Final Information 

Collection Request for

Disinfectants/Disinfection 

Byproducts, Chemical, 

and Radionuclides Rule

Collection Request for the 

infection 

Byproducts, Chemical, 

and Radionuclides Rule

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TABLE OF CONTENTS

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

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

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

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

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

2(b) Uses/Users of the Data ................................................................................................... 8

2(b)(i) Uses of the Data ................................................................................................ 8

2(b)(ii) Users of the Data............................................................................................. 10

3 NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA.. 11

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

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

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

3(d) Effects of Less Frequent Collection.............................................................................. 14

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

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

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

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

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

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

4(b)(i) Data Items......................................................................................................... 15

4(b)(ii) Respondent Activities...................................................................................... 43

5 INFORMATION COLLECTED — AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT............................................ 56

5(a) Agency Activities.......................................................................................................... 56

5(b) Collection Methodology and Management................................................................... 57

5(c) Small Entity Flexibility................................................................................................. 58

5(d) Collection Schedule ...................................................................................................... 60

6 ESTIMATING BURDEN AND COST OF COLLECTION.................................................. 62

6(a) Respondent Burden....................................................................................................... 63

6(a)(i) Burden to Public Water Systems..................................................................... 63

6(a)(ii) Burden to Primacy Agencies........................................................................... 66

6(b) Respondent Costs.......................................................................................................... 68

6(b)(i) Cost to Public Water Systems.......................................................................... 68

6(b)(ii) Cost to Primacy Agencies............................................................................... 68

6(c) Agency Burden and Costs............................................................................................. 70

6(d) Estimating Respondent Universe and Total Burden and Costs.................................... 70

6(e) Bottom Line Burden Hours and Costs.......................................................................... 71

6(f) Reasons for Change in Burden ..................................................................................... 72

6(f)(i) Restructuring Adjustments................................................................................ 73

6(f)(ii) Other Burden Adjustments............................................................................... 74

6(g) Burden Statement.......................................................................................................... 77
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LIST OF EXHIBITS

Exhibit 1: Structure of OGWDW ICRs......................................................................................... 6

Exhibit 2: PWS Recordkeeping and Reporting Requirements ................................................... 16

Exhibit 3: Primacy Agency Recordkeeping and Reporting Requirements.................................. 21

Exhibit 4: Regulated Organic Compounds and Inorganic Chemicals......................................... 50

Exhibit 5: EPA Requirements...................................................................................................... 57

Exhibit 6: Collection Schedule .................................................................................................... 61

Exhibit 7: Annual PWS Burden and Cost January 1, 2012 – December 31, 2014...................... 69

Exhibit 8: Annual Primacy Agency Burden and Cost January 1, 2012 – December 31, 2014 ... 70

Exhibit 9: Bottom Line Annual Burden and Cost January 1, 2012 – December 31, 2014.......... 72

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

Agency Burden) ........................................................................................................ 73

Exhibit 11: Restructuring Adjustments to the Annual Burden Inventoryfor the 

DDBP/Chem/Rads Rules ICR(Includes both PWS and Primacy Agency Burden).. 74

Exhibit 12: Adjustments to PWS Burden from Previous ICR Estimates .................................... 75

Exhibit 13: Adjustments to Primacy Agency Burden from Previous ICR Estimates.................. 76

Exhibit 14: Adjustments to Annual Burden Carried Forward from Previous ICR Estimates 

(Includes both PWS and Primacy Agency Burden).................................................. 77
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LIST OF FIGURES

Figure 1: Structure of OGWDW ICRs...............................................................5
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APPENDICES

Appendix A. Federal Register Notices Soliciting Comment on Information Collection Requests

Appendix B. Stage 1 Disinfectants/Disinfection Byproducts Rule Spreadsheets

Appendix C. Stage 2 Disinfectants/Disinfection Byproducts Rule Spreadsheets

Appendix D. Chemical Phase Regulation Spreadsheets

Appendix E. Radionuclides Rule Spreadsheets

Appendix F. Disinfectant Residual Monitoring and Associated Activities under the Surface

Water Treatment Rule Spreadsheets 

Appendix G. Arsenic Rule Spreadsheets

Appendix H. Lead and Copper Rule Spreadsheets
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ACRONYMS

AMWA Association of Metropolitan Water Agencies

AWWA American Water Works Association

ASDWA Association of State Drinking Water Administrators

BATs Best Available Technologies 

BLS Bureau of Labor Statistics

CCR Consumer Confidence Report

CDC Centers for Disease Control and Prevention 

CFR Code of Federal Regulations 

CT Contact Time

CCT Corrosion Control Treatment

CWS Community Water System 

CWSS Community Water System Survey

DBP Disinfection Byproduct 

DBPR Disinfectants and Disinfection Byproducts Rule 

DDBP/Chem/Rads Disinfectants and Disinfection Byproducts, Chemical, and Radionuclides 

Rules

DWSRF Drinking Water State Revolving Fund

EA Economic Analysis

EPA Environmental Protection Agency

FR Federal Register 

GWR Ground Water Rule

HAA5 Haloacetic Acids 

ICR Information Collection Request

IDSE Initial Distribution System Evaluation 

IESWTR Interim Enhanced Surface Water Treatment Rule

IOCs Inorganic Compounds

LCR Lead and Copper Rule 

LCRMR Lead and Copper Rule Minor Revisions 

LSL Lead Service Line

LSLR Lead Service Line Replacement

LT1ESWTR Long Term 1 Enhanced Surface Water Treatment Rule

LT2ESWTR Long Term 2 Enhanced Surface Water Treatment Rule

MCL Maximum Contaminant Level

MCLG Maximum Contaminant Level Goal

MDL Method Detection Limit

MRDL Maximum Residual Disinfection Level

mrem Millirem

NAICS North American Industry Classification System

NDWAC National Drinking Water Advisory Council 

NPDWRs National Primary Drinking Water Regulations 

NTNCWS Nontransient Noncommunity Water System 

OECA Office of Enforcement and Compliance Assurance

OGWDW Office of Ground Water and Drinking Water 

O&M Operation and Maintenance
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OMB Office of Management and Budget 

pCi/L PicoCuries per liter

PN Public Notification

PRA Paperwork Reduction Act 

PWS Public Water System

PWSS Public Water System Supervision

RegNeg Regulatory Negotiation

RFA Regulatory Flexibility Analysis

SBREFA Small Business Regulatory Enforcement Fairness Act

SDWA Safe Drinking Water Act

SDWIS Safe Drinking Water Information System

SMF Standardized Monitoring Framework

SNC Significant Non-Compliance

SOCs Synthetic Organic Compounds

SWAP Source Water Assessment Program

SWTR Surface Water Treatment Rule

TCR Total Coliform Rule

TOC Total Organic Carbon

TNCWS Transient Noncommunity Water System

TTHM Total Trihalomethane

UCMR Unregulated Contaminant Monitoring Rule

UIC Underground Injection Program

VOCs Volatile Organic Compounds 

WQP Water Quality Parameter
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1 IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title and Number of the Information Collection

Title: Disinfectants/Disinfection Byproducts, Chemical and Radionuclides (Renewal)

OMB Control Number: 2040-0204

EPA Tracking Number: 1896.09

1(b) Short Characterization

The Office of Ground Water and Drinking Water (OGWDW) in the Office of Water at 

the United States Environmental Protection Agency (EPA or the Agency) is responsible for 

managing the Public Water System Supervision (PWSS) Program, a national program mandated 

by the Safe Drinking Water Act (SDWA). Section 1412 of the SDWA requires EPA to establish 

National Primary Drinking Water Regulations (NPDWRs) for contaminants that may adversely 

impact human health. The Act further requires EPA to monitor and enforce these regulations to 

ensure that the nation’s drinking water dependably complies with the maximum contaminant 

levels (MCLs) or maximum residual disinfectant levels (MRDLs), as stipulated in the Code of 

Federal Regulations (CFR), 40 CFR Part 141, Subpart B. 

Section 1445 of the SDWA stipulates that every drinking water supplier must conduct 

monitoring, maintain records, and provide such information as is needed for EPA to implement 

its monitoring and enforcement responsibilities with respect to the Act. State1governments—in 

those States that have assumed primary enforcement responsibility (i.e., primacy) for public 

water systems (PWSs) under the SDWA Section 1413—ensure that PWSs are complying with 

these monitoring requirements. As part of the PWSS Program, the OGWDW uses the Safe 

Drinking Water Information System (SDWIS) to record some of the data collected as a result of 

NPDWR requirements. SDWIS is a database management system that assists EPA in tracking 

and interpreting monitoring data and other program-related data. These data assist EPA in 

fulfilling its SDWA obligations. 

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

2005 version of EPA’s Guide to Writing Information Collection Requests Under the Paperwork 

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

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

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

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

guidelines. 

 

1 Throughout this document, the terms “State” or “States” are used to refer to all types of primacy agencies. There 

are currently 57 primacy entities, including the 50 States, the District of Columbia, U.S. territories (Puerto Rico, 

U.S. Virgin Islands, Guam, American Samoa, and Northern Marianas), and the Navajo Nation. Though Wyoming 

and the District of Columbia do not have primacy, the EPA burden for these activities counts as primacy agency 

burden.
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Many information collection requirements associated with SDWA and its implementing 

regulations are associated with rulemakings that address specific contaminants or groups of 

contaminants. This ICR examines PWS, primacy agency, and EPA burden and cost for chemical 

regulations only. Microbial contaminants, such as those regulated under the Total Coliform Rule 

(TCR), are addressed in the Microbial Rules ICR (OMB No. 2040-0205). Cross-cutting 

recordkeeping and reporting requirements—i.e., the burden and cost for complying with drinking 

water information requirements that are not associated with contaminant-specific rulemakings—

are addressed in the PWSS Program ICR (OMB No. 2040-0090). Future chemical-related 

rulemaking burden will be added to this ICR after the regulations are finalized and the initial, 

rule-specific, ICRs have expired. 

The specific chemical regulations addressed in this ICR include the following—

1) Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR)

2) Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR)

3) Chemical Phase Rules (Phases II/IIB/V)

4) Radionuclides Rule

5) Disinfectant Residual Monitoring and Associated Activities under the

Surface Water Treatment Rule (SWTR)2

6) Arsenic Rule

7) Lead and Copper Rule (LCR), including the Lead and Copper Rule Short Term 

Revisions

This ICR estimates burden and costs for January 1, 2012–December 31, 2014. 

The total annual burden associated with this ICR is estimated to be 5,734,335 hours per 

year. The total annual cost associated with this ICR is estimated to be approximately $436

million. The distribution of annual burden between PWSs and primacy agencies is 

approximately 3,787,528 hours and 1,946,807 hours, respectively (numbers may not add due to 

rounding). The distribution of annual costs between PWSs and primacy agencies is 

approximately $350 million and $85 million, respectively. There is no Agency burden or cost. 

Section 6 and Appendices B through H provide details of all burden and cost estimates. 

The approximate annual operation and maintenance (O&M) and capital costs are $230

million ($225 million for O&M and $5.0 million for capital). This represents the “cost burden” 

as reported in the OMB inventory. 

The total annual number of respondents for this ICR is 153,036. Fifty-seven of these 

respondents are primacy agencies and the remaining 152,979 respondents are existing PWSs. 

The total annual number of responses for these respondents is 12,837,827 (11,899,451 for PWSs 

and 938,376 for primacy agencies).

 

2

Includes only the SWTR components relating to disinfectant residual monitoring and associated activities. All 

remaining SWTR requirements are included in the Microbial Rules ICR.
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2 NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

This section identifies the regulatory or statutory authority for the information collection 

activities covered in this ICR and explains EPA’s need for the information. A summary of the 

major types of recordkeeping and reporting requirements for chemical contaminants covered by

this ICR is provided in Section 4 of this ICR. 

To allow the public to better understand the impact of the recordkeeping and reporting 

requirements stemming from the SDWA and 40 CFR Parts 141 and 142, OGWDW has 

organized its ICRs so that related activities are addressed in the same ICR. Specifically, there 

are three primary ICRs —the Microbial Rules ICR, the Disinfectants/Disinfection Byproducts, 

Chemical and Radionuclides Rules (DDBP/Chem/Rads Rules) ICR, and the Public Water 

Systems Supervision Program (PWSS Program) ICR. The Microbial Rules ICR includes rules 

addressing microbial contaminants, such as the Total Coliform Rule (TCR), Surface Water 

Treatment Rule (SWTR), and the Ground Water Rule (GWR). The PWSS Program ICR 

includes public notification and rules and programs addressing cross-cutting requirements that 

are not contaminant-specific. The DDBP/Chem/Rads Rules ICR includes rules addressing 

chemical contaminants. The specific chemical regulations addressed in this ICR are—

1) Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR)

2) Stage 2 Disinfectants and Disinfection Byproducts Rule (Stage 2 DBPR)

3) Chemical Phase Rules (Phases II/IIB/V)

4) Radionuclides Rule

5) Disinfectant Residual Monitoring and Associated Activities under the Surface

Water Treatment Rule (SWTR)3

6) Arsenic Rule

7) Lead and Copper Rule (LCR), including the Lead and Copper Rule Short Term 

Revisions

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

new rules. 

For a graphical depiction of the structure of the OGWDW ICRs, see Figure 1. A 

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

drinking water program ICRs, is included as Exhibit 1.

The 1986 Amendments to SDWA required the Agency to publish maximum contaminant 

level goals (MCLGs) and promulgate NPDWRs for 83 specific contaminants. Promulgation of 

the chemical-related rules contained in this ICR complies with the statutory requirements for 

some of these contaminants. Promulgation of the Stage 1 and Stage 2 DBPRs and the Arsenic 

Rule complies with the amended (1996) statutory requirements for these contaminants. 

 

3

Includes only SWTR components relating to disinfectant residual monitoring and associated activities. All 

remaining SWTR requirements are included in the Microbial Rules ICR.
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In addition, the 1986 SDWA Amendments required the EPA to propose and promulgate a 

NPDWR specifying criteria under which filtration would be required as a treatment technique for 

public water systems supplied by surface water sources (Section 1412 (b)(7)(C)(i)). 

Promulgation of the SWTR satisfied this SDWA requirement. The SWTR includes disinfection 

residual monitoring requirements that are addressed in this ICR.

The information collected under this ICR is required by EPA to carry out its monitoring 

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

on chemical contaminants present in drinking water, the Agency would not be able to meet the 

SDWA statutory requirements.

§ 1401 of the SDWA requires that—

there must be criteria and standards to assure a supply of drinking water which dependably 

complies with such maximum contaminant levels; including quality control and testing 

procedures to insure compliance with such levels and to insure proper operation and 

maintenance of the system...

Further, §1445 of the SDWA requires that—

every person who is a supplier of water shall establish and maintain such records, make such 

reports, conduct such monitoring, and provide such information as the Administrator may 

reasonably require by regulation to assist him in establishing regulations, in determining 

whether such person has acted or is in compliance with this title...

In addition, §1401(1)(d) of the SDWA 1986 Amendments defines NPDWRs to include 

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

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

procedures ...” This section authorizes EPA to require systems and laboratories to use Agencyapproved methods and quality assurance criteria for collecting and analyzing water samples.
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Exhibit 1

Structure of OGWDW ICRs

Currently covered To be covered in the future

PWSS Program ICR (2040-0090)

Consumer Confidence Reports (CCRs)

Variances & Exemptions

Capacity Development Program

General State Primacy Activities 

Public Notification (PN)

Operator Certification Expense Reimbursement 

Grants Program

Tribal Operator Certification

Constructed Conveyances

Proficiency Testing

Microbial Rules ICR (2040-0205)

Surface Water Treatment Rule, except disinfectant 

residual monitoring and associated activities4 Aircraft Drinking Water Rule5

Total Coliform Rule Revised Total Coliform Rule

Interim Enhanced Surface Water Treatment Rule 

(IESWTR) 

Filter Backwash Recycling Rule

Long Term 1 Enhanced Surface Water Treatment 

Rule (LT1ESWTR)

Long Term 2 Enhanced Surface Water Treatment 

Rule (LT2ESWTR)

Ground Water Rule

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

Stage 1 Disinfectants and Disinfection Byproducts 

Rule

Disinfectant Residual Monitoring and associated 

activities under the SWTR

Stage 2 DBPR

Chemical Phase Rules

Radionuclides Rule 

Arsenic Rule

Lead and Copper Rule

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

SWAP

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

UIC Base Program Activities Class VI Geologic Sequestration Rule

Class V Rule

Florida Class I Rule

 

4 Disinfectant residual monitoring and associated activities are included in the DDBP/Chem/Rads Rules ICR.

5 Burden and Costs from the ADWR ICR will be incorporated into the 2012 Microbial Rules ICR, which will be 

updated under a subsequent Work Assignment.
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Currently covered To be covered in the future

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

Drinking Water State Revolving Fund Program

Drinking Water Infrastructure Needs Survey ICR (2040-0274)

2011 Needs Survey

Title VI of the Public Health Security and Bioterrorism Preparedness and Response Act of 2002: 

Drinking Water Security and Safety ICR (2040-0253)

Vulnerability Assessments and Emergency 

Response Plans for community water systems 

(CWSs).

