41,485 $325

Verification Study Review (per Facility) 21 $1,017 $55

Annual Director Activities (per Facility) 50 $2,461 $55

Director Repermitting Activities for Track I Facility 55 $3,054 $325

Director Repermitting Activities for Track II Facility 143 $8,999 $325

6c Estimating Agency Burden and Costs

As mentioned previously, there are 47 States and Territories authorized to administer the NPDES 

permitting program. For new in-scope facilities applying for permits in the 9 unauthorized States 

and Territories, EPA will incur the costs and burdens similar to those incurred by States with 

permitting authority. This analysis, however, assumes that facilities complying with the rule 

during the ICR period will be in NPDES authorized States. 

EPA typically reviews NPDES permits in the early stages of implementation of new regulations. 

Based on historical reports submitted for 316(b) demonstrations, EPA assumes that it will take 

approximately 30 hours to perform a detailed review, make comments, and follow up on 

comments for the 316(b) portions of a State issued NPDES permit. Table 6-5 summarizes 

Federal burden and cost estimates. Further detail is provided in Exhibit A.4.
Draft Renewal of the New Facility Rule Information Collection Request 37

Table 6-5. Estimating Federal Burden and Costs for Activities

Activities Burden 

(hrs)

Labor 

Cost ($)

ODC($)

Federal Permit Program Oversight Activities for Track I 

Permitted Facility

28 $1,348 $55

Federal Permit Program Oversight Activities for Track II 

Permitted Facility

42 $2,067 $55

6d Estimating the Respondent Universe and Total Burden and 

Costs

During the three years of the second ICR renewal period, there are an estimated 68 facilities 

along with 47 States and Territories that the section 316(b) New Facility Rule will affect. The 

rule would require each respondent to comply with one or more provisions. In turn, each 

provision has numerous activities associated with it. Exhibits A.5 and A.6 in Appendix A 

provide an estimate of the number of respondents and responses expected for each provision of 

the rule during each year covered by this ICR. The annual estimates are based on the compliance 

schedule used to estimate the cost of the final rule. In addition, Exhibits A.7-A.10 provide a 

summary of the respondent burdens and costs for each year covered by this ICR. These estimates 

were calculated by multiplying facility and Director level burden and cost estimates in A.1-A.3 

by the number of respondents in A.5.

6e Bottom Line Burden Hours and Costs Tables

This section provides a description of bottom line data collection and record keeping burden and 

cost estimates for implementation of the final rule.

6e(i) Respondent Tally

The bottom line burden hours and costs for facilities and Directors are the total annual hours and 

costs collectively incurred for all activities during the 3-year period covered by this ICR. Table 

6-6 provides a summary of the average annual number of respondents, burden hours, and costs. 

A more detailed summary can be found in Exhibit A.11. 

Table 6-6. Summary of Average Annual Respondents, Responses, Burden, and Costs for Facilities 

and Directors for the 3-Year Period Covered by this ICR

Average 

Annual

Respondents*

Average 

Annual 

Burden 

(hours) 

Average 

Annual 

Labor 

Costs 

(2010$)

Average 

Annual 

Capital 

Costs 

(2010$)

Average 

Annual 

O&M

Costs 

(2010$)

Total 

Average 

Annual 

Costs 

(2010$)

Facilities* 81 131,188 $7,663,444 $1,021,223 $1,493,118 $10,177,785 

State Directors 47 7,233 $398,027 $0 $6,327 $404,354 

Totals 128 138,421 $8,061,471 $1,021,223 $1,499,445 $10,582,139 

* Facilities for each year are 53, 60, and 68 (181/3=60.33). State Director for each year is 46

6e(ii) Agency Tally

The bottom line burden hours and costs for the Federal agency are the total annual hours and 

costs collectively incurred for all activities during the period covered by this ICR. Table 6-7 
Draft Renewal of the New Facility Rule Information Collection Request 38

provides a summary of the average annual agency burden hours, and costs. A more detailed 

summary can be found in Exhibit A.11. 

Table 6-7. Summary of Average Annual Respondents, Responses, Burden, and Costs for Federal 

Agency for the 3-Year Period Covered by this ICR

Average Annual 

Burden (hours) 

Average Annual 

Labor Costs 

(2010$)

Average Annual 

O&M Costs 

(2010$)

Total Average 

Annual Costs 

(2010$)

Agency Totals 220 $10,710 $385 $11,095 

6f Reasons For Change In Burden

The respondent average annual burden increased by 20,212 hours (from 118,209 to 138,421

hours) which represents a 17% increase and the total average annual number of respondents 

increased by 22 (from 106 to 128) respondents, for a 20.8% increase. The increase is due to:

 Addition of the newly built facilities: 21 new facilities are anticipated to file initial permit 

application. Activities related to these initial permit applications account for 1,037 hours 

for facilities and 194 for directors over the previous ICR estimate.

 Continued performance of annual activities by facilities that received their permit during 

previous ICR periods: As more facilities are permitted, more facilities are required to 

perform annual activities. Activities related to these recurring activities account for 4,702

hours for facilities and 1,067 hours for directors over the previous ICR estimate.

 Re-permitting burdens: more facilities are entering the renewal phase of their permits 

(i.e., 5 years after the last permit was issued). Activities related to these re-permitting 

activities account for 12,366 hours for facilities and 848 hours for directors over the 

previous ICR estimate

6g Burden Statement

The annual average reporting and record keeping burden for the collection of information by

facilities responding to the section 316(b) New Facility Rule is estimated to be 1,620 hours per 

respondent (i.e., an annual average of 131,188 hours of burden divided among an anticipated 

annual average of 81 facilities). The Director reporting and record keeping burden for the review, 

oversight, and administration of the rule is estimated to average 154 hours per respondent (i.e., 

an annual average of 7,233 hours of burden divided among an anticipated 47 States on average 

per year). 

