Draft Information 

Collection Request for the 

Microbial Rules 

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TABLE OF CONTENTS 

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

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

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

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

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

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

3 NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 

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

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

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

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

3(d) Effects of Less Frequent Collection ..................................................................... 12

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

3(f) Confidentiality...................................................................................................... 12

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

4 RESPONDENTS AND INFORMATION REQUESTED ................................... 13

4(a) Respondents/NAICS Codes.................................................................................. 13

4(b) Information Requested ......................................................................................... 13

5 INFORMATION COLLECTED -- AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT.......................... 38

5(a) Agency Activities ................................................................................................. 38

5(b) Collection Methodology and Management .......................................................... 40

5(c) Small Entity Flexibility ........................................................................................ 41

5(d) Collection Schedule.............................................................................................. 43

6 ESTIMATING BURDEN AND COST OF COLLECTION................................ 44

6(a) Respondent Burden............................................................................................... 45

6(b) Respondent Costs ................................................................................................. 49

6(c) Agency Burden and Costs .................................................................................... 51

6(d) Estimating Respondent Universe and Total Burden and Costs............................ 51

6(e) Bottom Line Burden Hours and Costs.................................................................. 52

6(f) Reasons for Change in Burden ............................................................................. 53

6(g) Burden Statement ................................................................................................. 58
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APPENDICES

Appendix A. Federal Register Notice Soliciting Comments on Information Collection 

Requests 

 

Appendix B. Surface Water Treatment Rule Spreadsheets 

Appendix C. Total Coliform Rule Spreadsheets 

Appendix D. Interim Enhanced Surface Water Treatment Rule Spreadsheets 

Appendix E. Long Term 1 Enhanced Surface Water Treatment Rule Spreadsheets 

Appendix F. Long Term 2 Enhanced Surface Water Treatment Rule Spreadsheets 

Appendix G. Ground Water Rule Spreadsheets 
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LIST OF EXHIBITS

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

Exhibit 2: PWS Recordkeeping and Reporting Requirements .............................................. 14

Exhibit 3: Primacy Agency Recordkeeping and Reporting Requirements............................ 19

Exhibit 4: EPA Requirements................................................................................................ 39

Exhibit 5: Collection Schedule .............................................................................................. 43

Exhibit 6: Annual PWS Burden and Cost, October 1, 2008 – September 30, 2011.............. 51

Exhibit 7: Annual Primacy Agency Burden and Cost, October 1, 2008 – 

September 30, 2011 .............................................................................................. 51

Exhibit 8: Bottom Line Annual Burden and Cost, October 1, 2008 – 

September 30, 2011 .............................................................................................. 53

Exhibit 9: Summary of Changes in Annual Burden (Includes PWS and Primacy Agency 

Burden) ................................................................................................................. 54

Exhibit 10: Restructuring Adjustments to the Annual Burden Inventory for the Microbial 

Rules ICR (Includes PWS and Primacy Agency Burden).................................... 55

Exhibit 12: Adjustments to Primacy Agency Burden from Previous ICR Estimates............. 57

Exhibit 13: Adjustments to Annual Burden Carried Forward from Previous ICR 

Estimates (Includes PWS and Primacy Agency Burden) ..................................... 58
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LIST OF FIGURES 

Figure 1: Structure of OGWDW ICRs 5 

 
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ACRONYMS

CCP Composite Correction Program 

CCR Consumer Confidence Report 

CDC Centers for Disease Control and Prevention 

CFE Combined Filter Effluent 

CFR Code of Federal Regulations 

CPE Comprehensive Performance Evaluation 

CT Contact Time 

CWS Community Water System 

CWSS Community Water System Survey 

DBPR Disinfectants and Disinfection Byproducts Rule 

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

Radionuclides 

DWSRF Drinking Water State Revolving Fund 

EPA Environmental Protection Agency 

ESWTR Enhanced Surface Water Treatment Rule 

FBRR Filter Backwash Recycling Rule 

FR Federal Register 

FTE Full Time Equivalent 

GWR Ground Water Rule 

GWUDI Ground Water Under the Direct Influence of Surface Water 

HAA5 Haloacetic Acids 

HPC Heterotrophic Plate Count 

ICR Information Collection Request 

IESWTR Interim Enhanced Surface Water Treatment Rule 

IFA Individual Filter Assessment 

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 

NAICS North American Industry Classification System 

NCWS Noncommunity Water System 

NPDWRs National Primary Drinking Water Regulations 

NTNCWS Nontransient Noncommunity Water System 

NTU Nephelometric Turbidity Unit 

O&M Operation and Maintenance 

OGWDW Office of Ground Water and Drinking Water 

OMB Office of Management and Budget 

PN Public Notification 

PRA Paperwork Reduction Act 

PWS Public Water System 

PWSS Public Water System Supervision 

RegNeg Regulatory Negotiation 

RIA Regulatory Impact Analysis 

RFA Regulatory Flexibility Analysis 

SBARP Small Business Advocacy Review Panel 

SBREFA Small Business Regulatory Enforcement Fairness Act 

SCADA Supervisory Control and Data Acquisition 

SDWA Safe Drinking Water Act 

SDWIS Safe Drinking Water Information System 
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SER Small Entity Representative 

SOC Standard Occupational Classification 

SNC Significant Non-Compliance 

SWAP Source Water Assessment Program 

SWTR Surface Water Treatment Rule 

TCR Total Coliform Rule 

TTHM Total Trihalomethanes 

UIC Underground Injection Program 

V&Es Variances and Exceptions 
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1 IDENTIFICATION OF THE INFORMATION COLLECTION 

1(a) Title and Number of the Information Collection 

 Title: Information Collection Request for the Microbial Rules 

 OMB Control Number: 2040-0205 

 EPA Tracking Number: 1895.04 

 

1(b) Short Characterization 

 

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

Protection Agency (EPA or the Agency) is responsible for developing National Primary 

Drinking Water Regulations (NPDWRs) as mandated by the Safe Drinking Water Act (SDWA). 

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

adversely impact human health. 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) 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. State1

 governments—in 

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

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

monitoring requirements. As part of the Public Water System Supervision (PWSS) Program, the 

OGWDW uses the Safe Drinking Water Information System (SDWIS) to record some of the data 

collected as a result of NPDWR requirements. SDWIS is a database management system that 

assists EPA in tracking and interpreting 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 

November 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 agencies, including the 50 States, the District of Columbia, U.S. territories (Puerto Rico, 

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

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

burden. 
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 This ICR examines PWS, primacy agency, and EPA burden and costs for recordkeeping 

and reporting required in support of microbial contaminant-associated rulemakings. These rules 

include the following— 

1) Surface Water Treatment Rule (SWTR)2

2) Total Coliform Rule (TCR) 

3) Interim Enhanced Surface Water Treatment Rule (IESWTR) 

4) Filter Backwash Recycling Rule (FBRR) 

5) Long Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR) 

6) Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR)3

7) Ground Water Rule (GWR)4

 This ICR estimates burden and costs for October 1, 2008, and September 30, 2011, for 

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

dated November 2004, which expires on September 30, 2008. This ICR includes burden for the 

GWR only for the period after October 31, 2009. GWR burden incurred prior to this date is 

addressed in the stand-alone ICR for that rule. The burden and cost estimates for each rule are 

discussed in greater detail in Section 6 of this document. 

 Continuing costs and burden for several existing drinking water regulations are evaluated 

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

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

approximately $554.0 million. The distribution of annual burden between PWSs and primacy 

agencies is approximately 8.5 million hours and 2.1 million hours, respectively. The distribution 

of annual costs between PWSs and primacy agencies is approximately $462.1 million and $91.9 

million, respectively. There is no Agency burden or cost for this ICR. Section 6 and Appendices 

B through H detail these burden and cost calculations. 

 The approximate annual operation and maintenance (O&M) and capital costs are $197.2 

million ($110.6 million for O&M and $86.6 million for capital). This represents the “cost 

burden” as reported in the OMB inventory. Note that these costs are for PWSs only; primacy 

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

 The total number of respondents for this ICR is 155,750; 57 of these respondents are 

primacy agencies and the balance are existing PWSs (155,693). The total annual number of 

responses for these respondents is 12.1 million (10.1 million for PWSs and 2.0 million for 

primacy agencies). 