Unregulated Contaminant Monitoring Rule ICR (2040-0270)

Monitoring of Unregulated Contaminants

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

0246)

Proficiency Testing Program for Laboratories 

Analyzing Cryptosporidium Samples

To implement its compliance oversight and enforcement responsibilities under the 

SDWA, EPA requires PWSs to monitor for various drinking water contaminants. The results of 

this monitoring must be reported to primacy agencies, which in turn report a specified subset of 

this information in SDWIS. Additionally, both PWSs and primacy agencies must maintain 

records of analytic results and other related activities (e.g., sanitary survey results). Without 

comprehensive, up-to-date information on drinking water contamination (as provided by

SDWIS), EPA would not be able to ensure a supply of drinking water that dependably complies 

with such maximum contaminant levels. If these monitoring requirements were voluntary, EPA 

would not receive timely, comprehensive data on contaminant levels and associated acute and 

long-term public health risks. Specifically, voluntary monitoring would not—

 Reliably occur with sufficient frequency.

 Follow uniform national standards on quality of sampling, collection, and 

analysis.

 Ensure that monitoring addresses all contaminants listed in the regulations.

Thus, without this information collection, EPA would not be able to ensure safe drinking water 

for the nation.

Additionally, EPA uses SDWIS data to estimate the costs of new regulations and to 

conduct economic and policy analyses that promote cost-effective regulatory approaches. These 

uses are discussed in more detail in Section 2(b) below.

Section 4 of the ICR contains a summary of the major types of chemical contaminant 

recordkeeping and reporting requirements, as mandated by 40 CFR Parts 141 and 142. 

Specifically, most reporting required by PWSs can be found in §§141.31, 141.34, and 141.35.
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Most recordkeeping requirements for PWSs are codified in §141.33, which requires that the 

results of chemical analyses be kept for a period of at least 10 years. Reporting and 

recordkeeping required by States can be found in §§142.15 and 142.14, respectively. 

2(b) Uses/Users of the Data

2(b)(i) Uses of the Data

Primary users of the data collected under this ICR are EPA, PWS managers, and primacy

agencies, which include State regulators, Indian Tribes, and, in some instances, EPA Regional 

Administrators. This section contains more information about how chemical-related data are 

used specifically for analytical monitoring, regulatory enforcement, oversight of State programs, 

implementation assistance, economic and policy analyses, and other Agency and public data 

evaluations. Each of these functions is discussed in greater detail below.

Analytical Monitoring

PWSs maintain records on the analytical results of monitoring and use these data to—

 Evaluate the quality of water delivered to customers. 

 Examine treatment efficacy. 

 Determine compliance with national standards.

 Modify monitoring frequencies, schedules, and variances to address potential 

health risks.

 Alert the public, through notices in the mass media or water bills, when the 

system is not in compliance with Federal and State regulations so that they may

take actions to minimize exposure to potentially harmful drinking water 

contaminants.6

Quarterly and annual reports that primacy agencies must submit to EPA include PWS 

information, enforcement information and analytical results for certain violations of the 

NPDWRs. This reporting is required to establish primacy and maintain eligibility for grants. All 

of this information is stored in SDWIS, which supports overall maintenance and retrieval of 

information. 

Regulatory Enforcement

Using SDWIS, system-level compliance data may be compared from year to year and 

trends in compliance data can be evaluated at the system, State, and national program levels. 

Primacy agencies are responsible for enforcement activities and can use SDWIS data to track 

compliance progress in their jurisdictions, to identify enforcement targets and systems requiring 

remedial action, and to monitor progress of capacity development strategies. The primacy

agency must also track enforcement actions issued against each PWS not in compliance with 

 

6 The burden associated with implementing the public notification requirements is currently addressed in the PWSS 

Program ICR (OMB No. 2040-0090).
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drinking water standards and evaluate the system’s status in meeting schedules designed to 

return the PWS to compliance. 

On a quarterly basis, EPA uses the Enforcement Tracking Tool (ETT) to generate a list of 

PWSs that are considered “priority systems” for enforcement. Together the Enforcement 

Response Policy (ERP) and ETT will prioritize and direct enforcement response to systems with 

the most systemic noncompliance by considering all violations incurred by a system in a 

comprehensive way. The policy and tool identify priority systems for enforcement response, 

provide a model to escalate responses to violations; define timely and appropriate actions; and 

clarify what constitutes a formal action. If a State has failed to take timely and appropriate 

action, EPA may become directly involved in enforcement by issuing an administrative order. If 

the system does not comply with the order, EPA may seek an administrative penalty or court 

action. EPA may also take action against a PWS before it is in SNC.

Oversight of State Programs

State reporting is a condition for maintaining primacy. Primacy agencies play a crucial 

role in implementing the SDWA, and EPA is charged with overseeing the performance of these 

States. Generally, EPA Regional Offices perform this duty and use SDWIS data to develop 

summary statistics on individual State performance.

 

Implementation Assistance

EPA and primacy agencies also use the data collected to assist small systems in 

implementing SDWA requirements, including developing variances and exemptions and 

evaluating PWS capacity. If a PWS is unable to meet standard requirements due to source water 

quality or affordability concerns, a variance or exemption may be issued to allow the system to 

comply with slightly different drinking water standards or implementation schedules that are still 

protective of public health. Capacity development is a State effort to help all drinking water 

systems, particularly small systems, improve their finances, management, infrastructure, and 

operations. This helps ensure that safe drinking water is provided, consistently, reliably, and 

cost-effectively. 
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Economic and Policy Analyses

SDWIS data are used extensively in developing economic analyses (EAs) of proposed 

new regulations or revisions of existing regulations. The data help to determine a system’s 

susceptibility and vulnerability to contaminants, as well as the potential for co-occurrence of 

contaminants. Data are also used by OGWDW to conduct analyses used in developing new 

policies, regulations, and guidance documents. When analyzing economic or financial impacts 

on the water supply industry or consumers, EPA uses compliance data from SDWIS, together 

with other national survey data, to estimate the number of systems that would have to install 

treatment technologies or apply contamination reduction measures to reduce public health risks. 

Without such data, EPA would be unable to predict costs and benefits that systems would incur 

under new or revised regulations. 

2(b)(ii) Users of the Data

The information collected by EPA is made available to the public upon request, as 

required by the Freedom of Information Act (40 CFR, Chapter 1, Part 2). In some cases, the 

SDWA requires that the information be provided to the public or primacy agency. Other 

organizations that utilize the data include—

 Staff from other EPA programs (such as Superfund, the Resource Conservation 

and Recovery Act, and the OECA)

 The Federal Emergency Management Administration

 Centers for Disease Control and Prevention (CDC)

 Military bases

 Farmers Home Administration

 Department of Interior

 Department of Housing and Urban Development

 U.S. Army Corps of Engineers

 White House Task Forces

 American Water Works Association (AWWA)

 Association of Metropolitan Water Agencies (AMWA)

 National Rural Water Association

 National Association of Water Companies

 Association of State Drinking Water Administrators (ASDWA)

 Natural Resources Defense Council
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3 NON-DUPLICATION, CONSULTATIONS, AND OTHER 

COLLECTION CRITERIA

3(a) Non-duplication

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

are not duplicated. EPA has consulted State environmental programs, other Federal agencies 

(such as CDC), and regulated entities (such as PWSs and their representative trade associations). 

To the best of EPA's knowledge, data currently required by the SDWA (and its implementing 

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

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

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

this ICR for a 60-day period before it was submitted to OMB. Specifically, on July 5, 2011 EPA 

published a notice in the Federal Register (FR) requesting comment on the estimated respondent 

burden and other aspects of this ICR (76 FR 39092, see Appendix A). EPA did not receive any 

comments during the 60-day comment period.

An additional FR notice will be published prior to submission of this ICR to OMB. The 

public comment period for this additional notice is 30 days.

3(c) Consultations

As a standard regulatory development practice to promote public involvement, EPA 

formally solicits public comment on proposed drinking water rules. Before any rule is finalized, 

EPA logs and evaluates all written comments on proposed rules. Additionally, EPA usually

holds public meetings during which any interested party may provide oral testimony for Agency

consideration. Such meetings are typically announced in the FR notice accompanying the 

proposed rule.

In the initial phases of program development, or to confirm assumptions on which rules 

or guidelines are based, EPA often augments formal meetings with other workshops or meetings 

to gather information. Throughout the development and implementation of various chemical 

regulations, OGWDW held numerous meetings with interested stakeholders, including State, 

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

needed to fulfill SDWA obligations. Specific examples of meetings EPA held to address the 

chemical regulations contained in this ICR include—
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 Consultations held for Chemical Phase Regulations, including—

 July 12, 1989, meeting in Washington, DC for the Phase II and IIB Rules.

 September 25, 1990, meeting in Washington, DC for the Phase V Rule.

 A Radionuclides stakeholder meeting on December 11-12, 1997. EPA consulted 

with a broad range of stakeholders and technical experts during the meeting and 

discussed a range of regulation development issues, including statutory

requirements, the court-stipulated agreement, MCLs for each of the radionuclides, 

new scientific information on health effects, occurrence, analytical methods, 

treatment technologies, and the current and proposed monitoring framework. 

Participants in EPA’s stakeholder meeting included representatives from AMWA, 

ASDWA, AWWA, National Association of Water Companies, States, Federal 

agencies, environmental groups, and city water systems. 

 To develop the Stage 1 DBPR, EPA instituted a formal regulatory negotiation 

(RegNeg) process in 1992 with potentially affected parties (57 FR 53866; Nov 13, 

1992). This RegNeg Committee included representatives from the water and other 

industries, State public health and regulatory agencies, environmental groups, 

consumer groups, and EPA.

 Development of the 2001 Revised Arsenic Rule included stakeholder meetings, 

held with the intent of collecting input from those directly affected by the 

revisions to the arsenic MCL and to the monitoring requirements. The Agency

held four meetings to discuss revisions to the proposed arsenic rule:

 September 11-12, 1997 - Washington, DC;

 February 25, 1998 - San Antonio, Texas, following a 2-day AWWA

workshop on inorganics;

 May 5, 1998 - Monterey, California; and

 June 2-3, 1999 - Washington, DC (including a half-day conference call)

 In developing the final version of the 1991 LCR, EPA consulted with the National 

Drinking Water Advisory Council (NDWAC) and requested comments from its 

Science Advisory Board. The monitoring requirements of the LCR reflect 

comments made by the drinking water industry. In addition, during the comment 

period for the 1991 LCR, approximately 28,000 comments were received from 

approximately 3,000 individuals and organizations. 

 More recently, EPA developed the Lead and Copper Rule Minor Revisions 

(LCRMR) (promulgated in January 2000) and held the following meetings, 

consultations, and work group discussions to address these modifications: 
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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 The LCRMR workgroup (comprised of EPA Headquarters and Regional 

staff as well as State drinking water officials) was established in 1993 and 

held several discussions throughout development of the LCRMR.

 Several EPA-sponsored stakeholder meetings were held to discuss burden 

reduction efforts and development of the LCRMR. 

 OGWDW 's Data Sharing Committee worked with several States and 

ASDWA to revise primacy agency reporting requirements based on 

comments received on the April 1996 proposed changes.

 In 1998, prior to publishing additional notices for comment, EPA provided 

national, local, and tribal organizations with brief articles for inclusion in 

their newsletters. These articles announced EPA’s plans to publish the 

notices and encouraged readers to provide comment on the additional 

regulatory options, which would be described in those notices. 

 EPA coordinated closely with States and several national organizations to 

provide copies of the August 18, 1998, proposed rule directly to water 

systems most likely to be affected by the regulatory options discussed in 

the notice. This included all water systems serving more than 50,000 

people and any smaller water system likely to continue to exceed an action 

level after the installation of corrosion control treatment. 

 During February 1999, EPA consulted with a State Unfunded Mandates 

Reform Act panel regarding the revised ICR burden and cost estimates for 

the LCR and LCRMR and assumptions used to derive these estimates. 

 In 2007, EPA promulgated short term changes to the Lead and Copper Rule,

identified through a comprehensive national review of compliance and 

implementation of the LCR. In conducting this review, EPA consulted with a 

wide range of interested parties. The comprehensive review consisted of several 

elements, including a series of workshops designed to elicit issues, comments, and 

suggestions from stakeholders on particular topics, and a review of LCR 

implementation by States and utilities.

 The Stage 2 DBPR is the result of a lengthy regulatory negotiation process that 

began in the Spring of 1999. To address the public health concerns necessitating 

promulgation of the Stage 2 DBPR, EPA explored a number of regulatory

alternatives with the M-DBP Advisory Committee, an advisory group to EPA, 

which was convened under the FACA. 

As part of the revision of the DDBP/Chems/Rads ICR, in the summer of 2011 EPA 

consulted with representatives of PWSs and States regarding the accuracy of EPA’s burden 

estimates. EPA compiled a spreadsheet with burden estimates for each activity for each rule and 

provided the file to AWWA, AMWA, ASDWA, NAWC, and NRWA. AWWA, AMWA, and 

ASDWA in turn consulted a small sample of their members for feedback on the estimates. 

ASDWA, AMWA, NAWC, and AWWA submitted revised burden estimates. In general, 

ASDWA felt that EPA’s estimates were reasonable. AMWA felt that in some cases EPA 

underestimated the amount of time large systems needed to for monitoring activities. ASDWA 
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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felt that in a few cases, EPA slightly underestimated the amount of time States needed to review 

reports submitted by systems.

For information collection requirements for which comments were received, EPA 

compiled the suggested estimates and prepared revised burden estimates. The end of each 

appendix to this ICR contains a table summarizing the original and revised burden estimates.

Since the regulations covered by this ICR are not new, the typical consultations, 

workshops, and meetings held for proposed rules were not held immediately prior to the 

development of this document. 

3(d) Effects of Less Frequent Collection

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

has chosen to require the least frequent collection that remains consistent with the overall goal of 

protecting public health. If data are collected less frequently, primacy agencies may not identify

in a timely fashion significant contaminant concentrations that might threaten the health and 

safety of drinking water consumers.

For some rules, the primacy agency has discretion in adjusting monitoring schedules, 

where possible (e.g. by granting waivers or reducing the monitoring frequency/sites). 

Monitoring frequencies have been carefully devised based on the following— 

 Type of contaminant.

 Type and size of system.

 System vulnerability.

 Contaminant history.

 Factors contributing to DBP formation (Stage 1 DBPR only).

3(e) General Guidelines

This ICR was prepared in accordance with the November 2005 version of the ICR 

Handbook prepared by EPA’s Office of Environmental Information, Office of Information 

Collection, Collection Strategies Division. The ICR Handbook provides the most current 

instructions for ICR preparation to ensure compliance with the 1995 PRA amendments and 

OMB’s implementing guidelines.

3(f) Confidentiality 

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

3(g) Sensitive Questions

No information of a sensitive nature will be collected as a result of this ICR.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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4 RESPONDENTS AND INFORMATION REQUESTED

4(a) Respondents/NAICS Codes

Data associated with this ICR are collected and maintained at the PWS, State, and 

Federal levels. Respondents include—

 Owners/operators of PWSs, who must report to their primacy agency.

 Primacy agencies, which include States, Tribes (if they have been authorized to 

act as primacy agencies), and EPA Regions that act as primacy agencies in Indian 

lands and States that do not have primacy.

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

The NAICS codes for State agencies that include drinking water programs are 92411 

(Administration of Air and Water Resources and Solid Waste Management Programs) or 92312 

(Administration of Public Health Programs). Ancillary systems (i.e., those that supplement the 

function of other establishments like factories, power plants, mobile home parks, etc.) cannot be 

categorized in a single NAICS code. For ancillary systems, the NAICS code is that of the 

primary establishment or industry.