Burden means the total time, effort, or financial resources expended by persons to generate, 

maintain, or disclose or provide information to or for a Federal agency. This includes the time 

needed to review instructions; develop, acquire, install, and utilize technology and systems for 

the purposes of collecting, validating, and verifying information, processing and maintaining 

information, and disclosing and providing information; adjust the existing ways to comply with 

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

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

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

sponsor, and a person is not required to respond to, a collection of information unless it displays 
Draft Renewal of the New Facility Rule Information Collection Request 39

a currently valid OMB control number. The OMB control number for EPA’s regulations are 

listed in 40 CFR part 9 and 48 CFR chapter 15.

To comment on EPA’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, the Agency has established a public docket for this ICR under Docket ID 

No. EPA-HQ-OW-2004-0027, which is available for public viewing at the Water Docket in the 

EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, 

Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 

p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading 

Room is 202-566-1744, and the telephone number for the Water Docket is 202-566-2426. An 

electronic version of the public docket is available through the Federal Docket Management 

System (FDMS) at http://www.regulations.gov/. Use FDMS to submit or view public comments, 

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

public docket that are available electronically. Once in the system, key in the docket ID number 

identified above. You can also send comments to the Office of Information and Regulatory

Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, 

Attention: Desk Office for EPA. Please include the EPA Docket ID No. EPA-HQ-OW-2004-

0027 and OMB Control No. 2040-0241 in any correspondence

Part B of the Supporting Statement is not applicable because no statistical methods were used in 

collecting this information.
Draft Renewal of the New Facility Rule Information Collection Request

Appendix A

Respondent Burden and Cost Analysis Spreadsheets

ICR for Cooling Water Intake Structures New Facility Rule
Draft Renewal of the New Facility Rule Information Collection Request

Appendix B

NAICS and SIC Codes for Nonutility Power Producers
Draft Renewal of the New Facility Rule Information Collection Request B-1

Steam Electric Nonindustrial Nonutility Power Producers1

This industrial sector contains various reported NAICS and SIC codes2. The following table 

documents the specific industry sectors covered and their associated NAICS and SIC code.

3 to 6 Digit 

NAICS Code

2 Digit SIC 

Code

3 or 4 Digit SIC 

Code

Industry Sector

111--- 01 0100 Agriculture Production – crops

112--- 02 0200 Agriculture Production – livestock

2122-- 10 1000 Metal Mining

211--- 13 1300 Oil and Gas Extraction

2123-- 14 1400 Nonmetallic minerals, except fuels

311---, 312---

3115--

3113--

20 2000

202-

206-

Food and Kindred Products

3122-- 21 2100 Tobacco Manufacturers

313---, 315--- 22 2200 Textile and Mill Products

3152--, 3159--, 

314---

23 2300 Apparel and other textile products

321---

3211--, 

3219--

24 2400

242-

Lumber and Wood Products, Except Furniture

337---

3371---, 

3372---

25 2500

251-

Furniture and fixtures

322---

32212-

322130

26 2600

2621

2631

Paper and Allied Products, Paper Mills, Except 

Building Paper Paperboard Mills

325---

32541-

3251--

3251--

325211

325---

325311

28 2800

283-

286-

2819

2821

2869

2873

Chemicals and Allied Products, Industrial 

Inorganic Chemicals, Plastic Materials and 

Resins, Industrial Organic Chemicals, 

Nitrogenous Fertilizers

324---

32411-

324110

29 2900

291-

2911

Petroleum Refining and Related Industries, 

Petroleum Refining

326---, 339---

32622-, 

33999-

30 3000

305-

Rubber and miscellaneous plastics

316--- 31 3100 Leather and leather products

327---

327310

32 3200

3241

Stone, Clay, Glass, and Concrete Products, 

Cement, Hydraulic

331---

331---

331111, 

331221, 

324199

331312

33 3300

331-

3312

3334

Primary Metals Industries, Blast Furnaces and 

Steel Mills, Primary Aluminum

332---, 333---, 34 3400 Fabricated metal products
Draft Renewal of the New Facility Rule Information Collection Request B-2

3 to 6 Digit 

NAICS Code

2 Digit SIC 

Code

3 or 4 Digit SIC 

Code

Industry Sector

336---

333---, 332---, 

334---, 336---

35 3500 Industrial machinery and equipment

334---, 335--- 36 3600 Electrical and electronic equipment

336--- 37 3700 Transportation equipment

334---, 339--- 38 3800 Instruments and related products

339---, 332--- 39 3900 Miscellaneous manufacturing industries

482--- 40 4000 Rail transportation

483---, 488--- 44 4400 Water transportation

481---, 488--- 45 4500 Transportation by air

488--- 47 4700 Transportation services

221---, 562---

2213--, 

562---

49 4900

495-

Electric, Gas, and Sanitary Services (except 

4911)

221310 4941 Water Supply

221320 4952 Sewerage System

56221- 4953 Refuse System

531--- 65 6500 Real estate

561---, 532---, 

541---, 711---, 

812---

73 7300 Business services

621---, 622---, 

623---

80 8000 Health Services

611---6112--, 

6113--

82 8200

822-

Educational Services

624---, 813--- 83 8300 Social services

541--- 87 8700 Engineering and management services

814--- 88 8800 Private households

541--- 89 8900 Miscellaneous services

921--- 91 9100 Public Administration

1 Source of data is Form EIA-867

2 In changing from an SIC code-based system to an NAICS code-based one, all industries were restructured and 

redefined. As a result, there may not be a direct conversion of some industries, as portions of an industry may be 

restructured to another category. This table identifies the primary NAICS codes for the listed industry sectors, but 

EPA notes that the NAICS codes for some industries may not be included.