 

2

 This Microbial Rules ICR includes all SWTR components except disinfectant residual monitoring and associated 

activities, which are included in the Disinfectants and Disinfection Byproducts, Chemical, and Radionuclides 

(DDBP/Chem/Rads) Rules ICR (see section 4(b)(i)). 

3

 The burden for this rule was previously addressed in stand-alone ICR OMB #2040-0266. It is being incorporated 

into the Microbial Rules ICR for the first time. 

4

 The burden for this rule was previously addressed in stand-alone ICR OMB #2040-0271. It is being incorporated 

into the Microbial Rules ICR for the first time. 
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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 describes why EPA needs the information. Section 4 contains 

a summary of the major recordkeeping and reporting requirements for rules covered by this ICR. 

 The Microbial Rules ICR includes the following rules addressing microbial 

contaminants— 

1) Surface Water Treatment Rule 

2) Total Coliform Rule 

3) Interim Enhanced Surface Water Treatment Rule 

4) Filter Backwash Recycling Rule 

5) Long Term 1 Enhanced Surface Water Treatment Rule 

6) Long Term 2 Enhanced Surface Water Treatment Rule 

7) Ground Water Rule 

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

new rules. 

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

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

drinking water program ICRs, is included as Exhibit 1. 

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

and enforcement responsibilities under SDWA. 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... 
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 In addition, §1401(1)(d) of the SDWA 1986 Amendments defines NPDWRs to include 

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

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

procedures ...” This section authorizes EPA to require systems and laboratories to use Agencyapproved methods and quality assurance criteria for collecting and analyzing water samples. 
Microbial Rules ICR September 2008

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UIC Program ICR

2040-0042

Green = Activities remain as in current 

ICR

Blue = Activities moving out of standalone ICRs

Purple = Future rule to be addressed in 

stand-alone ICR

Figure 1. Structure of OGWDW ICRs

PWSS Program ICR

2040-0090

DDBP/Chem/Rads Rules ICR

2040-0204

Cap Dev

V&E’s Proficiency

Testing

CCRs PN

State 

Primacy 

Activities

Chems LCR Stage 1

Rads

IESWTR SWTR

LT1

Microbial Rules ICR

2040-0205

FBRR TCR

GWR

Arsenic Stage 2

Op Cert

LT2

Lab QA

2040-0246

Needs Survey

2040-0251

DW SRF

2040-0185

SWAP

2040-0197

Bioterrorism

2040-0253

Tribal Op 

Cert

UCMR 2 

2040-0270

Class V

Florida

Class I

UIC Program

Constructed 

Conveyances

ADWR

LCR

STR

DDBP/Chem/Rads Rules ICR includes

disinfectant residual monitoring under SWTR

UIC Program ICR

2040-0042

Green = Activities remain as in current 

ICR

Blue = Activities moving out of standalone ICRs

Purple = Future rule to be addressed in 

stand-alone ICR

Figure 1. Structure of OGWDW ICRs

PWSS Program ICR

2040-0090

DDBP/Chem/Rads Rules ICR

2040-0204

Cap Dev

V&E’s Proficiency

Testing

CCRs PN

State 

Primacy 

Activities

Chems LCR Stage 1

Rads

IESWTR SWTR

LT1

Microbial Rules ICR

2040-0205

FBRR TCR

GWR

Arsenic Stage 2

Op Cert

LT2

Lab QA

2040-0246

Needs Survey

2040-0251

DW SRF

2040-0185

SWAP

2040-0197

Bioterrorism

2040-0253

Tribal Op 

Cert

UCMR 2 

2040-0270

Class V

Florida

Class I

UIC Program

Constructed 

Conveyances

ADWR

LCR

STR

DDBP/Chem/Rads Rules ICR includes

disinfectant residual monitoring under SWTR
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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) 

Proficiency Testing 

Variances & Exemptions 

The Capacity Development Program 

General State Primacy Activities 

Public Notification (PN) 

Operator Certification Guidelines and Expense 

Reimbursement Grants Program 

Tribal Operator Certification 

Constructed Conveyances 

Microbial Rules ICR (2040-0205) 

Surface Water Treatment Rule, except disinfectant 

residual monitoring and associated activities5

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 Radon 

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 Florida Class I Rule 

Class V Rule 

 

5

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

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

Drinking Water State Revolving Fund Program 

Drinking Water Infrastructure Needs Survey ICR (2040-0251) 

2007 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). 

1) Surface Water Treatment Rule 

 The 1986 SDWA Amendments required EPA to propose and promulgate a NPDWR 

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

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

this regulation and setting the criteria, EPA was required to consider source water quality; 

protection afforded by watershed management programs; treatment techniques, such as 

disinfection practices and length of water storage; and other factors relevant to protection of 

health. The requirements for the SWTR included in this ICR help EPA promote public health 

through proper operation of filtration techniques. Additional SWTR requirements, such as 

monitoring and watershed control programs, promote protection of public health in the absence 

of filtration. 

2) Total Coliform Rule 

 The 1986 SDWA Amendments required EPA to publish maximum contaminant level 

goals (MCLGs) and promulgate NPDWRs for the 83 contaminants listed in the Advance Notice 

of Proposed Rulemaking at 47 FR 45502 (March 4, 1982) and 48 FR 45502 (October 5, 1983). 

EPA believes that promulgation of this regulation complied with the statutory requirements for 

regulating total coliforms in all PWSs. 

3) Interim Enhanced Surface Water Treatment Rule 

 

 SDWA Section 1412(b)(2)(c) requires EPA to promulgate an Interim Enhanced Surface 

Water Treatment Rule. The IESWTR sets the first drinking water standards to control 

Cryptosporidium in large systems. 

4) Filter Backwash Recycling Rule 

 

 SDWA was amended in August 1996, resulting in the addition of new sections that 

establish new drinking water requirements. SDWA Section 1412(b)(14) requires the 

Administrator to promulgate a regulation to govern the recycling of filter backwash water within 

the treatment process of a PWS. The FBRR satisfies this regulatory requirement. 
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5) Long Term 1 Enhanced Surface Water Treatment Rule 

 SDWA Section 1412(b)(2)(C) established a number of regulatory deadlines, including 

two stages of the Enhanced Surface Water Treatment Rule (ESWTR). The LT1ESWTR is part 

of the first stage of the ESWTR. The LT1ESWTR strengthens the standards previously 

established under the SWTR and applies the standards set for Cryptosporidium in the IESWTR 

to small systems. 

6) Long Term 2 Enhanced Surface Water Treatment Rule

The final LT2ESWTR was promulgated January 5, 2006. Implementation schedules vary 

by system size, but burden will include the following: 

• Monitoring for E. coli and/or Cryptosporidium (usually monthly but biweekly for 

some small systems). 

• PWSs must calculate a bin classification based on the monitoring results. This 

classification will be used to determine treatment requirements. Not all systems 

will calculate bin classification during the period covered by the revised ICR. 

• PWSs must cover any uncovered finished water reservoirs or else provide further 

treatment and must develop a plan for doing so. 

• PWSs that intend to make a significant change in their disinfection practice must 

develop a disinfection profile and benchmark for Giardia and viruses. 

• States will review monitoring results and assist with and review bin 

classifications. They will also review documentation associated with covering or 

treating uncovered finished water reservoirs and with changing disinfection. 

7) Ground Water Rule

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

water regulation requiring disinfection of ground water as necessary. The GWR sets conditions 

where disinfection of ground water is considered necessary. The final GWR was promulgated 

November 8, 2006. Burden will include the following: 

• Ground water systems providing 4-log treatment of viruses must begin 

compliance monitoring to demonstrate treatment effectiveness. 

• Ground water systems for which the state has identified a significant deficiency 

(during a sanitary survey) and systems that have confirmed fecal contamination of 

their source waters must comply with the treatment technique requirements and 

any associated reporting requirements. 

• Ground water systems that do not provide 4-log treatment of viruses must conduct 

triggered source water monitoring if the system tests positive for total coliform in 

the distribution system under the TCR. 

• Ground water systems will prepare for and participate in sanitary surveys. 