4(b) Information Requested

4(b)(i) Data Items

The data items that respondents will collect in implementing their responsibilities under 

the chemical-related drinking water regulations included in this ICR are summarized below. 

Each PWS is required to report to its primacy agency monitoring results received from 

laboratories. In addition, as required by §141.33, PWSs must either maintain analytical reports 

or transfer the following information regarding sample results to a tabular summary—

 Date, place, and time of sampling. 

 Name of the person who collected the sample.

 Identification of the sample as a routine distribution system sample, check sample, 

raw or process water sample, or other special purpose sample.

 Date of analysis.

 Laboratory and person responsible for performing analysis.

 Contaminants for which the analysis was performed.

 Analytical technique/method used.

 Results of the analysis. 

PWSs are required to submit and keep records on additional information such as public 

education on lead, monitoring plans, waiver applications, and disinfection calculations. 

Exhibit 2 further describes the respondent information collection requirements covered 

by the DDBP/Chem/Rads Rules ICR. 
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Exhibit 2

PWS Recordkeeping and Reporting Requirements

Requirement Regulatory Citation Frequency/ Retention Period

General Requirements (apply to all regulations)

Reporting 

Except where a different period is specified in an individual drinking water regulation, PWSs are required

to submit the following to the State:

Results of any test measurement 

or analysis required in 40 CFR 

Part 141.

40 CFR 141.31(a) At the end of the required 

monitoring period

Failure to comply with any 

NPDWR, including failure to 

monitor.

40 CFR 141.31(b) and (c)

As necessary, unless State lab 

performs analysis and reports 

results to State

Copies of records required to be 

maintained under 141.33 and/or 

copies of documents that the 

State is entitled to under Section 

1445 of SDWA or State law.

40 CFR 141.31(e) As requested

Recordkeeping

Except where a different period is specified in an individual drinking water regulation, PWSs are required 

to retain the following information:

Records of bacteriological or 

chemical analyses and related 

information.

40 CFR 141.33(a)

5 years for bacteriological data; 

10 years for chemical data

Records of actions taken by the 

PWS to correct violations of 

NPDWRs.

40 CFR 141.33(b) 3 years after last action taken 

related to the violation

Copies of any written reports,

summaries, or communications 

relating to sanitary surveys

40 CFR 141.33(c) 10 years

Records concerning a variance 

or exemption granted. 40 CFR 141.33(d) 5 years following the expiration of the variance or exemption

Stage 1 DBPR

Reporting

Report to the State specified 

sampling information (including 

MCL or MRDL exceedances) 

about disinfectants, disinfection 

byproducts, and disinfection 

byproduct precursors.

40 CFR 141.134(a) through (d)

Quarterly or as necessary for 

systems sampling less frequently 

than quarterly

Develop and submit application 

to State for approval of 

alternative minimum total organic 

carbon (TOC) removal levels.

40 CFR 141.135(b)(3)and (4) As necessary

Develop and submit application 

to State for approval of waiver of 

enhanced coagulation 

requirements.

40 CFR 141.135(b)(4)(v) One time

Stage 2 DBPR

Reporting
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Requirement Regulatory Citation Frequency/ Retention Period

Recordkeeping

Records of Initial Distribution 

System Evaluation (IDSE)

Reports

40 CFR 141.601(c)(4) Ten years

Results of operational 

evaluations to be discussed with 

States

40 CFR 141.626 Ten years

Chemical Phase Rules (Phases II, IIB, and V)

Reporting 

Apply to State for asbestos 

monitoring waiver. 40 CFR 141.23(b)(2) and (4) Every 3 years, if applicable

Apply to State for inorganic 

compound (IOC) monitoring 

waiver.

40 CFR 141.23(c)(2) and (3) Every 9 years, if applicable

Apply to the State to conduct 

more frequent IOC monitoring. 40 CFR 141.23(h) One time, if applicable

Apply to State for VOC 

monitoring waiver. 40 CFR 141.24(f)(7) and (10) Every 6 years or frequency specified by State, if applicable

Apply to State for SOC 

monitoring waiver.

40 CFR 141.24(h)(5) and 

141.24(h)(7)(iv) Every 3 years, if applicable

Notify State of MCL 

exceedances. 40 CFR 141.23(m) through (o) As necessary

Submit written treatment 

technique certification to State 

regarding acrylamide and 

epichlorohydrin levels.

40 CFR 141.111 Annually, if applicable

Radionuclides 

Reporting

Notify State of MCL exceedances 

for contaminants specified in 

141.66(b)-(e).

40 CFR 141.26(c)(5) As necessary

SWTR (only disinfection residual monitoring and associated activities)

Unfiltered Systems – Reporting

Disinfection information specified 

in 141.74(b) 40 CFR 141.75(a)(2)

Within 10 days after the end of 

each month the system serves 

water to the public

Filtered Systems - Reporting

Disinfection information specified 

in 141.74(c) 40 CFR 141.75(b)(2)

Within 10 days after the end of 

each month the system serves 

water to the public

Arsenic Rule

Subject to general requirements as listed above.

Lead and Copper Rule, Including October 2008 Short Term Revisions

Reporting

Report to the State any 

information required by the 

treatment provisions in Subpart I 

(especially 40 CFR 141.90).

40 CFR 141.80(i) As required

Tap water and water quality parameters (WQP) monitoring requirements 

Water systems that exceed the 40 CFR 141.84(b) & (c) As necessary
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Requirement Regulatory Citation Frequency/ Retention Period

lead action level must reevaluate 

lead service lines classified as 

“replaced” through testing if they 

resume lead service line 

replacement programs.

Allows systems with less than 5 

taps to take one sample per tap if 

approved by State.

40 CFR 141.86 (c)

141.80(c)(3)(v) One time

Report the specified information 

for all tap water samples and all 

WQP samples.

40 CFR 141.90(a)(1) End of the applicable monitoring 

period

Provide written documentation to 

the State identifying standing 

times and locations for enough 

non-first-draw samples to make 

up its sampling pool under 

§141.86(b)(5). 

40 CFR 141.90(a)(2)(i) As necessary

If the State has waived prior 

approval of non-first-draw sample 

sites selected by the system, 

identify, in writing, each site that 

did not meet the six-hour 

minimum standing time and the 

length of standing time for that 

particular substitute sample.

40 CFR 141.90(a)(2)(ii) As necessary

For a water system deemed to 

have optimized corrosion control, 

a water system subject to 

reduced monitoring, or a water 

system subject to a monitoring 

waiver, send written 

documentation to the State 

describing any addition of a new 

source or any change in water 

treatment. 

40 CFR 141.81(b)(3)(iii); As necessary

For a water system, prohibit 

systems that exceed the lead 

action level from initiating or 

remaining on reduced monitoring 

based solely on results of water 

quality parameter monitoring

40 CFR 141.86(d)(4)(vi)(B)

As necessary

For any small water system 

applying for a monitoring waiver, 

provide documentation to the 

State demonstrating that it meets 

the waiver criteria.

40 CFR 141.90(a)(4)(i) As necessary

For each small system desiring 

to maintain its monitoring waiver, 

provide written information to the 

State. 

40 CFR 141.90(a)(4)(ii) Every 9 years

For each small system with a 

monitoring waiver, provide 

written notification to the State if 

the system is no longer free of 

40 CFR 141.90(a)(4)(iii) As necessary, within 60 days 

after becoming aware of change
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Requirement Regulatory Citation Frequency/ Retention Period

lead-containing or coppercontaining materials. 

For each ground water system 

that limits WQP monitoring to a 

subset of entry points, provide 

written correspondence to the 

State that identifies selected 

entry points and includes 

information sufficient to 

demonstrate that the sites are 

representative of water quality 

and treatment conditions 

throughout the system.

40 CFR 141.90(a)(5) One time, as necessary

Provide the specified information 

to the State if the State 

calculates the 90th percentile 

concentrations.

40 CFR 141.90(h)(2) End of monitoring period

Source water monitoring reporting requirements

Report the sampling results for 

all source water samples 

collected in accordance with 

§141.88.

40 CFR 141.90(b)(1) End of monitoring period 

Specify any site which was not 

sampled during the previous 

monitoring period and explain 

why the sampling point has 

changed.

40 CFR 141.90(b)(2)

As necessary, end of monitoring 

period

Corrosion control treatment reporting requirements

For systems demonstrating 

optimized corrosion control, 

provide the State information 

demonstrating that the PWS has 

conducted activities equivalent to 

the applicable corrosion control 

steps.

40 CFR 141.81(b)(2), 

141.90(c)(1) One time, as necessary

For systems demonstrating 

optimized corrosion control, 

submit results of tap water 

monitoring and source water 

monitoring. 

40 CFR 141.81(b)(3) As necessary

For systems deemed to have 

optimized corrosion control, 

notify the State in writing prior to 

any change in treatment or of the 

addition of a new source.

40 CFR 141.81(b)(3)(iii) 

141.86(d)(4)(vii); 

141.86(g)(4)(iii); 

141.90(a)(3)

As necessary

Submit monitoring results that 

show two consecutive monitoring 

periods that meet both lead and 

copper action levels.

40 CFR 141.81(c) As necessary

Request in writing a modification 

of optimal corrosion control 

treatment (CCT).

40 CFR 141.82(h) As necessary
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Requirement Regulatory Citation Frequency/ Retention Period

For systems required to evaluate 

the effectiveness of CCTs, report 

the information required by 

§141.82(c). 

40 CFR 141.90(c)(3) As necessary

For systems required to install 

optimal corrosion control, submit 

a letter certifying that the system 

has completed installation. 

40 CFR 141.90(c)(4) As necessary

Source water treatment reporting requirements

Provide to the State a 

recommendation regarding 

source water treatment.

40 CFR 141.83(a)(1),

40 CFR 141.83(b)(1),

40 CFR 141.90(d)(1)

As necessary, within 6 months of 

exceeding action level

Request in writing a modification 

of source water treatment or 

maximum permissible lead and 

copper concentrations.

40 CFR 141.83(b)(6) As necessary

For systems required to install 

source water treatment, submit a 

letter certifying that the system 

has completed installation of the 

designated treatment. 

40 CFR 141.90(d)(2)

As necessary, within 24 months 

after State designates treatment

Public education program reporting requirements

Deliver written public education 

materials if a water system 

exceeds the lead action level 

based on tap water samples.

40 CFR 141.85(a) & (c)

As necessary, timing varies by 

type of system

Broadcast public service 

announcements if a CWS

exceeds the lead action level 

based on tap water samples.

40 CFR 141.85(b) & (c) As necessary

Water systems that exceed the 

lead action level must provide 

information to additional at-risk 

populations and must conduct 

specified public education 

activities. Water systems must 

include a statement on lead in 

their CCR. Water systems certify

to State that activities have been 

conducted.

40 CFR 141.85(a) & (b);141.154 As necessary

Apply to the State in writing to 

alter specified public education 

language (CWSs only).

40 CFR 141.85(c)(7) As necessary

Water systems must provide 

consumers who occupy homes 

or buildings that are part of the 

utility’s monitoring program, with 

testing results when their drinking 

water is tested for lead and 

copper. Water systems certify to 

State that results have been 

40 CFR 141.80(g); 141.85(d); 

141.90(f)(3) As necessary
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Requirement Regulatory Citation Frequency/ Retention Period

distributed.

For any water system that is 

subject to public education 

requirements, send written 

documentation to the State that 

contains specified information. 

40 CFR 141.90(f)(1) As necessary; end of each public 

education period

Primacy agencies review and maintain records on monitoring results. They also approve 

or review monitoring plans, waivers, treatment changes, public education, and other documents 

submitted by PWSs. In addition, States report compliance and enforcement data to EPA, and 

they apply to EPA for primacy to implement new drinking water regulations. Reporting and 

recordkeeping requirements for States are described in more detail in Exhibit 3.

Exhibit 3

Primacy Agency Recordkeeping and Reporting Requirements

Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

General Requirements (apply to all regulations)

Reporting

Submit 

reports to the 

Administrator 

containing 

new 

violations by 

PWS and 

new 

enforcement 

actions by 

States that 

occurred 

during the 

previous 

quarter.

40 CFR 142.15(a)(1) and (2) Quarterly

Recordkeeping

Maintain 

records of 

tests, 

measuremen

ts, analyses, 

decisions, 

and 

determination

s performed 

on each 

PWS to 

determine 

compliance 

with 

applicable 

40 CFR 142.14(a) Varies 
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

provisions of 

State primary 

drinking 

water 

regulations.

Retain files, 

which shall 

include for 

each PWS in 

the State, 

records of 

any State 

approvals 

and records 

of any 

enforcement 

actions.

40 CFR 142.14(d)(2) and (3) 12 years

Stage 1 DBPR 

Reporting 

Review and 

make 

determination 

regarding 

approval of 

application 

for use of 

alternative 

minimum

TOC removal 

levels.

40 CFR 141.135(b)(1) As necessary

Review and 

make 

determination 

regarding 

application 

for approval 

of waiver of 

enhanced 

coagulation 

requirements

.

40 CFR 141.135(b)(4)(v) One time, as 

necessary

Recordkeeping

Records of 

the currently 

applicable or 

most recent 

State 

determination

s, including 

all supporting 

information 

40 CFR 142.14(d)(12) 12 years
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

and an 

explanation 

of the 

technical 

basis for 

each 

decision, 

made under 

the following 

provisions of 

40 CFR part 

141, subpart 

L for the 

control of 

disinfectants 

and 

disinfection 

byproducts. 

Records of 

systems that 

are installing 

granular 

activated 

carbon or 

membrane 

technology. 

40 CFR 142.14(d)(12)(i) 12 years

Records of 

systems that 

are required, 

by the State, 

to meet 

alternative 

minimum

TOC removal 

requirements 

or for whom 

the State has 

determined 

that the 

source water 

is not 

amenable to 

enhanced 

coagulation.

40 CFR 142.14(d)(12)(ii)................................................................................................ 12 years

Records of 

subpart H 

systems 

using 

conventional 

treatment 

meeting any 

40 CFR 142.14(d)(12)(iii) 12 years
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

of the 

alternative 

compliance 

criteria.

A register of 

qualified 

operators 

that have met 

the State 

requirements

.

40 CFR 142.14(d)(12)(iv)................................................................................................ 12 years

Records of 

systems with 

multiple wells 

considered to 

be one 

treatment 

plant.

40 CFR 142.14(d)(13) 12 years

Monitoring 

plans for 

subpart H 

systems 

serving more 

than 3,300 

persons.

40 CFR 142.14(d)(14) 12 years

List of 

laboratories 

approved for 

analyses.

40 CFR 142.14(d)(15) 12 years

List of 

systems 

required to 

monitor for 

disinfectants 

and 

disinfection 

byproducts in 

accordance 

with part 141, 

subpart L.

40 CFR 142.14(d)(16) 12 years

Stage 2 DBPR 

Recordkeepi

ng

A record of 

all current 

monitoring 

requirements 

and the most 

recent 

monitoring 

frequency 

40 CFR 142.14(a)(8) In perpetuity, until 

replaced or 

revised
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

decision 

pertaining to 

the 

contaminant

Records of 

IDSE 

monitoring 

plans 

submitted by 

PWSs plus 

any 

modifications

, until 

replaced by 

approved 

IDSE reports.

40 CFR 142.14(a)(8)(i) In perpetuity, until 

replaced or 

revised

Records of 

IDSE reports 

and 40/30 

certifications 

and any 

modifications 

required by 

the State, 

until replaced 

or revised.

40 CFR 142.14(a)(8)(ii) In perpetuity, until 

replaced or 

revised

Operational 

evaluations 

submitted by 

a system.

40 CFR 142.14(a)(8)(iii) Ten years

Special 

Primacy 

Requiremen

ts

An 

application 

for approval 

of a State 

program 

revision that 

adopts 40 

CFR part 

141, subpart 

L, must 

contain a 

description of 

how the 

State will 

accomplish 

the program 

requirements

.

40 CFR 142.16(h) One time
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

Chemical Phase Rules (Phases II, IIB, and V)

Reporting 

Make 

determination 

regarding 

asbestos 

waiver 

requests.

40 CFR 141.23(b)(3) and (4) 3 years, as 

necessary

Make 

determination 

regarding 

IOC waiver 

requests.

40 CFR 141.23(c)(2) through (4) 9 years, as 

necessary

Make 

determination 

regarding 

volatile 

organic 

compounds 

(VOC)

waiver.

40 CFR 141.24(f)(7), (8), and (10) 6 years or 

frequency 

specified by State, 

as necessary

Make 

determination 

regarding

synthetic 

organic 

compounds 

(SOC) waiver 

requests.

40 CFR 141.24(h)(5) and (6) 3 years, as 

necessary

Recordkeeping

Records for 

most recent 

vulnerability 

determination

, including 

monitoring 

results and 

other data 

supporting 

the 

determination

, the State’s 

findings, and 

any 

additional 

bases for 

such 

determination

. 

40 CFR 142.14(d)(4) In perpetuity or 

until more current 

vulnerability 

determination has 

been issued
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

Records of 

all current 

monitoring 

requirements 

and most 

recent 

monitoring 

frequency 

decision 

pertaining to 

each 

contaminant, 

including the 

monitoring 

results and 

other data 

supporting 

the decision, 

the State’s 

findings, and 

any 

additional 

bases for 

such 

decision. 

40 CFR 142.14(d)(5) In perpetuity or 

until a more recent 

monitoring 

frequency decision 

has been issued

Records of 

most recent 

asbestos 

repeat 

monitoring 

determination

, including 

monitoring 

results and 

other data 

supporting 

the 

determination

, the State’s 

findings, and 

any 

additional 

bases for the 

determination 

and the 

repeat 

monitoring 

frequency.

40 CFR 142.14(d)(6) In perpetuity or 

until more current 

repeat monitoring 

determination has 

been issued

Records of 

annual 

certifications 

received from 

40 CFR 142.14(d)(7) 12 years
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

systems 

pursuant to 

part 141, 

subpart K 

demonstratin

g the 

system’s 

compliance 

with the 

treatment 

techniques 

for 

acrylamide 

and/or 

epichlorohydr

in.

Radionuclides 

Reporting

Evaluate and 

draft written 

response for 

a system 

request to 

use historical 

monitoring 

data.

40 CFR 141.26(a)(2)(ii)(C) As necessary

Determine 

whether to 

designate a 

system as 

vulnerable 

and notify 

system of the 

determination

.

40 CFR 141.26(b)(1) As necessary

Designate 

system using 

waters 

contaminated 

by nuclear 

facility 

effluent and 

notify system 

of 

determination

.

40 CFR 141.26(b)(2) As necessary

Recordkeeping

Subject to general requirements as listed above.

SWTR (only disinfection residual monitoring and associated activities)

Reporting

Subject to general requirements as listed above

Recordkeeping
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

Records of 

disinfectant 

residual 

measuremen

ts and other 

parameters 

necessary to 

document 

disinfection 

effectiveness

.

40 CFR 142.14(a)(4)(i) 1 year

Records of 

decisions to 

allow an 

unfiltered or 

filtered, 

respectively, 

PWS to 

sample 

residual 

disinfectant 

concentration 

at alternate 

locations if it 

also has 

ground water 

source(s).

40 CFR 142.14(a)(4)(ii)(A)(4) and (6), respectively 40 years, or 1 year 

after decision is 

reversed or 

revised

Records of 

any decision 

that a 

violation of 

monthly 

contact time 

(CT)

compliance 

requirements 

was caused 

by

circumstance

s that were 

unusual and 

unpredictable

.

40 CFR 142.14(a)(4)(ii)(B)(1) 1 year

Records of 

any decision 

that a 

violation of 

the 

disinfection 

effectiveness 

criteria was 

not caused 

by a 

deficiency in 

40 CFR 142.14(a)(4)(ii)(B)(2) 1 year
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

treatment of 

the source 

water.

Records of 

any decision 

that failure to 

meet the 

disinfectant 

residual 

concentration 

requirements 

of 

141.72(a)(3)(i

) was caused 

by

circumstance

s that were 

unusual and 

unpredictable

. A copy of 

the decision 

must be 

provided to 

the system.

40 CFR 142.14(a)(4)(ii)(C)(2) 40 years, unless 

filtration is 

installed

Records of 

decisions 

that an 

unfiltered or 

filtered 

system has 

no means for 

having a 

sample 

transported 

and analyzed 

for 

heterotrophic 

plate count 

by a certified 

laboratory 

under the 

requisite time 

and 

temperature 

conditions 

and that the 

system is 

providing 

adequate 

disinfection in 

the 

distribution 

system, so 

that the 

40 CFR 142.14(a)(4)(ii)(C)(9) and (10), respectively Until the decision 

is reversed or 

revised
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

disinfection 

requirements 

do not apply, 

and the basis 

for the 

decision. A 

copy of the 

decision 

must be 

provided to 

the system.

Records of 

decisions 

that a system 

using a 

disinfectant 

other than 

chlorine may 

use CT 99.9 

values other 

than those in 

tables 2.1 or 

3.1 and /or 

other 

operational 

parameters 

to determine 

if the 

minimum

total 

inactivation 

rates are 

being met. A 

copy of the 

decision 

must be 

provided to 

the system.

40 CFR 142.14(a)(4)(ii)(C)(13) Until the decision 

is reversed or 

revised
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

Arsenic 

Rule

Reporting

Subject to 

general 

requirements 

as listed 

above

Recordkeepi

ng

Subject to 

general 

requirements 

as listed 

above

Lead and Copper Rule

Reporting

Notify the 

system after 

an approval 

decision has 

been made in 

regards to 

the system’s 

request to

add a new 

source of 

water or 

change a 

treatment 

process prior 

to 

implementati

on.

40 CFR 141.81(b)(3)(iii);

141.86(d)(4)(vii); 141.86(g)(4)(iii); 141.90(a)(3)

As necessary

Provide 

written notice 

to PWSs 

explaining 

the basis for 

determining if 

the PWS has 

optimized 

corrosion 

control and 

specifying 

the water 

quality 

control 

parameters 

that 

represent 

optimal 

corrosion 

40 CFR 141.81(b)(2) As necessary
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

control.

Notify a 

system in 

writing of any 

determination 

requiring a 

system to 

repeat 

treatment 

steps 

previously 

completed.

40 CFR 141.81(c) As necessary

Specify 

corrosion 

control 

studies or 

optimal CCT 

(after a small 

or medium 

system 

exceeds the 

lead or 

copper action 

level).

40 CFR 141.81(e)(2) Within 18 months 

(medium systems) 

or 24 months 

(small systems) of 

exceedance

Designate 

optimal CCT 

(if a small or 

medium

system has 

performed 

corrosion 

control 

studies).

40 CFR 141.81(e)(4) As necessary, 

within 6 months of 

system completing 

studies

For small and 

medium

systems, 

designate 

optimal water 

quality 

parameters.

40 CFR 141.81(e)(7) As necessary, 

within 6 months of 

system completing 

follow-up sampling

Notify PWSs 

in writing of 

decisions on 

optimal CCT.

40 CFR 141.82(d)(2) As necessary

Modify 

determination

s of optimal 

CCT in 

writing.

40 CFR 141.82(h) As necessary or 

as requested

Notify the 

system in 

writing of 

determination

40 CFR 141.83(a)(2),141.83(b)(2) As necessary, 

within 6 months of 

submission of 

monitoring results
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

s regarding 

necessary 

source water 

treatment.

Notify the 

system in 

writing of 

designations 

for maximum 

permissible 

source water 

levels.

40 CFR 141.83(a)(5), 141.83(b)(4) As necessary 

within 6 months of 

completing tap 

and source water 

monitoring.

Provide in 

writing 

revised 

source water 

treatment or 

maximum

permissible 

lead and 

copper 

concentration

s along with 

a basis for 

the decision 

and an 

implementati

on schedule.

40 CFR 141.83(b)(6) As necessary or 

as requested

Review 

public 

education 

materials 

content and 

consult on 

activities. 

Review and 

track system 

certification.

40 CFR 141.85(a) As necessary

Notify a 

system in 

writing if a 

shorter LSLR 

schedule is 

required.

40 CFR 141.84(e) As necessary, 

within 6 months 

after system 

triggered into 

LSLR

Review and 

track system 

certification 

regarding 

distribution of 

tap samples 

to individual 

monitoring 

locations.

40 CFR 141.80(g); 141.85(d); 141.90(f)(3) As necessary
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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

Notify the 

system of 

approval of 

non-firstdraw sample 

sites.

40 CFR 141.86(b)(5) As necessary

If applicable, 

review 

system 

request and 

approve in 

writing or by 

site 

verification 

the number 

of taps for 

sampling.

40 CFR 141.80(c)(3)(v); 141.86 (c) One time

Specify 

sampling 

locations 

when a 

system is 

conducting 

reduced 

monitoring.

40 CFR 141.86(c) As necessary

Notify the 

system in 

writing when 

the State 

determines 

that a system 

is eligible to 

commence 

reduced 

monitoring.

40 CFR 141.86(d)(4)(ii) & (iii) As necessary

Notify system 

of alternate 

period for 

collecting 

reduced lead 

and copper 

tap samples.

40 CFR 141.86(d)(4)(iv)(B) As necessary

Document in 

writing the 

decision and 

rationale for 

invalidating a 

sample.

40 CFR 141.86(f)(3) As necessary 

Notify the 

system in 

writing of its 

waiver 

determination 

40 CFR 141.86(g)(3) As necessary
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

and the 

conditions of 

the waiver.

Notify a 

system if its 

waiver has 

been 

revoked.

40 CFR 141.86(g)(5)(iii) As necessary

Review 

additional 

monitoring 

data and 

reports from 

systems that 

have 

exceeded the 

lead action 

level.

40 CFR 141.86(d)(4)(vi)(B)

As necessary

Report to EPA the following information related to each system’s compliance with lead and copper 

requirements:

For each 

large and 

medium

PWS, all 90th 

percentile 

lead levels 

calculated 

during each 

monitoring 

period, and 

the first and 

last day of 

the 

monitoring 

period for 

which the 

90th 

percentile 

lead level 

was 

calculated.

40 CFR 142.15(c)(4)(iii)(A) Quarterly

For each 

small PWS, 

the 90th 

percentile 

lead level 

calculated 

during each 

monitoring 

period in 

which the 

systems 

exceeds the 

40 CFR 142.15(c)(4)(iii)(B) Quarterly
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

lead action 

level, and the 

first and last 

day of each 

monitoring 

period in 

which an 

exceedance 

occurred.

For each 

PWS, the 

90th 

percentile 

copper level 

calculated 

during each 

monitoring 

period in 

which the 

system 

exceeds the 

copper action 

level, and the 

first and last 

day of each 

monitoring 

period in 

which an 

exceedance 

occurred.

40 CFR 142.15(c)(4)(iii)(C) Quarterly

For each 

PWS for 

which the 

State has 

designated 

optimal water 

quality 

parameters 

or which the 

State has 

deemed to 

have 

optimized 

corrosion 

control, the 

date of the 

determination 

and the 

paragraph(s) 

under which 

the State 

made its 

determination

.

40 CFR 142.15(c)(4)(iii)(D) Quarterly
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

For each 

PWS 

required to 

begin 

replacing 

lead service 

lines (LSLs), 

the date each 

system must 

begin 

replacement.

40 CFR 142.15(c)(4)(iii)(E) Quarterly

For each 

PWS that 

has 

implemented 

optimal 

corrosion 

control, 

completed 

applicable 

source water 

treatment 

requirements 

or completed 

lead service 

line 

replacement 

(LSLR) 

requirements 

and the date 

of the State's 

determination 

that these 

requirements 

have been 

met.

40 CFR 142.15(c)(4)(iii)(F) Quarterly

Recordkeeping

Maintain 

records of 

currently 

applicable or 

most recent 

State 

determination

s, including 

all supporting 

information 

and 

explanation 

of technical

basis for 

each 

decision.

40 CFR 142.14(d)(8) 12 years
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

For any 

system 

deemed to 

be optimized, 

maintain 

records of 

any 

conditions 

imposed by 

the State to 

ensure the 

continued 

operation 

and 

maintenance 

of CCT in 

place.

40 CFR 142.14(d)(8)(i) 12 years

Maintain 

records of 

decisions to 

require a 

system to 

conduct CCT 

studies.

40 CFR 142.14(d)(8)(ii) 12 years

Maintain 

records of 

designations 

of optimal 

CCT. 

40 CFR 142.14(d)(8)(iii) 12 years

Maintain 

records of 

designations 

of optimal 

WQPs.

40 CFR 142.14(d)(8)(iv) 12 years

Maintain 

records of 

decisions to 

modify a 

PWS’s 

optimal CCT 

or WQPs.

40 CFR 142.14(d)(8)(v) 12 years

Maintain 

records of 

determination

s of source 

water 

treatment.

40 CFR 142.14(d)(8)(vi) 12 years

Maintain 

records of 

designations 

of maximum 

permissible 

concentration

40 CFR 142.14(d)(8)(vii) 12 years
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

s of lead and 

copper in 

source water.

Maintain 

records of 

determination

s establishing 

shorter LSLR 

schedules.

40 CFR 142.14(d)(8)(viii) 12 years

Maintain 

records of 

determination

s of 

additional 

monitoring 

requirements 

and/or other 

actions 

required to 

maintain 

optimal 

corrosion 

control by 

systems 

monitoring 

for lead and 

copper at the 

tap less 

frequently 

than once 

every six 

months that 

change 

treatment or 

add a new 

source of 

water.

40 CFR 142.14(d)(8)(ix) 12 years

Maintain 

records of 

systemspecific 

decisions 

regarding the 

content of 

written public 

education 

materials 

and/or the 

distribution of 

these 

materials.

40 CFR 142.14(d)(8)(x) 12 years

Maintain 

records of 

system40 CFR 142.14(d)(8)(xi) 12 years
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

specific 

determination

s regarding 

use of nonfirst-draw 

samples at 

NTNCWSs 

and CWSs 

that operate 

24 hours a 

day. 

Maintain 

records of 

systemspecific 

designations 

of sampling 

locations for 

systems 

subject to 

reduced 

monitoring.

40 CFR 142.14(d)(8)(xii) 12 years

Maintain 

records of 

systemspecific 

determination

s pertaining 

to alternative 

sample 

collection 

periods for 

systems 

subject to 

reduced 

monitoring.

40 CFR 142.14(d)(8)(xiii) 12 years

Maintain 

records of 

determination

s of small 

system 

monitoring 

waivers, 

waiver 

recertification

s, and waiver 

revocations.

40 CFR 142.14(d)(8)(xiv) 12 years
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

Maintain 

records of 

determination

s regarding 

representativ

e entry point 

locations at 

ground water 

systems.

40 CFR 142.14(d)(8)(xv) 12 years

Maintain 

records of 

reports and 

any other 

information 

submitted by 

PWSs.

40 CFR 142.14(d)(9) 12 years

Maintain 

records of 

State 

activities to 

verify 

compliance 

with State 

determination

s. 

40 CFR 142.14(d)(10)(i) 12 years 

Maintain 

records of 

State 

activities to 

verify 

compliance 

with the 

requirements 

related to 

partial LSLR 

and 

compliance 

with LSLR 

schedules. 

40 CFR 142.14(d)(10)(ii) 12 years

Maintain 

records of 

State 

activities to 

invalidate tap 

water lead 

and copper 

samples. 

40 CFR 142.14(d)(10)(iii) 12 years 

Maintain 

records of 

each 

system’s 

currently 

applicable or 

most recently 

40 CFR 142.14(d)(11) 12 years or until a 

new decision, 

determination, or 

designation has 

been issued
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

43

Requiremen

t

Regulatory Citation Frequency/Reten

tion Period

designated 

monitoring 

requirements

.

4(b)(ii) Respondent Activities

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

Public Water Systems

In general, each PWS is required to monitor for compliance with the MCLs or MRDLs 

established in 40 CFR Part 141, Subpart B. Owners and operators are required to report 

laboratory results to the State at frequencies specified in EPA regulations. In addition, they are 

required to record, maintain, and report the analytical results of these monitoring efforts in 

accordance with 40 CFR Part 141, Subparts C and D. General activities carried out by PWSs 

implementing the chemical regulations addressed in this ICR include—

 Planning activities associated with rule implementation (e.g., scheduling 

monitoring).

 Gathering information (i.e., identifying sample sites and taking samples).