• States will conduct sanitary surveys of ground water systems. 

• States will track and file monitoring results and review any additional reporting 

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

 The information described in Section 4 of this ICR will be collected by EPA and made 

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

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

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

managers, and primacy agencies, which include State regulators, Indian Tribes, and, in some 

instances, EPA Regional Administrators. Other users include the following— 

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

and Recovery Act, and the Office of Enforcement and Compliance Assurance) 

• Federal Emergency Management 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 (NRWA) 

• National Association of Water Companies (NAWC) 

• Association of State Drinking Water Administrators (ASDWA) 

• Natural Resources Defense Council 

• Consumers Federation of America 

• News organizations 

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

use these records to track PWS monitoring, compliance violations, and enforcement activities. 

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

agencies also report the number of violations, which will help them to target systems for 

compliance and take the necessary remedial action. 

 Primacy agencies report information on PWS violations to SDWIS. This Federal 

information system allows EPA and States to store and retrieve information over time. Trends in 

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

these data are used by the Agency for maintaining oversight and to support Federal enforcement 

actions in cases where States fail to enforce. 
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3 NON-DUPLICATION, CONSULTATIONS, AND OTHER 

COLLECTION CRITERIA 

 

3(a) Non-duplication 

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

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

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

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

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

source. 

 

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

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

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

notice in the Federal Register requesting comment on the estimated respondent burden and other 

aspects of this ICR (Appendix A). EPA did not receive any comments during the 60-day 

comment period. 

3(c) Consultations 

 

 Throughout the development and implementation of various microbial regulations, 

OGWDW has held numerous meetings with interested stakeholders, including State and EPA 

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

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

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

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

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

party may provide oral testimony for Agency consideration. Such meetings are typically 

announced in the Federal Register (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. The following are specific examples of meetings and other consultations 

held by EPA to address the regulations contained in this ICR— 

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

contaminants. 

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

filtration and disinfection of surface water. This FR notice also requested public 

comment on the subject. 

• A FR notice was published on May 6, 1988, to discuss additional alternatives for 

the proposed SWTR. 

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

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

revise/do not revise decisions in the FR to request public comment (67 FR 19029-

19090). EPA received and reviewed comments from 44 commenters. EPA held a 
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stakeholder meeting on May 30, 2002 to discuss the results of these preliminary 

findings. 

• In 1992, EPA instituted a formal regulation negotiation (RegNeg) process to 

discuss proposed amendments to the SDWA with potentially affected parties (57 

FR 53866; Nov. 13, 1992). This RegNeg Committee included representatives 

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

agencies, environmental groups, consumer groups, and EPA. The RegNeg 

Committee agreed that EPA should propose three rules: Information Collection 

Rule (finalized in 1996), a staged Enhanced Surface Water Treatment Rule, and a 

staged Disinfectants and Disinfection Byproducts Rule. 

• A microbial contaminants and disinfection byproducts advisory committee, 

formed under the authority of the Federal Advisory Committees Act, convened in 

1997 to review the data and assumptions used to support the 1994 proposed 

changes to the SWTR and data that had subsequently been collected. In July 

1997, participants signed an agreement in principle, outlining the Committee’s 

recommendations to EPA on the major components of the IESWTR and Stage 1 

DBPR. 

• Between March and December 1997, the Small System Data Needs Working 

Group held six meetings to discuss availability of water quality and financial data 

for small systems. 

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

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

24 invited SERs, 15 participated in the teleconference. 

• On August 21, 1998, a Small Business Advocacy Review Panel (SBARP) met to 

discuss the proposed FBRR and LT1ESWTR. Two additional meetings of the 

SBARP were held between August 21 and October 19, 1998. 

• In September 1998, the SBARP distributed information on regulatory approaches 

and costs to the SERs for review and comment. 

• The SBARP and SERs participated in a joint teleconference on September 25, 

1998. 

• A Stage 2 Microbial Disinfectants and Disinfection Byproducts (M-DBP) 

Advisory Committee was formed under the authority of the Federal Advisory 

Committees Act. The committee represented a broad cross section of 

organizations and convened 14 times between March 1999 and February 2000. 

• EPA held 3 meetings with representatives of small entities and one meeting with 

tribal representatives to discuss LT2ESWTR. 

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

initial meeting, five meetings were held throughout the country. Early 

involvement meetings were also held with State regulators. EPA also received 

input from small system operators. 

 

As part of the revision of the Microbial Rules ICR, in early 2008 EPA consulted with 

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

groups consulted were NAWC, NRWA, AWWA, AMWA, and ASDWA. NAWC deferred to 

AMWA’s and AWWA’s comments, and NRWA did not submit any comments on the microbial 

rules. AWWA submitted written comments but did not provide revised estimates. AMWA and 

ASDWA both submitted revised burden estimates. EPA incorporated the input received into the 

models that estimate the burden for each rule addressed in this ICR. The end of each appendix to 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 12 

the ICR contains a table summarizing EPA’s previous and revised burden estimates for the 

relevant rule. 

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

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

development of this document. 

3(d) Effects of Less Frequent Collection 

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

possible, EPA has chosen to require the least frequent collection that remains consistent with 

overall public health protection objectives. If data are collected less frequently, the primacy 

agency may not identify in a timely fashion significant contaminant concentrations which might 

threaten the health and safety of drinking water consumers. 

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

adjusting the monitoring schedules. Monitoring schedules vary based on the number of people 

served by a system, contaminants likely to be found, and source of raw water supply. The 

monitoring frequency design also considers that the number of people served affects exposure to 

contaminants, as well as the resources available to undertake monitoring activity. Monitoring 

frequencies have been carefully devised based on the following factors— 

• Data quality needed for a representative sample. 

• Precision and accuracy needed from the representative sample. 

• Number of people served by the system. 

• Source of the supply (e.g., surface water or ground water). 

• Contaminants likely to be found. 

• Historical variability in contaminant occurrence. 

3(e) General Guidelines 

 This ICR was prepared in accordance with the November 2005 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. 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 13 

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 the primacy agency. 

• Primacy agencies, which must report to EPA Headquarters. 

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

The NAICS code for State agencies that include drinking water programs is 92411 

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

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

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

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

primary establishment or industry. 

4(b) Information Requested 

 Exhibits 2 and 3 summarize the respondent information collection requirements covered 

by the Microbial Rules ICR. These requirements are also discussed below. 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 14 

Exhibit 2: PWS Recordkeeping and Reporting Requirements 

Requirement Regulatory Citation Frequency/Retention

General Requirements (apply to all regulations)

Reporting 

Except where a different period is specified 

in an individual drinking water regulation, 

PWSs are required to submit the following 

to the State: 

 

Results of any test measurement or 

analysis required in 40 CFR Part 141. 

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

monitoring period 

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

(c) 

As necessary, unless State lab 

performs analysis and reports 

results to State 

Copies of records required to be 

maintained under 141.33 and/or copies of 

documents that the State is entitled to 

under Section 1445 of SDWA or State law. 

40 CFR 141.31(e) As requested by the State 

Recordkeeping

Except where a different period is specified 

in an individual drinking water regulation, 

PWSs are required to retain the following 

information: 

 

Records of bacteriological or chemical 

analyses and related information. 

40 CFR 141.33(a) 5 years for bacteriological data; 

10 years for chemical data 

Records of actions taken by the PWS to 

correct violations of NPDWRs. 

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

related to the violation 

Copies of any written reports, summaries, 

or communications relating to sanitary 

surveys. 

40 CFR 141.33(c) 10 years 

Records concerning a variance or 

exemption granted. 

40 CFR 141.33(d) 5 years following the expiration of 

the variance or exemption 

SWTR (all requirements except those regarding disinfection residual monitoring) 

Unfiltered Systems – Reporting 

Report source water quality information to 

the State for each month the system 

serves water to the public. 

40 CFR 141.75(a)(1)(i) 

through (ix) 

Monthly 

Report to the State a summary of PWS 

compliance with all watershed control 

program requirements. 

40 CFR 141.75(a)(3) Annually 

Report to the State on the on-site 

inspection conducted during that year. 