 Creating information by conducting tests on samples collected.

 Processing, compiling, and reviewing information created.

 Developing and distributing reports and other documents.

 Recording and maintaining the information.

Specific activities are described in Exhibit 2.

Primacy Agencies

States are currently required to maintain records of State verification activities and each 

determination made and to report to EPA through SDWIS in accordance with State reporting 

requirements (§142.14). 

Primacy agencies ensure the implementation of the rules covered by this ICR. To meet 

their responsibilities, the primacy agencies conduct the following activities:7

 Coordinate with EPA.

 Notify systems of requirements.

 Make compliance determinations.

 Provide technical assistance to PWSs.

 Maintain data management systems.

 Establish the monitoring schedules.

 Review plans and specifications.

 

7

Some of the general activities conducted by States are included in the PWSS Program ICR (OMB 2040-0090).
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

44

 Enter monitoring and enforcement data.

 Keep records and supporting information, including State determinations and 

explanations for technical decisions regarding rule implementation.

Following is a detailed description of monitoring and other data collection and reporting 

requirements for each of the drinking water rules included in this ICR (see also Exhibit 3).

1) Stage 1 Disinfectants and Disinfection Byproducts Rule

The Stage 1 DBPR applies primarily to community water systems (CWSs) and 

nontransient noncommunity water systems (NTNCWSs) that add a chemical disinfectant 

anywhere in the treatment process. Transient noncommunity water systems (TNCWSs) that add 

a disinfectant are subject to requirements on chlorine dioxide only. The rule —

 Sets the MCL for total trihalomethanes (§141.64).

 Sets MCLs for haloacetic acids (HAA5), bromate, and chlorite (§141.64).

 Sets MRDLs for chlorine, chloramines, and chlorine dioxide (§141.65).

 Sets treatment techniques (enhanced coagulation and enhanced softening) for 

DBP precursors (§141.135).

 Establishes Best Available Technologies (BATs) for controlling disinfection 

byproducts and disinfectants (§141.64 and §141.65, respectively).

The information collection requirements necessary to comply with these requirements 

include monitoring, reporting, and recordkeeping requirements. In general, systems must report 

the number of samples and the location, date, and results of each sample taken in the last 

monitoring period. For many of the DBPs and disinfectants, systems must also calculate the 

running annual average of sample results to determine compliance with the MCL or MRDL.

Note that compliance monitoring for the Stage 2 DBPR begins during this ICR period; 

compliance dates vary depending on system size. The Stage 2 DBPR changes the way

compliance with the MCLs for TTHM and HAA5 is calculated—for systems that take samples at 

more than one location, the MCL is now calculated based on a running annual average at each 

sampling location rather than by averaging the sampling results at different locations. For some 

systems monitoring requirements, including frequency and location, may also change. Other 

Stage 1 DBPR requirements remain unchanged.

MAXIMUM CONTAMINANT LEVELS (MCLs)

Total Trihalomethane (TTHM) and HAA5 MCLs

(a) Small Subpart H8Systems Serving Fewer Than 500 People

 Routine Monitoring (§141.132). CWSs and NTNCWSs must take one sample 

per plant per year for both total trihalomethane (TTHM) and HAA5. 

 Reduced Monitoring (§141.132). No reduced monitoring is allowed.

 

8

Subpart H systems include all PWSs using surface water or ground water under the direct influence of surface 

water as a source (40 CFR 141.2).
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

45

 Compliance Requirements (§141.133). If the average of samples taken during 

the year exceeds the MCL, the system must increase monitoring to one sample per 

plant per quarter. Compliance with the MCL is based on an annual arithmetic 

average. 

(b) Small Subpart H Systems Serving 500-9,999 People

 Routine Monitoring (§141.132). CWSs and NTNCWSs must take one sample 

per plant per quarter for both TTHM and HAA5. 

 Reduced Monitoring (§141.132). Systems with annual average TTHM < 0.040 

mg/L and HAA5 < 0.030 mg/L and source water total organic carbon (TOC) < 

4.0 mg/L prior to treatment may reduce monitoring to one sample per plant per 

year. If a system exceeds 0.060 mg/L or 0.045 mg/L for TTHM or HAA5 

respectively, it must revert to routine monitoring.

(c) Large Subpart H Systems Serving at Least 10,000 People

 Routine Monitoring (§141.132). CWSs and NTNCWSs must take four samples 

per plant per quarter for both TTHM and HAA5.

 Reduced Monitoring (§141.132). Systems with annual average TTHM < 0.040 

mg/L and HAA5 < 0.030 mg/L and source water TOC < 4.0 mg/L prior to 

treatment may reduce samples to one sample per plant per quarter. If a system 

exceeds 0.060 mg/L or 0.045 mg/L for TTHM or HAA5 respectively, it must 

revert to routine monitoring.

(d) Small Ground Water Systems Serving Fewer Than 10,000 People

 Routine Monitoring (§141.132). CWSs and NTNCWSs must take one sample 

per plant per year for both TTHM and HAA5. 

 Reduced Monitoring (§141.132). Systems with annual average TTHM < 0.040 

mg/L and HAA5 < 0.030 mg/L for 2 consecutive years or TTHM < 0.020 / HAA5 

< 0.015 for one year may reduce samples to one sample per plant per three-year 

monitoring cycle.

 Compliance Requirements (§141.133). If the average of samples taken during 

the year exceeds the MCL, the system must increase monitoring to one sample per 

plant per quarter. Compliance with the MCL is based on an annual arithmetic 

average. 

(e) Large Ground Water Systems Serving at Least 10,000 People

 Routine Monitoring (§141.132). CWSs and NTNCWSs must take one sample 

per plant per quarter for both TTHM and HAA5.

 Reduced Monitoring (§141.132). Systems with annual average TTHM < 0.040 

mg/L and HAA5 < 0.030 mg/L may reduce samples to one sample per plant per 

year. If a system exceeds 0.060 mg/L or 0.045 mg/L for TTHM or HAA5 

respectively, it must revert to routine monitoring.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

46

Chlorite MCL

Chlorite is an inorganic DBP formed when drinking water is treated with chlorine 

dioxide. The MCL for chlorite is 1.0 mg/L. CWSs and NTNCWSs that use chlorine dioxide 

must conduct chlorite monitoring.

 Routine Daily Monitoring (§141.132). Systems must take daily samples at the 

entrance to the distribution system. If any sample exceeds the MCL, the system 

must take additional samples the following day at the following three locations: 1) 

as close as possible to the first customer; 2) a location representative of average 

residence time; and 3) a location reflecting the maximum residence time.

 Reduced Daily Monitoring (§141.132). There is no reduced daily monitoring 

for chlorite.

 Routine Monthly Monitoring (§141.132). Each month, systems must take one 

sample at three following distribution system locations.

 Reduced Monthly Monitoring (§141.132). After one year of routine 

monitoring, systems may reduce to one three-sample set per quarter if the MCL

has not been exceeded during that year by any individual sample and the system 

has not been required to take any follow-up samples. A system may remain on 

reduced monitoring if all three of the individual chlorite samples do not exceed 

the MCL. If a system conducting reduced monitoring exceeds the MCL and the

daily sample does not exceed the MCL, it must revert to routine monitoring.

Bromate MCL

Bromate is one of the principal byproducts of ozonation in source water containing 

bromide. The MCL for bromate is 0.010 mg/L. CWSs and NTNCWSs that use ozone for 

disinfection or oxidation must conduct bromate monitoring. 

 Routine Monitoring (§141.132). Systems must take one sample per month for 

each plant using ozone at the entrance to the distribution system while the 

ozonation system is operating under normal conditions.

 Reduced Monitoring (§141.132). A system may take one sample per plant per 

quarter if its annual average source water bromide concentration is less than 0.05 

mg/L, based on a monthly measurement. If the running annual average bromide 

concentration is >0.05 mg/L the system must revert to routine monitoring. The 

system must continue to monitor for bromide if it wishes to remain on reduced 

bromate monitoring.

MAXIMUM RESIDUAL DISINFECTANT LEVELS (MRDLs) 

Disinfectants are added during water treatment to control waterborne microbial 

contaminants. Some residual disinfectants will remain in water after treatment. MRDLs protect 

public health by setting maximum limits on the level of residual disinfectants in drinking water 

while setting a level that protects public health.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

47

Chlorine and Chloramines MRDLs

Chlorine is a widely used disinfectant. The MRDL for chlorine is 4.0 mg/L. 

Chloramines are formed when ammonia is added during chlorination to suppress formation of 

many byproducts. The MRDL for chloramines is 4.0 mg/L (measured as Cl2).

 Routine Monitoring (§141.132). CWSs and NTNCWSs must take samples for 

the residual disinfectant levels at the same points in the distribution system and at

the same time as total coliform samples (Subpart H systems are already taking 

these samples under the SWTR).

 Reduced Monitoring (§141.132). There is no reduced monitoring for chlorine 

and chloramines.

Chlorine Dioxide MRDL

Chlorine dioxide is used primarily for the oxidation of taste- and odor-causing organic 

compounds in water. About 60 to 70 percent of the chlorine dioxide is converted to chlorite in 

the treatment process. This provision applies to CWSs, NTNCWSs, and TNCWSs.

 Routine Monitoring (§141.132). Systems must take a daily sample at the 

entrance to the distribution system. If any sample exceeds the MRDL, the system 

must take three additional samples the following day in the distribution system.

 Reduced Monitoring (§141.132). There is no reduced monitoring for chlorine 

dioxide.

DBP PRECURSORS

Subpart H systems employing conventional filtration must monitor for TOC and 

alkalinity in their source and finished water. These samples determine treatment technique 

requirements.

 Routine Monitoring (§141.132). Systems must take one paired sample per 

month of TOC in source water and treated water. These samples must be taken 

simultaneously. Additionally, systems must take one alkalinity sample per month 

at the same time as the source water TOC sample.

 Reduced Monitoring (§141.132). Systems may take one paired sample per 

quarter if their average treated water TOC is less than 2.0 mg/L for two 

consecutive years or less than 1.0 mg/L for one year. The alkalinity sample is 

taken at the same time. If the average treated water TOC in these systems is > 2.0 

mg/L, they must revert to routine monitoring.

MONITORING PLANS

Under the Stage 1 DBPR, each system required to conduct monitoring must develop and 

implement a monitoring plan (§141.132). The system must maintain its plan and make it 
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

48

available to the public and State. The State may require changes in any element of the system’s 

monitoring plan.

2) Stage 2 Disinfectants and Disinfectant Byproducts Rule

The Stage 2 DBPR builds on the 1998 Stage 1 DBPR by requiring reduced levels of 

disinfectant byproducts (DBPs) in distribution systems. The Stage 2 DBPR is designed to reduce 

DBP occurrence peaks in the distribution system by changing compliance monitoring 

requirements and compliance determination. The numerical maximum contaminant levels 

(MCLs) for the Stage 2 DBPR are the same as for the Stage 1 DBPR MCLs. However, with 

Stage 2, the TTHM and HAA5 MCLs must be met at each monitoring location, while Stage 1 

requires a system to average results over all monitoring locations. Note that in some cases the 

Stage 2 monitoring requirements and locations will change, but in others they will be the same as 

in Stage 1.

Each rule activity is described below. Implementation activities and initial distribution 

system evaluations, along with Stage 2 monitoring plans, were completed during the previous 

ICR period.

Systems

Most PWSs will be involved in the following collection activities:

Additional Routine Monitoring

Under Stage 2, some systems may not need to conduct any additional monitoring on top of what 

they do for Stage 1, although their monitoring locations may change. However, many systems 

will be required to conduct additional monitoring. This additional monitoring will begin during 

this ICR period and is based on the monitoring plan submitted during the previous ICR period. 

The compliance date varies based on system size and other factors. Systems will:

• Assess the change in the number of samples to be collected from the Stage 1 to the 

Stage 2 DBPR

• Conduct additional routine monitoring

• Determine if provisions for reduced monitoring are satisfied

• Determine if increased monitoring for small systems is required

Operational Evaluations 

A system exceeds an operational evaluation level at any monitoring location when the 

“sum of the two previous quarters’ compliance monitoring results plus twice the current 

quarter’s result at one location, divided by 4, exceeds 80 μg/L for TTHM or 60 μg/L for HAA5.” 

If an operational evaluation level is exceeded, systems must:
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• Conduct an operational evaluation

• Compile and submit a written report to the State no later than 90 days after being 

notified of the analytical result that resulted in the operational evaluation level 

exceedances

States

State officials serve as respondents when reporting compliance data to EPA. States are 

currently required to maintain records of verification activities and each determination made and 

report to EPA through SDWIS. 

States are anticipated to be involved in several activities as described below. Note that 

state review of IDSE reports and proposed monitoring plans was completed during the previous 

ICR period.

Additional Routine Monitoring

 Review and evaluate monitoring data submitted by systems

Operational Evaluations

 Review operational evaluations from systems

Recordkeeping

In addition to existing recordkeeping requirements, States must follow new Stage 2-

specific recordkeeping requirements in §142.14(a)(8), keeping records for the time specified: 

 Any decisions made pursuant to IDSE and Stage 2 DBPR site requirements, until 

replaced or revised

 Records of IDSE reports and 40/30 certifications and any modifications required by

the State, until replaced or revised.

 Operational evaluations submitted by a system, for 10 years following submission.

3) Chemical Phase Rules

The chemical monitoring requirements apply only to CWSs and NTNCWSs, except that 

transient noncommunity water systems (TNCWSs) must sample for nitrate and nitrite. 

Monitoring requirements follow the standardized monitoring framework (SMF) schedule 

established by the rule. Under the SMF, 9-year compliance cycles were established; the first 
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cycle lasted from January 1, 1993 to December 31, 2001; the second cycle began on January 1, 

2002, and ends on December 31, 2010; and the third cycle began January 1, 2011 and will end 

December 31, 2019. Each nine-year cycle consists of three, 3-year compliance periods (e.g., 

from January 1, 2011, to December 31, 2013; from January 1, 2014, to December 31, 2016; and 

from January 1, 2017, to December 31, 2019). 

The compounds and contaminants addressed by the Chemical Phase Rules are listed in 

Exhibit 4. A more detailed description of the monitoring requirements for inorganic compounds 

(IOCs), volatile organic compounds (VOCs), and synthetic organic compounds (SOCs) follows.

Exhibit 4

Regulated Organic Compounds and Inorganic Chemicals

Phase of 

Regulation

Inorganic 

Contaminants

Synthetic Organic 

Compounds

Volatile Organic 

Compounds

Phase I9 N/A N/A Benzene

Carbon tetrachloride

p-Dichlorobenzene

Trichloroethylene

Vinyl Chloride

1,1,1-Trichloroethane

1,1-Dichloroethylene

1,2-Dichloroethane

Phase II Asbestos

Cadmium

Chromium

Fluoride

Mercury

Nitrate

Nitrite

Selenium

Alachlor

Atrazine

Carbofuran

Chlordane

Ethylene dibromide

DBCP

Heptachlor

Heptachlor epoxide

Lindane

Methoxychlor

Toxaphene

Polychlorinated byphenyl

2,4-D

2,4,5-TP (Silvex)

cis-1,2-Dichloroethylene

Ethylbenzene

Monochlorobenzene

o-Dichlorobenzene

Styrene

Tetrachloroethylene

Toluene

trans-1,2-

Dichloroethylene

Xylenes

1,2-Dichloropropane

Phase IIB Barium Pentachlorophenol N/A

Phase V Antimony

Beryllium

Cyanide

Nickel (remanded)

Thallium

Benzo(a)pyrene

Dalapon

Di(2-ethylhexyl)-adipate

Di(2-ethylhexyl)-phthalate

Dinoseb

Diquat

Endothall

Endrin

Glyphosate

Hexachlorobenzene

Dichloromethane

1,1,2-Trichloroethane

1,2,4-Trichlorobenzene

 

9 The Phase I rule contaminants were included for completeness. However, the Phase II rule superseded the Phase I 

rule. Some of the Phase I unregulated contaminants became regulated under Phase II and additional contaminants 

were added to the list of unregulated contaminants.
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Phase of 

Regulation

Inorganic 

Contaminants

Synthetic Organic 

Compounds

Volatile Organic 

Compounds

Hexachlorocyclopentadiene

Oxamyl

Picloram

Simazine

2,3,7,8-TCDD (Dioxin)

Arsenic Rule Arsenic NA NA

INORGANIC COMPOUNDS

This section summarizes the IOC monitoring requirements for most of the first 3-year 

compliance period of the third compliance cycle (which began on January 1, 2011), as described 

in 40 CFR 141.23(c). For the purposes of monitoring requirements, the IOCs regulated under 

Phases II and IIB are asbestos, barium, cadmium, chromium, fluoride, mercury, nitrite, nitrate, 

and selenium. The IOCs regulated by Phase V are antimony, beryllium, cyanide, and thallium. 

The MCL for nickel, which was initially included as part of Phase V, was remanded on February

9, 1995. This means that, while many water suppliers continue to monitor nickel levels in their 

water, there is currently no EPA legal limit on the amount of nickel in drinking water. Arsenic 

was regulated under the 1976 standards for IOCs but is now addressed separately in the Arsenic 

Rule.

During each 3-year compliance period, ground water systems must take one sample at 

each sampling point. Surface water systems must take one sample annually at each sampling 

point. If results from any sampling events are above the MCL, the PWS must begin quarterly 

sampling during the next calendar quarter. The PWS must continue quarterly sampling until the 

State determines that the samples are reliably and consistently below the MCL based on at least 

two consecutive quarterly samples for ground water systems and four consecutive quarters for 

surface water systems. Once the samples are reliably and consistently below the MCL, ground 

water systems are then required to sample triennially, and surface water systems must sample 

annually.

After three consecutive sampling rounds in which sampling results are below the MCL, a 

PWS may apply to the State for a waiver. Should the State grant a waiver, the PWS is required 

to sample only once every nine years. IOC waivers must be renewed every nine years. Waivers 

are not available for nitrate or nitrite monitoring. 

VOLATILE ORGANIC COMPOUNDS

This section summarizes VOC monitoring requirements for most of the first 3-year 

compliance period of the third compliance cycle, as described in 40 CFR 141.24(f).

For VOCs, surface water systems must take one sample annually at each sampling point. 

During each three-year compliance period, ground water systems must take one sample at each 

sampling point (after initially sampling annually). If any sample exceeds the method detection 

limit (MDL) of 0.0005 mg/l, the PWS must begin quarterly monitoring during the next calendar 

quarter. Quarterly sampling must continue until the State determines that the samples are 
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reliably and consistently below the MCL based on at least two consecutive quarterly samples for 

ground water systems and four consecutive quarters for surface water systems. However, if the 

detection that triggered the increased sampling exceeds the MCL, the PWS must take a minimum 

of four consecutive quarterly samples, regardless of whether it is served by ground water or 

surface water. Once the samples are reliably and consistently below the MCL, the State may

reduce the sampling frequency to once per year, provided repeat sampling is conducted during 

the calendar quarter that previously yielded the highest analytical result. 

Systems may apply to the State for a waiver after initial monitoring provided VOCs are 

not detected. The maximum waiver period for ground water sampling points is six years. The 

initial waiver must be renewed within the first three years of issuance, but subsequent waivers 

may be renewed at the end of the six-year period. A ground water system must collect one 

sample within the first compliance period and at least one sample during each six-year waiver 

period. For surface water systems, the maximum waiver period is three years, but there is no 

minimum Federal sampling frequency. The State determines the sampling schedule for surface 

water systems with a three-year waiver.

SYNTHETIC ORGANIC COMPOUNDS

This section summarizes the SOC monitoring requirements for the first 3-year 

compliance period of the third compliance cycle, as described in 40 CFR 141.24(h). 

Systems serving more than 3,300 people are required to take two SOC samples every

three years. For systems that serve fewer than 3,300 people, one sample is required every three 

years. If a contaminant is detected at any sampling point, the water system must begin quarterly 

sampling during the next calendar quarter. Quarterly sampling must continue until the State 

determines that the samples are reliably and consistently below the MCL based on at least two 

consecutive quarterly samples for ground water systems and four consecutive quarters for 

surface water systems. However, if the detection that triggered the increased sampling exceeds

the MCL, then the PWS must take a minimum of four consecutive quarterly samples, regardless 

of whether it is served by ground water or surface water. Once the samples are reliably and 

consistently below the MCL, the State may reduce the sampling frequency to once per year, 

provided repeat sampling is conducted during the calendar quarter that previously yielded the 

highest analytical result. 

After three years of annual monitoring without SOC detections, systems may apply for a 

waiver. Waivers are effective for one compliance period (i.e., three years). They must be 

renewed in each subsequent compliance period, or the system must return to the sampling 

frequency specified for its size. Under Federal regulations, systems with a waiver are not 

required to sample.

4) Radionuclides Rule

On December 7, 2000, EPA promulgated a revised radionuclides regulation. The revised 

rule completely supersedes the requirements established in the original 1976 Rule. The 

Radionuclides Rule, which is applicable only to CWSs, revised and amended 40 CFR Parts 141 

and 142 and—
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 Sets an MCLG of zero for all radionuclides.

 Maintains the 1976 gross alpha MCL of 15 PicoCuries per liter (pCi/L) (which 

includes combined radium-226/-228 and excludes uranium and radon).

 Maintains the 1976 MCL of 5 pCi/L for combined radium-226 and radium-228.

 Maintains the 1976 beta particle and photon radioactivity MCL of 4 millirem per 

year (mrem/yr).

 Sets an MCL of 30 μg/L for uranium.

 Establishes separate monitoring requirements for radium-226 and radium-228.

 Maintains the beta/photon screening levels set in the 1976 Rule for vulnerable 

systems (as deemed by the State). Surface water systems serving greater than 

100,000 persons will no longer be required to monitor unless they are deemed 

vulnerable.

 Revises sampling, compliance, and monitoring waivers to SMF at entry points to 

the distribution system. States will have discretion in grandfathering existing 

distribution system data for determining initial monitoring baselines.

5) Disinfectant Residual Monitoring and Associated Activities under the SWTR10

As mentioned earlier, the majority of the SWTR requirements, with the exception of 

disinfection residual monitoring, are addressed in the Microbial Rules ICR. Specific disinfectant 

residual monitoring required by the SWTR and covered under this ICR includes the following–

 Periodic disinfection residual monitoring from the distribution system for Subpart 

H systems. (§141.74 (b)(6)(i) for unfiltered systems and §141.74(c)(3)(i) for 

systems that filter).

 Continuous disinfectant residual monitoring at entry points into the distribution 

system. (§141.74 (b)(5) for unfiltered systems and §141.74(c)(2) for systems that 

filter)11.

 Calculation of inactivation ratios for unfiltered systems using contact time (CT) 

values (§141.74 (b)(3))12. 

6) Arsenic Rule

The Arsenic Rule was promulgated January 22, 2001, and requires that CWSs and 

NTNCWSs follow the SMF. As previously described for the Chemical Phases Rule, the SMF is 

conducted within the schedule of a 9-year compliance cycle. The compliance cycle is 

subsequently composed of three, 3-year periods. 

 

10 Includes only the rule components relating to disinfectant residual monitoring. The remaining SWTR 

requirements are included in the Microbial Rules ICR.

11 Systems that serve 3,300 or fewer people may take grab samples in lieu of providing continuous monitoring.

12 CT is the product of residual disinfectant concentration (C) in mg/l determined before or at the first customer, and 

the corresponding disinfectant contact time (T) in minutes. If a PWS applies disinfectants at more than one point 

prior to the first customer, it must determine the CT of each disinfectant sequence before or at the first customer to 

determine the total percent inactivation or total inactivation ratio.
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Routine Monitoring

Groundwater systems must take a sample at each entry point to the distribution system 

once every three years; surface water systems must sample at each entry point annually. 

Triggered monitoring as a result of a violation requires the system to monitor quarterly beginning 

in the next quarter after the violation has occurred. Only after a system has taken two 

consecutive groundwater samples or four consecutive surface water samples and the State has 

determined that the system is “reliably and consistently” below the MCL (40 CFR 141.23(c)(8)) 

may the system return to routine monitoring.

The rule also allows systems to receive nine-year monitoring waivers. During the waiver 

period, a system must take a minimum of one sample. In order to receive a waiver, a system 

must demonstrate that during the previous three rounds of monitoring all results were less than 

the current MCL and there was adequate source protection. 

7) Lead and Copper Rule

CWS and NTNCWS owners and operators are required to comply with the LCR. In 

general, the LCR requires each of these water systems to undertake the following activities13:

 Plan monitoring and other activities.

 Provide training to appropriate staff and to residents collecting samples.

 Identify appropriate sampling sites and collect samples.

 Review sample data, including the calculation of lead and copper 90th percentile 

levels.

 Submit to the State monitoring data and any other documents or reports.

 Record and maintain information.

In addition, some systems must submit corrosion control studies, recommend and submit 

information regarding the completion of CCT or source water treatment installation, conduct 

public education, or conduct LSL monitoring, notification, and replacement.

The short term revisions to the LCR apply to CWS and NTNCWS owners and operators,

as with the LCR. In addition to the LCR requirements, the revisions require systems to 

undertake the following activities:

 Take additional tap samples for lead if the lead action level of 0.015 mg/L is 

exceeded.

 Provide revised public education materials according to revised delivery requirements 

if the lead action level is exceeded, including a statement on lead in the CCR.

 Notify the State before making long term treatment changes.

 Notify customers of results of samples taken at their homes.

 

13 For existing systems, some of these requirements may not fall within the collection period for this ICR. See 

Appendix H for detail related to assumptions and burden calculations for these activities.
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 Retest LSLs previously exempted from replacement if the lead action level is 

exceeded.
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5 INFORMATION COLLECTED — AGENCY ACTIVITIES,

COLLECTION METHODOLOGY, AND INFORMATION 

MANAGEMENT

5(a) Agency Activities

As part of its supervisory responsibility, EPA maintains SDWIS and evaluates SDWIS 

data to determine system compliance. EPA personnel also reformat, distribute, and store these 

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

oversees the EPA Regional and State programs, provides technical assistance, and develops 

policies designed to ensure consistent program implementation. EPA officials serve as 

respondents when testifying to Congress on the PWSS Program or in the courts for enforcement 

actions. 

EPA’s requirements are outlined in Exhibit 5 below. Most of the burden and costs for 

these activities are addressed in the PWSS Program ICR (OMB No. 2040-0090). Section 5(a) of 

the PWSS Program ICR contains additional detail regarding the activities supported by the 

collection of SDWIS data described above. 

EPA will also conduct primacy activities in States and territories that do not have 

primacy. Specifically, EPA will be involved in the following activities—

 Mobilization, planning, and implementation.

 Training PWS and consultant staff.

 Analyzing and reviewing PWS data.

 Making determinations concerning PWSs.

 Compliance tracking.

 Recordkeeping.

However, burden and costs for these activities are accounted for under the primacy agency

burden (see Section 6).
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Exhibit 5

EPA Requirements

Requirement Regulatory Citation Frequency

General Requirements (apply to all regulations)

For States and other entities for 

which the Agency maintains 

primacy, the Agency must 

maintain the records and perform 

the reporting activities required of 

States. 

40 CFR 142.14 and 142.15 As necessary

Review State request for 

approval of a program revision 

and notify State of determination 

regarding request.

40 CFR 142.12(d)(3) One time, as necessary

Stage 1 DBPR 

Subject to general requirements as listed above.

Stage 2 DBPR

Subject to general requirements as listed above.

Chemical Phase Rules (Phases II, IIB, and V)

Subject to general requirements as listed above.

Radionuclides 

Subject to general requirements as listed above.

SWTR (only disinfection residual monitoring and associated activities)

Subject to general requirements as listed above.

Arsenic Rule

Subject to general requirements as listed above.

Lead and Copper Rule

Subject to general requirements as listed above.

5(b) Collection Methodology and Management

Under the PWSS Program, EPA will modify SDWIS and its data verification procedures 

to accommodate new violation data from all rules. EPA checks data quality by doing the 

following:

• Developing standard operating procedures for each rule

• Editing the data submitted for content and required format in SDWIS

• Sending rejected data back to the States/Primacy Agencies for corrections

• Requiring the State/Primacy Agency to resubmit corrected data

• Auditing data submitted by the States/Primacy Agencies based on the EPA 

protocol

• Reviewing State/Primacy Agency data annually for corrective actions
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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EPA defines information requirements and States/Primacy Agencies need to update the 

data in a predefined format. The public may access the violation data in SDWIS through the 

Internet at http://water.epa.gov/scitech/datait/databases/drink/sdwisfed/howtoaccessdata.cfm.

5(c) Small Entity Flexibility

In developing chemical monitoring rules contained in this ICR, EPA considered the 

requirement of the Small Business Regulatory Enforcement Fairness Act (SBREFA) to minimize 

the burden of information collections on small entities. Small entities include “small 

businesses,” “small organizations” and “small government jurisdictions.” These terms are 

defined below14.

 A small business is any business that is independently owned and operated and 

not dominant in its field, as defined by the Small Business Administration 

regulations under Section 3 of the Small Business Act.

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

and operated and not dominant in its field.

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

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

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

The major requirement under SBREFA is a regulatory flexibility analysis of all rules that 

have a “significant economic impact on a substantial number of small entities.” This ICR is not 

associated with new rules. Therefore, this ICR is not subject to the SBREFA. 

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

particularly for small entities. In setting both MCLs/MRDLs and monitoring requirements, EPA 

has been able to minimize burden for small entities in the following ways—

1) Stage 1 Disinfectants and Disinfection Byproducts Rule

EPA has taken steps to minimize the burden on small PWSs. These measures include 

lower monitoring frequency for small systems, reducing monitoring frequency for systems 

consistently and reliably below the MCLs and MRDLs, and extending the compliance date for 

small systems to five years after promulgation of the rule.

2) Stage 2 Disinfectants and Disinfection Byproducts Rule

Using information found in the Stage 2 Economic Analysis (EA), along with additional 

information from SDWIS, the Community Water System Survey (CWSS), and the U.S. Census, 

EPA conducted a quantitative analysis of small system impacts as a result of the rule. Based on 

 

14 These definitions were taken from §601 of the Regulatory Flexibility Act (RFA).
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that analysis, EPA certified that the Stage 2 DBPR would not lead to significant economic 

impacts for a substantial number of small entities.

The Agency took specific steps to minimize the burden of the IDSE on PWSs, for 

example. PWSs serving fewer than 500 people were waived from conducting the IDSE in most 

cases. NTNCWSs serving fewer than 10,000 people were not subject to the IDSE at all. Those 

small systems that were required to monitor as part of the IDSE had taken fewer samples than 

did large systems. As with the Stage 1 DBPR, compliance monitoring requirements are also 

based on system size, and small systems take fewer samples than large systems.

3) Chemical Phase Rules

For the contaminants regulated under the Phase II regulation, the provisions established 

in the SMF are intended to minimize burden on small entities by allowing systems to composite 

as many as five samples and by allowing States to grant waivers, which reduce or eliminate 

monitoring requirements. 

For Phase V chemicals, EPA has taken steps to minimize the burden on PWSs (in 

addition to the provisions listed for Phase II contaminants) by allowing systems serving fewer 

than 3,300 people to composite among different systems provided the five sample limit is 

maintained. Sample collection has also been simplified by allowing the same sampling locations 

to be used for all source water-related monitoring.

4) Radionuclides Rule

The monitoring requirements for radionuclides apply only to CWSs. 

5) Disinfectant Residual Monitoring and Associated Activities under the SWTR

The rule allows systems serving 3,300 and fewer to substitute grab sampling for 

continuous disinfectant residual monitoring. This enables small systems to avoid capital costs 

associated with continuous monitoring equipment. Further, the number of daily grab samples 

required for measuring the disinfectant residual is directly related to the system’s size. Systems 

serving 500 or fewer people are required to take one sample, while systems serving 2,501 to 

3,300 people are required to take four samples. 

6) Arsenic Rule

In the Arsenic Rule, in order to assist small entities, States will grant monitoring waivers 

to systems that are reliably and consistently below the MCL. These waivers will reduce the 

compliance cost for some small systems and will decrease the number of times a system must 

conduct routine monitoring. In addition, the monitoring requirements still allow systems to 

composite up to five samples. Compositing samples allows systems to reduce the laboratory

costs associated with monitoring.

7) Lead and Copper Rule
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In developing the original Lead and Copper Rule, EPA considered SBREFA in an 

attempt to minimize the burden of information collections on small entities. EPA later 

determined that the LCR Minor Revisions would not have a significant impact on a substantial 

number of small entities.