40 CFR 141.75(a)(4) Annually 

Any waterborne disease outbreak 

potentially attributable to that water system 

must be reported to the State. 

40 CFR 141.75(a)(5)(i) As necessary, as soon as 

possible but not later than end of 

the next business day. 

Any time turbidity exceeds 5 Nephelometric 

Turbidity Units (NTU) the PWS must inform 

the State. 

40 CFR 141.75(a)(5)(ii) As necessary, as soon as 

practical but no later than 24 

hours after learning of the 

exceedance. 

Filtered Systems – Reporting 

Report to the State turbidity measurements 

and associated information for each month 

the system serves water to the public. 

40 CFR 141.75(b)(1)(i) 

through (iii) 

Monthly 

Any time turbidity exceeds 5 NTU the PWS 

must inform the State. 

40 CFR 141.75(b)(3)(ii) As necessary, as soon as 

practical but no later than 24 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 15 

Requirement Regulatory Citation Frequency/Retention

hours after learning of the 

exceedance. 

Any waterborne disease outbreak 

potentially attributable to that water system 

must be reported to the State. 

40 CFR 141.75(b)(3)(i) As necessary, as soon as 

possible but not later than end of 

the next business day. 

TCR

Reporting 

Prepare written sample siting plan for State 

review. 

40 CFR 141.21(a)(1) As necessary 

Notify the State if fecal coliforms or E. coli 

are present. 

40 CFR 141.21(e)(1) As necessary, by end of the day 

in which system receives results, 

or if state office is closed, by end 

of next business day. 

Report to the State any exceedance of the 

MCL for total coliforms. 

40 CFR 141.21(g)(1) As necessary, by end of next 

business day. 

Report to the State any failure to comply 

with coliform monitoring requirements. 

40 CFR 141.21(g)(2) As necessary, within 10 days 

after discovering the violation. 

Recordkeeping 

Subject to general requirements as listed above. 

IESWTR

Disinfection profiling - Recordkeeping

A PWS must retain disinfection profile data 

in graphic form, as a spreadsheet, or in 

some other format acceptable to the State 

for review as part of sanitary surveys 

conducted by the State. 

40 CFR 141.172(b)(6) As necessary 

Disinfection benchmarking - Reporting

A PWS must submit information to the 

State as part of the required consultation 

process when making significant changes 

to disinfection practices. 

40 CFR 141.172(c)(4) As necessary 

Filtration - Reporting

A PWS using alternative filtration 

technologies must demonstrate to the 

State that the system achieves required 

removal/inactivation. 

40 CFR 141.173(b) As necessary 

A PWS must report combined filter effluent 

turbidity levels for each month that the 

system serves water to the public. 

40 CFR 141.175(a)(1) 

through (3) 

Monthly 

A PWS must report that it has conducted 

individual filter turbidity monitoring for each 

month that the system serves water to the 

public. 

40 CFR 141.175(b)

 

Monthly 

If certain measurement thresholds are 

exceeded, a PWS must report individual 

filter turbidity measurements for each 

month that the system serves water to the 

public. 

40 CFR 141.175(b)(1) 

through (4) 

As necessary 

Following certain exceedances, a PWS 

must report to the State the reason for the 

exceedance or that is has produced a filter 

profile. 

40 CFR 141.175(b)(1) 

and (2) 

As necessary 

Following certain exceedances, a PWS 

must report to the State that it has 

conducted a filter self-assessment. 

40 CFR 141.175(b)(3)

 

As necessary 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 16 

Requirement Regulatory Citation Frequency/Retention

Following certain exceedances, a PWS 

must submit to the State a comprehensive 

performance evaluation (CPE). 

40 CFR 141.175(b)(4)

 

As necessary 

If certain measurement thresholds are 

exceeded, systems must inform the State. 

40 CFR 141.175(c)(1) 

and (2) 

As necessary, as soon as 

possible but no later than the end 

of the next business day. 

Filtration - Recordkeeping

Systems must maintain the results of 

individual filter turbidity monitoring. 

40 CFR 141.175(b) 3 years 

FBRR 

Recordkeeping

Collect and retain on file the following 

recycle flow information for review and 

evaluation by the State: 1) Copy of the 

recycle notification and information 

previously submitted to the State; 2) List of 

all recycle flows and the frequency with 

which they are returned; 3) Average and 

maximum backwash flow rate through the 

filters and the average and maximum 

duration of the filter backwash process in 

minutes; 4) Typical filter run length and a 

written summary of how filter run length is 

determined; 5) The type of treatment 

provided for the recycle flow; and 6) Data 

on the physical dimensions of the 

equalization and/or treatment units, typical 

and maximum hydraulic loading rates, type 

of treatment chemicals used and average 

dose and frequency of use, and frequency 

at which solids are removed, if applicable. 

40 CFR 141.76(d)(1) 

through (6), 141.33 

10 years 

LT1ESWTR 

Reporting 

Report the total number and percentage of 

combined filter effluent (CFE) turbidity 

measurements that exceeded their 95th 

percentile turbidity limit. Report the turbidity 

levels for measurements that exceed their 

maximum turbidity limit. 

40 CFR 141.550-

141.553 

Monthly 

Systems must report that they have 

conducted individual filter turbidity 

monitoring. If a system exceeds 1.0 NTU 

in two consecutive measurements the 

system must include the filter number, 

date, turbidity values, and reason for the 

exceedance at the end of the month. 

40 CFR 141.560-

141.564 

Monthly 

If a self-assessment is required, the system 

must report the date that it was triggered 

and the date that it was completed. 

40 CFR 141.560-

141.564 

As necessary. 

If a CPE is required, the system must 

report that the CPE is required and the 

date that it was triggered. 

40 CFR 141.560-

141.564 

As necessary. 

If a CPE is required, the system must 

submit a copy of the completed CPE 

report. 

40 CFR 141.560-

141.564 

 

As necessary within 120 days 

after the CPE was triggered 
Microbial Rules ICR September 2008

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Requirement Regulatory Citation Frequency/Retention

Report a description of the proposed 

change in disinfection, the system’s 

disinfection profile for Giardia lamblia (and, 

if necessary, viruses) and disinfection 

benchmark, and an analysis of how the 

proposed change will affect the current 

levels of disinfection. 

40 CFR 141.540-

141.544 

As necessary 

Recordkeeping 

Records of CFE turbidity monitoring 

measurements. 

40 CFR 141.550-

141.553 

At least 3 years 

Records of individual filter turbidity 

monitoring measurements. 

40 CFR 141.560-

141.564 

At least 3 years 

Records of disinfection profiles (including 

raw data and analysis). 

40 CFR 141.530-

141.536 

Indefinitely 

Records of disinfection benchmarking 

(including raw data and analysis). 

40 CFR 141.540-

141.544 

Indefinitely 

LT2ESWTR

Reporting 

Results of E. coli and Cryptosporidium (and 

turbidity, if applicable) source water 

monitoring 

40 CFR 141.706(a) Monthly while monitoring is 

required 

Bin classification (or mean Cryptosporidium

level for unfiltered systems) 

40 CFR 141.710(e)(1)-

(e)(2), 141.712 

6 months after source water 

monitoring is complete 

Use of uncovered finished water reservoirs 

and a schedule for covering or disinfecting 

them. 

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

Systems installing technology must 

demonstrate compliance with technology 

based criteria. 

40 CFR 141.715 Varies 

Systems changing disinfection practices 

must develop a disinfection profile and 

benchmark for Giardia and viruses 

40 CFR 141.708-

141.709 

As necessary 

Sampling schedule 40 CFR 141.702 Once prior to initial monitoring 

and once during second round of 

monitoring 

Recordkeeping 

Records of sample results for 

Cryptosporidium, E. coli and turbidity. 

40 CFR 141.706 At least 3 years 

Systems changing technologies must 

complete a disinfection profile for Giardia

and viruses. 