EPA recognizes that some water systems are small entities; therefore, the LCR reduced to 

the extent practicable and appropriate the burden on PWSs, especially smaller systems. The 

regulations include the following examples of reduced burden for small systems:

 Different compliance or reporting requirements or schedules that take into 

account the resources available to smaller water systems. Specifically, the LCR 

Short Term Revisions allow States to permit systems to take 1 sample per tap in 

systems that have fewer than 5 taps.

 Consolidated or simplified compliance and reporting requirements. 

 No unnecessary or redundant requirements. 

5(d) Collection Schedule

Exhibit 6 contains a summary of the collection schedules for each rule. Given the wide 

range of phase-in schedules for the respective rules, additional information may be obtained by

consulting the individual rules for specific collection schedules.
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Exhibit 6

Collection Schedule15

Rule Collection Commencement

Disinfectant residual monitoring and 

associated activities for the SWTR

1991/1993 (depending on filtration status)

Phase II 1993

Phase IIB 1993

Phase V 1996

Stage 1 DBPR 2002/2004 (depending on system size and source)

Stage 2 DBPR 2006

Radionuclides Rule 2003

Arsenic Rule 2006/2007 (depending on source water)

Lead and Copper Rule 1994

 

15 Collection schedule is based on the commencement of monitoring requirements. Startup activities are typically 

completed prior to these dates.
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6 ESTIMATING BURDEN AND COST OF COLLECTION

This section estimates the burden and cost to PWSs, primacy agencies, and EPA for 

complying with drinking water information collection requirements associated with chemical 

contaminant-related rulemakings. These rulemakings include the following—

1) Stage 1 Disinfectants and Disinfection Byproducts Rule

2) Stage 2 Disinfectants and Disinfection Byproducts Rule

3) Chemical Phase Rules

4) Radionuclides

5) Disinfectant Residual Monitoring and Associated Activities under the 

Surface Water Treatment Rule16

6) Arsenic Rule

7) Lead and Copper Rule17

This section also discusses the assumptions used to estimate burden and costs and 

describes the change in annual burden, as compared with the 2008 DDBP/Chem/Rads Rules 

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

January 1, 2012 through December 31, 2014.

EPA is committed to accurately characterizing the burden and costs of rules it 

promulgates. Consequently, EPA has refined some of the assumptions for calculating the burden 

and costs associated with implementing the drinking water regulations contained in this ICR. 

For this update, many assumptions were revised based on program changes and welldocumented changes in some data. To provide a comparable basis on which to calculate the 

requirements addressed by the DDBP/Chem/Rads Rules ICR and to address inconsistencies, 

EPA applied uniform assumptions to all rules. The categories of assumptions are listed below.

 Labor rates—for PWSs, $2010 labor rate of $20.24 was obtained from the Bureau 

of Labor Statistics (BLS). An overhead rate of 60 percent was applied, resulting 

in an hourly rate of $32.38. For States, $2010 labor rate of $27.37 was obtained 

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

rate of $43.79. 

 PWS inventory figures from the most recent frozen SDWIS database pull

(October 2010).

 Number of entry points—data from the 2006 CWSS.

 Number of plants—data from the 2006 CWSS.

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

developing reports) to reflect consultations with representatives of PWSs and States (see section 

3(c).

 

16 The remaining SWTR requirements are included in the Microbial Rules ICR.

17 Includes LCR Short-term revisions.
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6(a) Respondent Burden

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

The annual PWS burden for January 1, 2012, through December 31, 2014, is estimated to 

be approximately 3,787,528 hours. Exhibit 7 (at the end of Section 6(b)) shows the annual 

burden hours on a rule-specific basis. Wherever possible, activity-level burden assumptions 

were carried forward from previous ICRs. However, if updated data were available (e.g., system 

inventories, results of consultations on burden), those data were used in burden calculations. 

Appendices B through H show the assumptions and detailed burden calculations for each rule. 

The following further describes the bases for the burden estimates for each rule.

1) Stage 1 Disinfectants and Disinfection Byproducts Rule 

Activities associated with the Stage 1 DBPR account for 596,454 annual burden hours. 

The assumptions used to calculate the Stage 1 DBPR burden are based largely on assumptions 

from the September 1998 Information Collection Request for the National Primary Drinking 

Water Regulations: Stage 1 Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR 

ICR). The burden for systems includes only monitoring. The specific burden for monitoring 

includes the following—

 Paired TTHM/HAA5

 Alkalinity and paired TOC

 Bromate

 Chloride Dioxide

 Chlorite (both daily and monthly monitoring)

 Chlorine or chloramines (in the distribution system)18

At this point, reduced monitoring burden has not been estimated for the above 

contaminants, with the exception of alkalinity and paired TOC monitoring, which carried 

forward reduced monitoring rate estimates from the September 1998 Stage 1 DBPR ICR.

Note that compliance monitoring for TTHM and HAA5 under the Stage 2 DBPR begins 

during this ICR period. The ICR for the Stage 2 DBPR accounts for any additional monitoring 

that may be required on top of that already required for Stage 1, as discussed in the section 

below.

Section 6(f) describes the reasons for changes between the burden reported in the 2008 

DDBP/Chem/Rads Rules ICR and this ICR. Detailed burden and cost calculations for the Stage 

1 DBPR are provided in Appendix B.

 

18 Includes costs for ground water systems only. Disinfectant residual monitoring and associated activities for 

surface water systems are addressed by the SWTR.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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2) Stage 2 Disinfectants and Disinfection Byproducts Rule

Over the 3 years covered by this ICR, the total national respondent burden to PWSs is 

estimated at 92,526 labor hours, an annual average of 30,842 hours (see Exhibit 7). Note that rule 

implementation and IDSE activities were completed during the previous ICR period, as were 

Stage 2 compliance monitoring plans. The next two sections describe the burden estimates for 

the current ICR period in greater detail.

Additional Routine Monitoring

Systems will begin conducting additional routine compliance monitoring during this ICR 

period. This monitoring is in addition to monitoring required under the Stage 1 DBPR (note that 

many systems will not be subject to any additional monitoring). The burden for monitoring takes 

into account any changes in TTHM and HAA5 monitoring requirements resulting from the initial 

distribution system evaluation conducted during the previous ICR period. Large systems will 

begin compliance monitoring in Year 7 or 8 following promulgation. If small PWSs conducted

Cryptosporidium monitoring under the LT2ESWTR, compliance with the Stage 2 MCLs, with 

the sampling sites determined under the IDSE, will begin in Year 9 following promulgation. If 

small PWSs did not conduct monitoring for the LT2ESWTR, they must comply with the Stage 2 

MCLs with the sampling sites determined under the IDSE in Year 8 following promulgation.

Estimated costs and burden are presented in Exhibits 13a through 13c of Appendix C.

Systems with Operational Evaluations

An operational evaluation must include an examination of distribution system operational 

practices and how these practices may be modified to reduce TTHM and HAA5 levels. Systems 

must discuss their evaluations with the State. Costs for operational evaluations are presented in 

Exhibit 13 of Appendix C. Systems with operational evaluations will incur costs in the year that 

the operational level is exceeded. This will begin once systems have 1 year worth of compliance 

monitoring data, which will occur between Years 7 and 9 following promulgation.

3) Chemical Phase Rules

PWS activities associated with the Chemical Phase Rules account for a burden of 

365,561 hours per year. The burden estimate includes routine and reduced sampling for IOCs, 

VOCs, and SOCs under the schedules dictated by the SMF. The assumptions used to calculate 

the Chemical Phase Rule burden are based on assumptions from the 1993 PWSS Program ICR, 

which maintained most assumptions and burden estimates from the individual ICRs for the Phase 

II, IIB, and V rules, with an adjustment to the waiver rate assumptions (in the 2004

DDBP/Chem/Rads Rules ICR) to more accurately reflect actual waiver issuance rates. Section 

6(f) describes the reasons for changes between the burden reported in the 2008 

DDBP/Chem/Rads Rules ICR and this ICR. Appendix D summarizes the assumptions used to 

calculate the Chemical Phase Rule burden and provides the detailed burden and cost calculations. 
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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4) Radionuclides Rule

Annual PWS burden for the Radionuclides Rule is estimated to be 14,448 hours; this is 

based on burden assumptions carried forward from the 2000 Radionuclides Rule ICR. 

Monitoring burden is for the following contaminants—

 Gross alpha

 Beta and photon emitters

 Combined radium-226/-228 

 Uranium

Section 6(f) describes the reasons for changes between the radionuclides burden reported 

in the 2008 DDBP/Chem/Rads Rules ICR and this ICR. Calculations for burden and costs for 

the Radionuclides Rule are included in Appendix E.

5) Disinfectant Residual Monitoring and Associated Activities under the SWTR 

As stated previously, this ICR includes burden estimates only for the disinfection residual 

monitoring and associated activities required under the SWTR. The Microbial Rules ICR 

addresses the burden and costs for all other SWTR requirements. Implementation of the SWTR 

disinfection residual monitoring and associated activities is estimated to result in an annual PWS 

burden of 1,039,257 hours. Included in the estimate is burden for—

 Distribution system residual monitoring.

 Calculation of inactivation ratio using CT values for unfiltered systems.

 Measurement of pH and temperature, as necessary to calculate CT.

 Entry point residual monitoring for filtered systems.

 Entry point residual monitoring for unfiltered systems.

Section 6(f) describes the reasons for changes between the burden reported in the 2008 

DDBP/Chem/Rads Rules ICR and this ICR. Appendix F summarizes the assumptions used to 

calculate the burden for disinfection residual monitoring and associated activities under SWTR 

and provides the detailed burden and cost calculations.

6) Arsenic Rule

This ICR addresses the burden and cost for arsenic monitoring, reporting, and 

recordkeeping for 2012 through 2014. PWSs monitor arsenic in accordance with the standard 

monitoring framework schedule. Implementation of the Arsenic Rule is estimated to result in an 

annual PWS burden of 71,761 hours. Appendix G summarizes the assumptions used to calculate 

burden for the Arsenic Rule and provides the detailed burden and cost estimates.

7) Lead and Copper Rule

The average annual respondent burden is 1,669,205 hours for reporting (including lead 

service line replacement reporting), recordkeeping, and public education activities of the LCR
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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(which includes the LCR short term revisions). Only CWSs and NTNCWSs incur a burden 

associated with LCR requirements. The burden accounts for the provisions of the recent short 

term revisions, which require that systems: 

 Take additional tap samples for lead if they are on reduced monitoring and the lead 

action level of 0.015 mg/L is exceeded.

 Provide revised public education materials according to revised delivery requirements 

if the lead action level is exceeded, including a statement on lead in the CCR.

 Notify the State before making long term treatment changes.

 Notify customers of results of samples taken at customers’ homes.

 Retest lead service lines previously exempted from replacement if the lead action 

level is exceeded.

Section 6(f) describes the reasons for changes between the burden reported in the 2008 

DDBP/Chem/Rads Rules ICR and this DDBP/Chem/Rads Rules ICR. Appendix H summarizes 

the assumptions used to calculate the burden for the Lead and Copper Rule and provides the 

detailed burden and cost estimates.

6(a)(ii) Burden to Primacy Agencies

The annual burden for primacy agencies is estimated to be approximately 1,946,807

hours. Exhibit 8 (at the end of Section 6(b)) shows the annual burden hours on a rule-specific 

basis. Many other State activities, such as compliance assurance and data management, cannot 

be divided among specific rules and are included in the PWSS Program ICR as general primacy

activities. The following briefly describes the bases for the burden estimates—

1) Stage 1 Disinfectants and Disinfection Byproducts Rule

The annual State burden for the Stage 1 DBPR is expected to be 148,335 hours. This 

reflects data entry and recordkeeping burden. Section 6(f) describes the reasons for changes 

between the Stage 1 DBPR burden reported in the 2008 DDBP/Chem/Rads Rules ICR and this 

ICR. Detailed calculations for burden and cost are shown in Appendix B.

2) Stage 2 Disinfectants and Disinfection Byproducts Rule

The annual State burden for the Stage 2 DBPR is expected to be 50,822 hours. This 

reflects reporting and recordkeeping burden for maintaining records and tracking compliance by 

systems. States are assumed to have already completed their implementation and IDSE oversight 

activities. 

This burden also includes burden for reviewing operation evaluations. EPA estimates the 

state burden for reviewing each operational evaluation to be 4 to 8 hours, depending on system 

size.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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3) Chemical Phase Rules

For States, the annual burden associated with the Chemical Phase Rules is estimated to be 

approximately 1,354,532 hours. This reflects reporting and recordkeeping burden for routine 

and reduced sampling for IOCs, VOCs, and SOCs under the schedules dictated by the SMF. 

Estimates for primacy agency burden for the Chemical Phase Rules are based on State Workload 

Model19 assumptions carried forward from the 1993 PWSS Program ICR. Note that the burden 

hours associated with oversight of arsenic monitoring are discussed separately below. Section 

6(f) describes the reasons for changes between the Chemical Phase Rules burden reported in the 

2008 DDBP/Chem/Rads Rules ICR and this ICR. Detailed calculations for burden and cost are 

shown in Appendix D.

4) Radionuclides Rule

For the Radionuclides Rule, annual State burden is estimated to be 1,734 hours. The 

annual State burden is based on burden assumptions contained in the 2008 DDBP/Chem/Rads

Rules ICR. Burden is calculated for primacy agency staff for recordkeeping, reporting, and 

compliance tracking and analysis requirements, based on the number of analyses conducted by 

PWSs. Section 6(f) describes the reasons for changes between the radionuclides burden reported 

in the 2008 DDBP/Chem/Rads Rules ICR and this ICR. Calculations for cost and burden for the 

Radionuclides Rule are included in Appendix E.

5) Disinfectant Residual Monitoring and Associated Activities under SWTR

As stated previously, this ICR includes burden estimates for only the disinfection residual 

monitoring and associated activity components of the SWTR. The Microbial Rules ICR 

addresses the burden and costs for the other SWTR requirements. Implementation of the SWTR 

disinfection residual monitoring is expected to result in an annual State burden of 150,462 hours. 

Included in this estimate is burden associated with reviewing data for—

 Distribution system residual monitoring.

 Calculation of inactivation ratio using CT values.

 Measurement of pH and temperature, as necessary to meet requirements.

 Entry point residual monitoring for filtered systems.

 Entry point residual monitoring for unfiltered systems.

Estimates for primacy agency burden for the SWTR are based on assumptions carried 

forward from the 2008 DDBP/Chem/Rads Rules ICR. Section 6(f) describes the reasons for 

changes between the burden reported in the 2008 DDBP/Chem/Rads Rules ICR and this ICR. 

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

 

19

 At the time of developing the 2012 DDBP/Chem/Rads Rules ICR, the 1993 State Workload Model was under 

revision and new burden estimates were not yet available. New burden estimates from the revised State Workload 

Model will be incorporated into the subsequent DDBP/Chem/Rads Rules ICR.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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6) Arsenic Rule

For the Arsenic Rule, annual State burden is estimated to be 18,765 hours. The annual 

State burden is based on assumptions carried forward from the 2008 DDBP/Chem/Rads Rules 

ICR and the 2000 Arsenic Rule ICR. Burden is calculated for primacy agency staff for oversight 

of monitoring activities. Burden is based on recordkeeping, reporting, and compliance tracking 

and analysis. Section 6(f) describes the reasons for changes between burden reported in the 2008 

DDBP/Chem/Rads Rules ICR and this ICR. Calculations for cost and burden for the Arsenic 

Rule are included in Appendix G.

7) Lead and Copper Rule

EPA estimates that the annual burden incurred by primacy agencies for activities 

associated with the lead and copper regulation is approximately 222,157 hours. This estimate 

includes costs for employing a corrosion control expert and costs to review various letters and 

results submitted by water systems in accordance with the LCR. It includes the additional burden 

associated with the LCR short term revisions, which estimate that States will spend extra time

reviewing systems’ plans for changing treatment or adding a new source. Further detail about 

these activities and associated burden and costs is provided in Appendix H.

6(b) Respondent Costs

6(b)(i) Cost to Public Water Systems

Exhibit 7 shows the annual costs for PWSs over the three-year ICR period. Annual costs 

are estimated at approximately $350 million, which consists of $120 million in labor costs, $5

million in capital, and $225 million in O&M (numbers may not add due to rounding). 