40 CFR 141.708 At least 3 years 

Results of treatment monitoring associated 

with microbial toolbox and with UCFWRs 

40 CFR 141.722 At least 3 years 

Notification that systems will not conduct 

source water monitoring due to having 5-

log treatment in place 

40 CFR 141.722 At least 3 years 

GWR

Reporting 

A PWS conducting compliance monitoring 

must notify the State any time the system 

fails to meet any State-specified 

requirements including, but not limited to, 

minimum residual disinfectant 

concentration, membrane operating criteria 

or membrane integrity, and alternative 

40 CFR 141.405(a) As soon as possible but no later 

than the close of the next 

business day. 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 18 

Requirement Regulatory Citation Frequency/Retention

treatment operating criteria, if operation in 

accordance with the criteria or 

requirements is not restored within 4 hours. 

After completing any corrective action, a 

PWS must notify the State of completion of 

the corrective action 

40 CFR 141.405(a) Within 30 days. 

If a PWS with a positive TCR sample does 

not conduct source water monitoring, the 

system must provide documentation to the 

State that it met the State criteria for 

avoiding monitoring. 

40 CFR 141.405(a) Within 30 days 

Recordkeeping 

Records of corrective actions 40 CFR 141.405(b) At least 10 years 

Reports of public notification 40 CFR 141.405(b) At least 3 years 

Documentation of records of decisions and 

records of invalidation of fecal indicatorpositive ground water source samples. 

40 CFR 141.405(b) At least 5 years 

For consecutive systems, documentation of 

notification to the wholesale system(s) of 

total-coliform positive samples that are not 

invalidated 

40 CFR 141.405(b) At least 5 years 

Records of the State-specified minimum 

disinfectant residual 

40 CFR 141.405(b) At least 10 years 

Records of the lowest daily residual 

disinfectant concentration and records of 

the date and duration of any failure to 

maintain the State-prescribed minimum 

residual disinfectant concentration for a 

period of more than 4 hours 

40 CFR 141.405(b) At least 5 years 

Records of State-specified compliance 

requirements of membrane filtration and of 

parameters specified by the State for 

State-approved alternative treatment and 

records of the date and duration of any 

failure to meet the membrane operating, 

membrane integrity, or alternative 

treatment operating requirements for more 

than 4 hours 

40 CFR 141.405(b) At least 5 years 
Microbial Rules ICR September 2008

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Exhibit 3 

Primacy Agency Recordkeeping 

and Reporting Requirements 

Requirement Regulatory Citation Minimum Frequency/ 

Retention Period 

General Requirements (apply to all regulations) 

Reporting

Submit reports to the Administrator 

containing new violations by PWS and 

new enforcement actions by States that 

occurred during the previous quarter. 

40 CFR 142.15(a)(1) and 

(2) 

Quarterly 

Recordkeeping

Maintain records of tests, measurements, 

analyses, decisions, and determinations 

performed on each PWS to determine 

compliance with applicable provisions of 

State primary drinking water regulations. 

40 CFR 142.14(a) Varies (not less than one year) 

Retain files, which shall include for each 

PWS in the State reports of sanitary 

surveys, records of any State approvals, 

and records of any enforcement actions. 

40 CFR 142.14(d)(2) and 

(3) 

12 years 

SWTR (all requirements except those regarding disinfection residual monitoring) 

Reporting 

A list identifying the name, PWS 

identification number and date of the 

determination for each PWS that the State 

has determined is not required to provide 

filtration treatment. 

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

 

As necessary 

 

A list identifying the name and PWS 

identification number of each PWS that 

the State has determined has no means 

of having a sample transported and 

analyzed for heterotrophic plate count 

(HPC) by a certified laboratory under the 

requisite time and temperature conditions 

and is providing adequate disinfection in 

the distribution system. 

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

Notification of any determination that a 

PWS is not required to provide filtration 

treatment. 

40 CFR 142.15(c)(1)(ii) As necessary within 60 days of 

the end of the calendar quarter 

Recordkeeping

Records of microbiological analyses. 40 CFR 142.14(a)(1) 1 year 

Records of microbiological analyses of 

repeat or special samples. 

40 CFR 142.14(a)(2) 1 year 

Records of turbidity measurements. 40 CFR 142.14(a)(3) 1 year 

Records of decisions made on a systemby-system and case-by-case basis under 

provisions of part 141, subpart H, subpart 

P, or subpart T must be made in writing 

and kept at the State. 

40 CFR 142.14(a)(4)(ii) Varies 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 20 

Requirement Regulatory Citation Minimum Frequency/ 

Retention Period 

Records of any decision to allow a PWS 

to substitute a turbidity limit, sample at 

alternate locations, use continuous 

monitoring (for unfiltered systems), or 

reduce sampling or reporting. 

40 CFR 

142.14(a)(4)(ii)(A)(1) 

through (5),(7),(8) 

40 years or until 1 year after the 

decision is reversed or revised 

Records of any decision that a violation of 

the total coliform MCL was not caused by 

a deficiency in treatment of the source 

water. 

40 CFR 

142.14(a)(4)(ii)(B)(3) 

One year after the decision is 

made 

Records of any decision that total coliform 

monitoring otherwise required because 

the turbidity of the source water exceeds 1 

NTU is not feasible, except that if such 

decision allows a system to avoid 

monitoring without receiving State 

approval in each instance. 

40 CFR 

142.14(a)(4)(ii)(B)(4) 

One year after the decision is 

made 

Records of any decision that a public 

water system’s watershed control program 

meets the requirements of 141.71(b)(2). 

40 CFR 

142.14(a)(4)(ii)(C)(3) 

 

Until the next decision is 

available and filed 

Records of any decision that an individual 

is a qualified operator for a PWS using a 

surface water source or a ground water 

source under the direct influence of 

surface water 

40 CFR 

142.14(a)(4)(ii)(C)(4) 

Until the qualification is 

withdrawn 

Records of any decision that a party other 

than the State is approved by the State to 

conduct on-site inspections. 

40 CFR 

142.14(a)(4)(ii)(C)(5) 

Until the decision is withdrawn 

Records of any decision that an unfiltered 

PWS has been identified as the source of 

a waterborne disease outbreak, and, if 

applicable, that it has been modified 

sufficiently to prevent another such 

occurrence. A copy of the decision must 

be provided to the system. 

40 CFR 

142.14(a)(4)(ii)(C)(6) 

 

Until filtration treatment is 

installed 

Records of any decision that certain 

interim disinfection requirements are 

necessary for an unfiltered PWS for which 

the State has determined that filtration is 

necessary, and a list of those 

requirements. A copy of the requirements 

must be provided to the system. 

40 CFR 

142.14(a)(4)(ii)(C)(7) 

Until filtration treatment is 

installed 

Records of any decision that automatic 

shut-off of delivery of water to the 

distribution system of an unfiltered PWS 

would cause an unreasonable risk to 

health or interfere with fire protection. 

40 CFR 

142.14(a)(4)(ii)(C)(8) 

Until rescinded 
Microbial Rules ICR September 2008

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Requirement Regulatory Citation Minimum Frequency/ 

Retention Period 

Records of any decision that a PWS may 

use alternative filtration technology 

because they consistently achieve 99.9 

percent removal and/or inactivation of 

Giardia lamblia cysts and 99.99 percent 

removal and/or inactivation of viruses. A 

copy of the decision must be provided to 

the PWS. 

40 CFR 

142.14(a)(4)(ii)(C)(11) 

Until the decision is reversed or 

revised 

Records of any decision that a system 

using a ground water source is under the 

direct influence of surface water. 

40 CFR 

142.14(a)(4)(ii)(C)(14) 

40 years 

Records of any determination that a PWS 

supplied by a surface water source or a 

ground water source under the direct 

influence of surface water is not required 

to provide filtration treatment. A copy of 

the determination must be provided to the 

system. 

40 CFR 

142.14(a)(4)(ii)(C)(14)(iii)

 

40 years or until withdrawn, 

whichever is earlier 

Records of analysis for other than 

microbiological contaminants (including 

total coliform, fecal coliform, and 

heterotrophic plate count), residual 

disinfectant concentration, other 

parameters necessary to determine 

disinfection effectiveness. 

40 CFR 142.14(a)(6) 12 years 

Special Primacy Requirements 

An application for approval of a State 

program revision that adopts 40 CFR part 

141, subpart H Filtration and Disinfection.

40 CFR 142.16(b) One time 

TCR 

Reporting 

Reports to the Administrator containing a 

list of PWSs that the State is allowing to 

monitor less frequently than once per 

month for CWSs or less frequently than 

once per quarter for Noncommunity Water 

Systems (NCWSs). 

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

Recordkeeping 

Records of microbiological analyses. 40 CFR 142.14(a)(1) 1 year 

Records of microbiological analyses of 

repeat or special samples. 

40 CFR 142.14(a)(2) 1 year 

Records of any decision to waive the 24-

hour time limit for collecting repeat 

samples after a total coliform-positive 

routine sample. 

40 CFR 142.14(a)(5)(i)(A) 5 years 

Records of any decision to allow a system 

to waive the requirement for five routine 

samples the month following a total 

coliform-positive sample. 

40 CFR 142.14(a)(5)(i)(B)

 

5 years 

Records of any decision to invalidate a 

total coliform-positive sample. 

40 CFR 142.14(a)(5)(i)(C)

 

5 years 

Records of any decision to reduce the 

total coliform monitoring frequency for 

certain CWSs to less than once per 

40 CFR 142.14(a)(5)(ii)(A) Retain in such a manner that a 

system’s current status may be 

determined 
Microbial Rules ICR September 2008

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Requirement Regulatory Citation Minimum Frequency/ 

Retention Period 

month. A copy of the reduced frequency 

decision must be provided to the system. 

Records of any decision to reduce the 

total coliform monitoring frequency for 

certain NCWSs to less than once per 

quarter. A copy of the reduced frequency 

decision must be provided to the system. 

40 CFR 142.14(a)(5)(ii)(B) Retain in such a manner that a 

system’s current status may be 

determined 

Records of any decision to reduce the 

total coliform monitoring frequency for 

certain NCWSs during any month the 

system serves 1,000 persons or fewer. A 

copy of the reduced frequency must be 

provided to the system. 

40 CFR 142.14(a)(5)(ii)(C) Retain in such a manner that a 

system’s current status may be 

determined 

Records of any decision to waive the 24-

hour limit for taking a total coliform sample 

for PWSs that do not practice filtration in 

accordance with part 141, subpart H, and 

that measure a source water turbidity level 

exceeding 1 NTU near the first service 

connection. 

40 CFR 142.14(a)(5)(ii)(D) Retain in such a manner that a 

system’s current status may be 

determined 

Records of any decision that certain 

NCWSs may reduce the frequency of their 

sanitary survey to less than once every 

five years and what that frequency is. A 

copy of the reduced frequency decision 

must be provided to the system. 

40 CFR 142.14(a)(5)(ii)(E) Retain in such a manner that a 

system’s current status may be 

determined 

A list of agents other than the State, if 

any, approved by the State to conduct 

sanitary surveys. 

40 CFR 142.14(a)(5)(ii)(F) Retain in such a manner that a 

system’s current status may be 

determined 

Records of any decision to allow a PWS 

to forgo fecal coliform or E. coli testing on 

a total coliform-positive sample if that 

system assumes that the total coliformpositive sample is fecal coliform-positive 

or E. coli-positive. 

40 CFR 142.14(a)(5)(ii)(G) Retain in such a manner that a 

system’s current status may be 

determined 

IESWTR 

Reporting

A list of subpart H systems that have had 

a sanitary survey completed during the 

previous year and an annual evaluation of 

the State’s program for conducting 

sanitary surveys. 

40 CFR 142.15(c)(5) Annually 

Recordkeeping 

Records of microbiological analyses. 40 CFR 142.14(a)(1) 1 year 

Records of microbiological analyses of 

repeat or special samples. 

40 CFR 142.14(a)(2) 1 year 

Records of turbidity measurements. 40 CFR 142.14(a)(3) 1 year 

Records of decisions made on a systemby-system and case-by-case basis under 

provisions of part 141, subpart H, subpart 

P, or subpart T. 

40 CFR 142.14(a)(4)(ii) As necessary 

Records of systems consulting with the 

State concerning a significant modification 

to their disinfection practice (including the 

status of the consultation). 

40 CFR 142.14(a)(7)(i) As necessary 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 23 

Requirement Regulatory Citation Minimum Frequency/ 

Retention Period 

Records of decisions that a system using 

alternative filtration technologies can 

consistently achieve a 2-log (99 percent) 

removal of Cryptosporidium oocysts, as 

well as the required levels of removal 

and/or inactivation of Giardia and viruses 

for systems using alternative filtration 

technologies. 

40 CFR 142.14(a)(7)(ii) As necessary, kept until decision 

is reversed or revised. 

Records of systems required to conduct a 

filter self-assessment, CPE or composite 

correction program (CCP). 

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

FBRR 

Reporting 

Subject to general requirements as listed above. 

Recordkeeping 

Records of any decisions made to 

approve alternate recycle locations 

40 CFR 

142.14(a)(4)(ii)(A)(9) 

40 years or until 1 year after 

decision is reversed or revised 

LT1ESWTR

Reporting

Subject to general requirements as listed above. 

Recordkeeping

Records of turbidity measurements. 40 CFR 142.14(a)(3) Not less than one year 

Records of disinfectant residual 

measurements and other parameters 

necessary to document disinfection 

effectiveness. 

40 CFR 142.14(a)(4)(i) Not less than one year 

Records of decisions made on a systemby-system and case-by-case basis under 

provisions of part 141, subpart H, subpart 

P, or subpart T. 

40 CFR 142.14(a)(4)(ii) As necessary 

Records of systems consulting with the 

State concerning a significant modification 

to their disinfection practice (including the 

status of the consultation). 

40 CFR 142.14(a)(7)(i) As necessary 

Records of decisions that a system using 

alternative filtration technologies can 

consistently achieve a 2-log (99 percent) 

removal of Cryptosporidium oocysts, as 

well as the required levels of removal 

and/or inactivation of Giardia and viruses 

for systems using alternative filtration 

technologies. 

40 CFR 142.14(a)(7)(ii) As necessary 

Records of those systems required to 

conduct a filter self-assessment, CPE or 

CCP. 

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

LT2ESWTR

Reporting 

The bin classification after the initial and 

after the second round of source water 

monitoring for each filtered system 

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

Any change in treatment requirements for 

these systems due to watershed 

assessment during sanitary surveys 

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

The determination of whether the mean 40 CFR 142.15(c)(6) As necessary 
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Requirement Regulatory Citation Minimum Frequency/ 

Retention Period 

Cryptosporidium level is greater than 0.01 

oocysts/L both after the initial and after 

the second round of source water 

monitoring for each unfiltered system 

Recordkeeping 

Results of Cryptosporidium and E. coli

source water monitoring 

40 CFR 142.14(a)(9) As necessary 

Bin classification after the first and second 

round of monitoring 

40 CFR 142.14(a)(9) As necessary 

Any change in treatment requirements for 

filtered systems due to watershed 

assessment during sanitary surveys 

40 CFR 142.14(a)(9) As necessary 

The determination of whether the mean 

Cryptosporidium level is greater than 0.01 

oocysts/L after the initial and after the 

second round of source water monitoring 

for each unfiltered system 

40 CFR 142.14(a)(9) As necessary 

The treatment processes or control 

measures that systems use to meet their 

Cryptosporidium treatment requirements 

40 CFR 142.14(a)(9) As necessary 

A list of systems required to cover or treat 

the effluent of an uncovered finished 

water storage facility 

40 CFR 142.14(a)(9) As necessary 

GWR

Reporting 

The month and year in which the most 

recent sanitary survey was completed or, 

for a State that used a phased review 

process, the date the last element of the 

applicable eight elements was evaluated 

for each ground water system

40 CFR 142.15(c)(7) As necessary 

The date the system completed the 

corrective action

40 CFR 142.15(c)(7) As necessary 

All ground water systems providing at 

least 4-log treatment of viruses (using 

inactivation, removal, or a State-approved 

combination of 4-log virus inactivation and 

removal) before or at the first customer for 

any ground water source(s).