Labor costs are based on the number of burden hours times the average hourly wage rate, 

including overhead. In addition to labor costs, there are O&M costs associated with the each of 

the rules covered by this ICR. These O&M costs reflect non-labor costs associated with sample

shipping and analysis for each of the rules (as well as material costs associated with public 

education materials and postage). These costs vary by rule according to the frequency and cost of 

a particular analysis.

In addition to O&M costs, the requirements of one rule (i.e., SWTR) result in capital 

costs to affected PWSs. Capital costs are incurred to buy and replace monitoring equipment 

necessary for on-site analysis of disinfectant residuals and water pH. Capital costs are based on 

vendor estimates for both in-line and portable equipment, as required by regulations. Equipment 

costs are based on a seven-year replacement cycle. Details on the labor, capital, and O&M costs 

associated with each rule can be found in Appendices B through H.

6(b)(ii) Cost to Primacy Agencies

Exhibit 8 shows that the annual cost to primacy agencies is estimated at approximately

$85 million, which is comprised almost exclusively of labor costs. There are some O&M costs 
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

69

associated with the Lead and Copper Rule ($7,324). There are no primacy agency capital costs 

associated with this ICR.

Exhibit 7

Annual PWS Burden and Cost January 1, 2012 – December 31, 2014

Annual 

Labor Cost

($K)

Annual 

O&M Cost 

($K)

Annual 

Capital 

Cost

($K)

Total 

Annual 

Cost ($K)

Stage 1 DBPR 596,454 $19,316 $ 91,817 $ - $ 111,132 2,048,521

Stage 2 DBPR 30,842 $1,049 $ 3,525 $ - $ 4,574 13,411

Chemical Phases

Rules (Phases

II/IIB/V) 365,561 $11,838 $ 70,936 $ - $ 82,774 521,256

Radionuclides Rule 14,448 $468 $ 2,828 $ - $ 3,296 28,896

Disinfectant Residual

Monitoring and 

Associated Activities

under SWTR 1,039,257 $33,655 $ 50,055 $ 4,984 $ 88,694 8,851,607

Arsenic Rule 71,761 $2,324 $ 1,481 $ - $ 3,805 20,503

Lead and Copper Rule 1,669,205 $51,742 $ 4,426 $ - $ 56,168 415,256

TOTAL 3,787,528 $120,392 $ 225,068 $ 4,984 $ 350,444 11,899,451

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

Activity

Annual 

Burden 

Hours

Cost

Annual Responses
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Exhibit 8

Annual Primacy Agency Burden and Cost January 1, 2012 – December 31, 2014

6(c) Agency Burden and Costs

Burden and costs to the Federal government are incurred by EPA’s drinking water 

program in Headquarters and EPA Regions to assist States in implementing drinking water 

regulations. EPA burden and costs for on-going general activities for all EPA drinking water 

regulations (not just those listed in this ICR) are accounted for under the PWSS Program ICR. 

Burden and costs included in the PWSS Program ICR cover all cross-cutting (non-rule specific) 

regulatory activities associated with compliance tracking, regulatory enforcement, and rule 

development activities.20

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

Respondents for this ICR include both PWSs and States or other primacy agencies. This 

ICR estimates that the number of PWS respondents is 152,979 existing PWSs21. However, all 

PWSs are not necessarily subject to each of the information collection requirements contained in 

this ICR. The regulations associated with each rule identify the numbers and types of PWSs that 

are subject to each particular provision. In addition to the PWS respondents, this ICR assumes 

 

20 The EPA burden for activities where EPA acts as a primacy agent counts as primacy agency burden and is 

included in totals for primacy agency burden.

21 Source: SDWIS/FED Data from October 2010.

Annual 

Labor Cost

($K)

Annual 

O&M

Cost ($K)

Annual 

Capital 

Cost

($K)

Total Annual 

Cost ($K)

Stage 1 DBPR 148,335 $ 6,496 $ - $ - $ 6,496 49,467

Stage 2 DBPR 50,822 $ 2,226 $ - $ - $ 2,226 114

Chemical Phases Rules

(Phases II/IIB/V) 1,354,532 $ 59,318 $ - $ - $ 59,318 565,379

Radionuclides Rule 1,734 $ 76 $ - $ - $ 76 28,896

Disinfectant Residual

Monitoring and 

Associated Activities

under SWTR 150,462 $ 6,589 $ - $ - $ 6,589 172,504

Arsenic Rule 18,765 $ 822 $ - $ - $ 822 18,765

Lead and Copper Rule 222,157 $ 9,729 $ 7 $ - $ 9,736 103,250

TOTAL 1,946,807 $ 85,255 $ 7 $ - $ 85,262 938,376

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

Activity

Annual 

Burden 

Hours

Cost

Annual 

Responses
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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57 primacy agencies (50 States plus D.C., U.S. Territories, and the Navajo Nation)22. Therefore, 

the total number of respondents is 153,036. 

The total costs and burden for these respondents are summarized in Exhibits 8 and 9. 

EPA costs and burden are detailed in Section 6(c).

6(e) Bottom Line Burden Hours and Costs

The bottom line burden hours and costs appear in Exhibit 9. The total annual respondent 

burden associated with this ICR is estimated to be approximately 5,734,335 hours. The total 

annual respondent costs are estimated to be $436 million. The approximate annual O&M and 

capital costs are $230 million ($225 million for O&M and $5 million for capital (numbers may

not add due to rounding). This represents the “cost burden” as reported in the OMB inventory.

 

22 This is a simplifying assumption. Primacy activities for Wyoming and the District of Columbia are actually 

implemented by the respective EPA Regional offices.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Exhibit 9

Bottom Line Annual Burden and Cost ($K) January 1, 2012 – December 31, 2014

6(f) Reasons for Change in Burden

This section presents the change in burden and explains the reasons for the change in 

burden. The discussion is divided into two parts–

 Section 6(f)(i) summarizes any restructuring adjustments being made for the 

addition of new stand-alone ICRs to the DDBP/Chem/Rads Rules ICR. See 

Exhibit 11.

153,036 (=)

152,979 (+) Existing PWSs

57 Primacy agencies

12,837,827 (=)

11,899,451 (+) PWS responses (see Exhibit 7)

938,376 Primacy agency responses (see Exhibit 8)

83.9 (=)

12,837,827 (/) Total annual responses from above

153,036 Total annual respondents from above

5,734,335 (=)

3,787,528 (+) PWS responses (see Exhibit 7)

1,946,807 Primacy agency responses (see Exhibit 8)

0.45 (=)

5,734,335 (/) Total annual respondent hours from above

12,837,827 Total annual responses from above

$230,059 (=)

$225,068 (+) Total PWS O&M costs (see Exhibit 7)

$4,984 (+) Total PWS capital costs (see Exhibit 7)

$7 Total primacy agency O&M costs (see Exhibit 8)

$435,706 (=)

$350,444 (+) For PWSs (see Exhibit 7)

$85,262 For primacy agencies (see Exhibit 8)

5,734,335 (=)

5,734,335 (+) Total annual respondent hours from above

 - Total EPA hours

$435,706 (=)

$435,706 (+) Total annual respondent cost from above

 - Total EPA cost

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

Total Annual Respondent Cost 

(Labor, Capital, and O&M) ($K)

Total Annual Hours (resp. plus 

Agency) 

Total Annual Cost (resp. plus 

Agency) ($K)

Annual Number of Respondents

Total Annual Responses

Number of Responses per 

Respondent

Total Annual Respondent Hours

Hours per Response

Annual O&M and Capital Cost 

($K)
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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 Section 6(f)(ii) summarizes other adjustments to the annual burden estimates 

associated with each rule in the 2008 DDBP/Chem/Rads Rules ICR. See Exhibits 

13 through 15.

Exhibit 10 summarizes how each of these changes has affected the overall burden 

inventory for the DDBP/Chem/Rads Rules ICR. 

Exhibit 10

Summary of Changes in Annual Burden (Includes both PWS and Primacy Agency Burden)

6(f)(i) Restructuring Adjustments

No restructuring adjustments are being made for the addition of new stand-alone ICRs to 

the DDBP/Chem/Rads Rules ICR, as shown in Exhibit 11. In the next revision to the 

DDBP/Chem/Rads Rules ICR any burden from relevant standalone ICRs that have expired will 

be newly incorporated into the DDBP/Chem/Rads Rules ICR. 

Type of Change Burden (hours) Running Total Comment

Burden Estimated in the 2008 

DDBP/Chem/Rads Rules ICR

6,119,259 6,119,259 This burden serves as the baseline for 

the 2012 DDBP/Chem/Rads Rules ICR.

Restructuring 

Adjustments–see Section 

6(f)(i) 0

6,119,259

2012 DDBP/Chem/Rads Rules ICR is not 

appended with burden from any new 

ICRs.

Other Adjustments to 

Burden–see Section 6(f)(ii) (384,924) 5,734,335 Burden for which EPA seeks approval in this ICR.

Note: Detail may not add exactly to totals due to rounding.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Exhibit 11

Restructuring Adjustments to the Annual Burden Inventory for the DDBP/Chem/Rads 

Rules ICR (Includes both PWS and Primacy Agency Burden)

6(f)(ii) Other Burden Adjustments

Changes in calculated burden are a result of updating relevant baseline information for 

each rule with the most current and accurate information available (e.g., PWS inventories) and 

updating burden to incorporate the results of consultation with stakeholders. Where appropriate

and available, estimated violation, waiver, and other associated rates have also been updated to 

reflect current information on rule compliance. Exhibits 13 and 14 summarize reasons for these 

changes and quantify the changes by rule. Burden adjustments associated with PWS activities 

resulted in a burden decrease of 295,912 hours and are detailed in Exhibit 12. Burden 

adjustments for primacy agencies result in a decrease of 89,012 hours per year, as shown in 

Exhibit 13.

Action Annual Burden Hours Brief Explanation

N/A 5,734,335 Inventory for the 2008 DDBP/Chem/Rads 

Rules ICR carried forward as the baseline 

for 2012 DDBP/Chem/Rads Rules ICR 

(includes PWS, State, and EPA burden)

Add 0 2012 DDBP/Chem/Rads Rules ICR is not 

appended with burden from any new 

ICRs.

Total 5,734,335 2012 DDBP/Chem/Rads Rules ICR 

inventory based on current burden 

inventories
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Exhibit 12

Adjustments to PWS Burden from Previous ICR Estimates

Activity

Previous Annual 

Burden Estimate 

(hours)

2012 Annual

Burden Estimate 

(Hours)

Annual Change in 

Burden

(Hours) Reason for Change in Annual Burden

Stage 1 DBPR 503,145 596,454 93,309 The increase in burden hours is 

attributable to the use of updated 

system inventories, numbers of entry 

points per system, and percentages of 

systems disinfecting, all of which are 

used to calculate monitoring costs. 

There was also a slight increase in 

burden due incorporation of 

consultation results.

Stage 2 DBPR 324,108 30,842 (293,266) The decrease in burden hours is 

attributable to the completion of various 

activities required in the first 6 years 

after promulgation. Implementation, 

IDSEs, and monitoring plans were all 

completed during the previous ICR 

period.

Chemical Phases 

Rules (Phases 

II/IIB/V)

404,751 365,561 (39,190) The decrease in PWS burden is 

attributable to a combination of updated 

system inventories and entry points per 

system used to calculate monitoring 

costs.

Radionuclides 35,278 14,448 (20,830) The decrease in burden is attributable 

to the fact that many systems only have 

to monitor every 6 or 9 years and do not 

have to take samples during this ICR 

period.

Disinfectant Residual 

Monitoring and 

Associated Activities 

under SWTR

1,013,976 1,039,257 25,281 The increase in burden is attributable to 

the use of updated system inventories 

and entry points per system to calculate 

monitoring costs.

Arsenic Rule 98,735 71,761 (26,974) The decrease in PWS burden is 

attributable to a combination of updated 

system inventories and entry points per 

system used to calculate monitoring 

costs. Also, the number of samples 

decreased from the previous ICR 

period; the previous period included 

burden for systems exceeding the MCL 

and taking quarterly samples for a year 

before returning to compliance.

Lead and Copper 

Rule

1,703,448 1,669,205 (34,243) The decrease in burden is attributable 

to the use of updated system 

inventories and data on action level 

exceedances, as well as updates to and 

QA of the model.

TOTAL 4,083,440 3,787,528 (295,912) Adjusted PWS Burden
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Exhibit 13

Adjustments to Primacy Agency Burden from Previous ICR Estimates

Exhibit 14 shows the affect of these adjustments on the bottom line burden. Subtracting 

295,912 hours to account for the adjustment for the PWS burden and 89,012 hours to account for 

the downward adjustment for the primacy burden yields 5,734,335 hours.

Activity

Previous Annual 

Burden Estimate 

(hours)

2012 Annual

Burden Estimate 

(Hours)

Annual 

Change 

in Burden

(Hours) Reason for Change in Annual Burden

Stage 1 DBPR 145,168 148,335 3,167 

The increase in burden hours is attributable to the 

use of updated system inventories and entry 

points per system to calculate monitoring burden, 

and State burden is based on system burden.

Stage 2 DBPR 29,511 50,822 21,311 

The increase in burden hours is attributable to the 

need for states to oversee compliance monitoring, 

which begins in 2012.

Chemical Phases Rules 

(Phases II/IIB/V) 1,354,532 1,354,532 0 

The State burden for this rule is based on the State 

Workload Model, which has not changed.

Radionuclides 4,233 1,734 (2,499)

The decrease in burden is attributable to the fact 

that many systems only have to monitor every 6 or 

9 years and do not have to take samples during 

this ICR period; State burden is based on system 

burden.

Disinfectant Residual 

Monitoring and 

Associated Activities 

under SWTR 271,310 150,462 (120,848)

Because total SWTR primacy agency burden is 

derived from the State Workload Model, a single 

burden value is given for the SWTR. Therefore, in 

order to estimate burden for SWTR activities 

covered under this ICR, burden hours were 

apportioned based on the relative proportion of 

burden hours for PWS activities covered under 

this ICR and the Microbial Rules ICR.

Arsenic Rule 28,210 18,765 (9,445)

The decrease in burden is attributable to a 

decrease in the system burden; state burden is 

based on system burden. System burden 

decreased due to a combination of updated system 

inventories and entry points per system used to 

calculate monitoring costs. Also, the number of 

samples decreased from the previous ICR period; 

the previous period included burden for systems 

exceeding the MCL and taking quarterly samples 

for a year before returning to compliance.

Lead and Copper Rule 202,855 222,157 19,302 

The increase in burden is due to updates to and 

QA of the model.

TOTAL 2,035,819 1,946,807 (89,012) Adjusted Primacy Agency Burden

Note: Detail may not add exactly to totals due to rounding.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

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Exhibit 14

Adjustments to Annual Burden Carried Forward from Previous ICR Estimates (Includes 

both PWS and Primacy Agency Burden)

6(g) Burden Statement

 

The public reporting burden for collections included in this ICR is detailed in Exhibit 14

above. The annual respondent burden is estimated to average approximately 5,734,335 hours, of 

which 3,787,528 hours are attributable to PWSs and 1,946,807 hours to primacy agencies

(numbers may not add due to rounding). These estimates include time for gathering information 

as well as developing and maintaining records.

Burden means the total time, effort, or financial resources expended by people to 

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

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

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

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

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

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

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

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

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

regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

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

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

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

Docket ID Number EPA-HQ-OW-2011-0439, which is available for online viewing at 

www.regulations.gov, or in person viewing at the Water Docket in the EPA Docket Center 

(EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA 

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

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

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

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

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

Action Annual Burden Hours Brief Explanation

None 6,119,259 2008 DDBP/Chem/Rads Rules ICR inventory based on current burden 

inventories (see Exhibit 11).

Add (295,912) Adjustment to the PWS burden carried forward from previous ICRs (see 

Exhibit 12).

Add (89,012) Adjustment to the primacy agency burden carried forward from previous 

ICRs (see Exhibit 13).

Total 5,734,335 Hours requested in 2012 DDBP/Chem/Rads Rules ICR.

Note: Detail may not add exactly to totals due to rounding.
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR September 2011

78

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

“search,” then key in the Docket ID Number identified above. Also, you can send comments to 

the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th 

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

Docket ID Number EPA-HQ-OW-2011-0439 and the OMB Control Number 2040-0204 in any 

correspondence.