40 CFR 142.15(c)(7) As necessary 

Recordkeeping 

Records of written notices of significant 

deficiencies

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

Records of corrective action plans, 

schedule approvals, and State-specified 

interim measures 

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

Records of confirmations that a significant 

deficiency has been corrected or the fecal 

contamination in the ground water source 

has been addressed 

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

Records of State determinations and 

records of ground water system’s 

documentation for not conducting 

triggered source water monitoring 

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

Records of invalidations of fecal indicatorpositive ground water source samples 40 CFR 142.14(d)(17) At least 12 years 
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Requirement Regulatory Citation Minimum Frequency/ 

Retention Period 

Records of State approvals of source 

water monitoring plans 

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

Records of notices of the minimum 

residual disinfections concentration (when 

using chemical disinfection) needed to 

achieve at least 4-log virus inactivation 

before or at the first customer 

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

Records of notices of the State-specified 

monitoring and compliance requirements 

(when using membrane filtration or 

alternative treatment) needed to achieve 

at least 4-log treatment of viruses (using 

inactivation, removal, or a State-approved 

combination of 4-log inactivation and 

removal) before or at the first customer 

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

Records of written notices from the 

ground water system that it provides at 

least 4-log treatment of viruses (using 

inactivation, removal, or a State-approved 

combination of 4-log virus inactivation and 

removal) before or at the first customer for 

each ground water source 

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

Records of written determinations that the 

ground water system may discontinue 4-

log treatment of viruses (using 

inactivation, removal, or a State-approved 

combination of 4-log inactivation and 

removal) 

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

4(b)(i) Data Items 

1) Surface Water Treatment Rule6

 

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

 

• Source water coliform data for unfiltered systems. 

• Turbidity data for filtered and unfiltered systems. 

• Residual disinfectant concentrations for filtered and unfiltered systems. (This 

requirement is addressed under the DDBP/Chems/Rads ICR.) 

• Annual summaries of watershed control programs for unfiltered systems. 

• Annual reports summarizing the results of on-site inspections for unfiltered 

systems. 

• A report to the primacy agency within 48 hours following attribution of any 

• waterborne disease outbreak in filtered and unfiltered systems. 

 

6

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

in the DDBP/Chem/Rads Rules ICR (see footnote 2 for more information). All remaining SWTR requirements are 

included in this Microbial Rules ICR. 
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In addition, primacy agencies must submit special reports as specified in 

 §142(15)(c). These reports include— 

• List of PWSs not required to provide filtration. 

• List of PWSs not required to analyze for HPC. 

• Notification of determination that a PWS is not required to provide 

• filtration. 

2) Total Coliform Rule 

 The TCR requires PWSs to collect and report presence or absence of coliform bacteria 

(as total coliform) in the distribution system and data on the presence or absence of E. coli or 

fecal coliform. Primacy agencies must maintain results of sanitary surveys conducted under 

TCR. 

 In addition, primacy agencies must submit special reports as specified in §142(15)(c) and 

must maintain records as specified in §142(14)(a)(5). These reports include lists of PWSs that 

have received permission for reduced monitoring or monitoring waivers and the effective dates 

of these waivers. 

3) Interim Enhanced Surface Water Treatment Rule 

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

and Cryptosporidium) against risks from compounds formed during water disinfection. The 

Interim Enhanced Surface Water Treatment Rule (IESWTR) and Stage 1 Disinfectants and 

Disinfection Byproducts Rule (DBPR), which were promulgated concurrently, address complex 

and interrelated drinking water issues. The IESWTR requires individual filter monitoring and 

modifies the turbidity levels specified in the SWTR. 

 Under the IESWTR, PWSs must report the following— 

• List of PWSs not required to provide filtration. 

• The total number of combined filter effluent (CFE) turbidity measurements that 

exceeded their 95th percentile turbidity limit and the number of measurements 

that exceed their maximum turbidity limit. 

• That they have conducted individual filter turbidity monitoring, including the 

dates, filter number, and turbidities of any measurements that exceed 1.0 NTU. 

• Reports of exceptions to turbidity performance for individual filters. 

• If a self-assessment is required, the system must report the date that it was 

triggered and the date that it was completed. 

• If a comprehensive performance evaluation (CPE) is required, the system must 

report that the CPE is required and the date that it was triggered. 

• If a CPE is required, the system must submit a copy of the completed CPE report. 

• When those systems that are required to develop a disinfection profile plan a 

significant change in disinfection practice, they must submit the profile, along 

with an analysis of how the proposed change will affect the current disinfection 

benchmark to the State for review. 
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 The IESWTR requires PWSs to keep the following records— 

 

• Individual filter turbidity measurements. 

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

• Records of turbidity measurements for individual filters. 

• Records of disinfectant residual measurements and other parameters necessary to 

document disinfection effectiveness. 

• A list of systems consulting with the State to modify their disinfection practices. 

• A record of State decisions regarding the use of alternative filtration technologies 

that have demonstrated 99 percent removal of Cryptosporidium oocysts by 

specific water systems. 

• Records of any other system-by-system and case-by-case decisions made by the 

State under provisions of Section 141, subpart H or subpart P or subpart T. 

• Records of those systems required to perform filter self-assessments, CPEs, or 

composite correction program (CCP). 

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

• Subpart H7 systems that have had a sanitary survey in the last year. 

• Evaluation of the State’s program for conducting sanitary surveys for all Subpart 

H systems. 

4) Filter Backwash Recycling Rule 

 Under the FBRR, PWSs should already have reported the following, but they must keep 

records of the reported information on file— 

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

flow. 

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

• Average and maximum backwash flow rates through the filters. 

• Average and maximum duration of the filter backwash process. 

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

determined. 

• Type of treatment provided for the recycle flow. 

• Data on the physical dimensions of the equalization and/or treatment units, typical 

and maximum hydraulic loading rates, type of treatment chemicals used, average 

dose of treatment chemicals, frequency of treatment chemical use, and frequency 

at which solids are removed, if applicable. 

Primacy agencies must maintain records of decisions regarding alternate recycle 

locations at PWSs. 

 

7

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

water (GWUDI) as a source (40 CFR §141.2). 
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5) Long Term 1 Enhanced Surface Water Treatment Rule 

 Under LT1ESWTR, PWSs must report the following— 

• The total number of CFE turbidity measurements that exceeded their 95th 

percentile turbidity limit and the number of measurements that exceed their 

maximum turbidity limit. 

• That they have conducted individual filter turbidity monitoring, including the 

dates, filter number, and turbidities of any measurements that exceeded 1.0 NTU. 

• If a system exceeds 1.0 NTU in two consecutive measurements the system must 

include the filter number, date, time, and reason for the exceedance at the end of 

the month. 

• Reports of exceptions to turbidity performance for individual filters. 

• If a self-assessment is required, the system must report the date that it was 

triggered and the date that it was completed. 

• If a CPE is required, the system must report that the CPE is required and the date 

that it was triggered. 

• If a CPE is required, the system must submit a copy of the completed CPE report. 

Results of optional monitoring that show total trihalomethane (TTHM) levels 

<0.064 mg/L and haloacetic acid (HAA5) levels <0.048 mg/L (only if the system 

wishes to forgo profiling) or report that disinfection profiling has begun. 

• A description of the proposed change in disinfection, the system’s disinfection 

profile for Giardia lamblia (and, if necessary, viruses) and disinfection 

benchmark, and an analysis of how the proposed change will affect the current 

levels of disinfection. 

 The PWS recordkeeping requirements under the rule include— 

• Records of individual filter turbidity measurements. 

• Records of disinfection profiles. 

• Records of benchmarking. 

 Currently, States are subject to the general reporting requirements under 40 CFR, Section 

 142.15. There are no additional reporting requirements under this rule. 

 The additional State recordkeeping requirements under LT1ESWTR include— 

• Records of turbidity measurements for individual filters. 

• Records of disinfectant residual measurements and other parameters necessary to 

• document disinfection effectiveness. 

• A list of systems consulting with the State to modify their disinfection practices. 

• A record of State decisions regarding the use of alternative filtration technologies 

• that have demonstrated 99 percent removal of Cryptosporidium oocysts by 

• specific water systems. 

• Records of any other system-by-system and case-by-case decisions made by the 

• State under provisions of Section 414, subpart H or subpart P or subpart T. 
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• Records of those systems required to perform filter self-assessments, CPE, or 

• CCP. 

6) Long Term 2 Enhanced Surface Water Treatment Rule 

PWSs must submit the following information— 

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

sampling (for initial and second round monitoring). 

 For systems that filter and serve 10,000 or more (part of this activity occurred during the 

previous ICR clearance period): 

• Monthly E. coli and Cryptosporidium monitoring results, to be taken over a period of 

2 years, plus two matrix spike samples for Cryptosporidium. 

• Monthly turbidity monitoring results (sampled concurrently with Cryptosporidium

and E. coli). 

 For small systems (serving fewer than 10,000 people) that filter: 

• Biweekly E. coli monitoring results, to be taken over a period of 1 year. (Part of this 

monitoring occurred during the previous ICR clearance period.) 

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

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

for Cryptosporidium. 

 For unfiltered systems, 24 Cryptosporidium samples over a period of 2 years for large 

systems and 1 or 2 years for small systems, plus two matrix spike samples for Cryptosporidium

(some of this monitoring occurred during the previous ICR clearance period.) 

 For filtered systems, bin classifications must be reported to the State. All unfiltered 

systems must report their mean Cryptosporidium levels to the State. 

 For systems with uncovered finished water reservoirs (UCFWRs), a schedule to cover the 

reservoir or disinfect the reservoir effluent (this was completed in the previous ICR clearance 

period). 

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

will complete disinfection profiles and benchmarks for Giardia lamblia and viruses and report 

these, along with a description of the proposed change in disinfection practice and an analysis of 

how the proposed change will affect the current level of disinfection (some of this burden will 

occur outside the ICR clearance period). 
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 PWSs of all sizes that install new technology as a result of their bin classifications or 

choose to disinfect the effluent from an UCFWR will be required to demonstrate compliance 

with certain criteria for each technology. (This reporting will occur outside the ICR clearance 

period). 

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

These data must be available for review during sanitary surveys. 

States will be required to maintain the following data— 

• Results of initial and reassessment source water monitoring for small systems 

• Initial bin classifications for each filtered system and mean Cryptosporidium level for 

each unfiltered system 

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

treatment technique requirements, plus any changes in toolbox treatment 

technologies, including all documentation necessary to demonstrate compliance with 

required design and implementation criteria for receiving log credit for toolbox 

options 

• Any changes to initial bin classifications based on watershed assessment during 

sanitary surveys 

• Records of technologies employed by unfiltered systems to meet virus, Giardia, and 

Cryptosporidium inactivation requirements 

• List of systems required to cover or treat effluent of an UCFWR 

States must report the following to EPA— 

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

classifications. Mean Cryptosporidium level for each unfiltered system. 

• Any finding that a system is not meeting its required Cryptosporidium treatment 

level. 

7) Ground Water Rule 

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

Χ Failure to meet any State-specified requirements including minimum residual 

disinfectant concentration, membrane operating criteria or membrane integrity, and 

alternative treatment operating criteria, if operation in accordance with the criteria or 

requirements is not restored within 4 hours. 

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

Χ Documentation to the State within 30 days of a total coliform-positive sample that a 

PWS met the State criteria that exempt the system from source water monitoring 

requirements. 
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PWSs must keep records of the following (40 CFR 141.405)(b)— 

Χ Documentation of corrective actions 

Χ Documentation of notice to the public 

Χ Documentation of records of decisions and records of invalidation of fecal indicatorpositive ground water source samples 

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

total-coliform positive samples that are not invalidated 

Χ For systems, including wholesale systems, that are required to perform compliance 

monitoring, the following additional requirements include: 

o Records of the State-specified minimum disinfectant residual 

o Records of the lowest daily residual disinfectant concentration and records of 

the date and duration of any failure to maintain the State-prescribed minimum 

residual disinfectant concentration for a period of more than 4 hours 

o Records of State-specified compliance requirements of membrane filtration 

and of parameters specified by the State for State-approved alternative 

treatment and records of the date and duration of any failure to meet the 

membrane operating, membrane integrity, or alternative treatment operating 

requirements for more than 4 hours 

For records kept by the States, the additional requirements include (40 CFR 142.14)(d)(17): 

• Records of written notices of significant deficiencies. 

• Records of corrective action plans, schedule approvals, and State-specified 

interim measures. 

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

fecal contamination in the ground water source has been addressed. 

• Records of State determinations and records of ground water system’s 

documentation for not conducting triggered source water monitoring. 

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

• Records of State approvals of source water monitoring plans. 

• Records of notices of the minimum residual disinfections concentration (when 

using chemical disinfection) needed to achieve at least 4-log virus inactivation 

before or at the first customer. 

• Records of notices of the State-specified monitoring and compliance requirements 

(when using membrane filtration or alternative treatment) needed to achieve at 

least 4-log treatment of viruses (using inactivation, removal, or a State-approved 

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

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

4-log treatment of viruses (using inactivation, removal, or a State-approved 

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

customer for each ground water source. 

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

4-log treatment of viruses (using inactivation, removal, or a State-approved 

combination of 4-log inactivation and removal). 
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Additionally, the State must report the following (40 CFR 142.15): 

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

for a State that used a phased review process, the date the last element of the 

applicable eight elements was evaluated for each ground water system. 

• The date the system completed the corrective action. 

• All ground water systems providing at least 4-log treatment of viruses (using 

inactivation, removal, or a State-approved combination of 4-log virus inactivation 

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

4(b)(ii) Respondent Activities 

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

Public Water Systems

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

• Gathering information. 

• Processing, compiling, and reviewing the information collected. 

• Submitting reports and other documents. 

• Recording and maintaining the information. 

 

 For this ICR, these activities are necessary to complete monitoring, reporting, and 

recordkeeping requirements associated with microbial contaminant-related regulations. 

1) Surface Water Treatment Rule 

 Requirements for reporting under the SWTR are separated into those for systems that use 

filtration treatment and those for systems that do not use filtration treatment. The reporting 

requirements for these types of PWSs are summarized in the paragraphs below. 

 Unfiltered Systems

• Monitor and report information on the results of source water monitoring for total 

or fecal coliform and turbidity. 

• Submit this information each month that the system is in operation. 

• Summarize fecal or total coliform monitoring by including the number of total or 

fecal coliform samples collected; the values obtained for each measurement; the 

number of results less than 20/100 milliliters (ml) for fecal coliform or less than 

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

or total coliform results obtained since the start of the six consecutive month 

compliance period; and the percent of samples less than the respective 

performance standard for the six-month compliance period. 

• Summarize turbidity information to include values obtained for each 

measurement of CFE; the value and date of each measurement that exceeded five 

NTUs; and when the system informed its customers to boil their water. 
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• Monitor and report disinfectant residual levels (this requirement is addressed 

under the DBP/Chem/Rads ICR). 

 

 Filtered Systems

• Monitor and report to the State on a monthly basis information regarding CFE 

turbidity. Turbidity reporting requirements vary according to the filtration 

technology used. 

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

under the DBP/Chem/Rads ICR). 

2) Total Coliform Rule 

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

• Collect water samples at specified intervals, as defined in the Federal or State 

regulations. 

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

distribution system. 

• Collect data on the presence or absence of E. coli or fecal coliform, following a 

positive routine total coliform sample. 

• Report laboratory results and violations to the State at frequencies required by 

• Federal and State regulations. 

3) Interim Enhanced Surface Water Treatment Rule 

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

or GWUDI; these PWSs are required to do the following— 

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

system. 

• Report individual filter turbidity monitoring results to the State at frequencies 

specified in the Federal regulations. 

• Report exceptions to the State in cases where the monitoring shows 

exceedances of specific turbidity levels. 

• Perform a filter profile, filter assessment, or a CPE if warranted. 

• Provide a CPE report to the State if necessary. 

4) Filter Backwash Recycling Rule 

• The rule requires all PWSs to collect and retain on file recycle 

flow information for review and evaluation by the State beginning June 8, 2004 

(40 CFR, Section 141.76(d)). 
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5) Long Term 1 Enhanced Surface Water Treatment Rule 

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

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

system. 

• Record individual filter turbidimeter readings at the specified intervals. 

• Report individual filter turbidity monitoring results to the State at frequencies 

specified in the Federal regulations. 

• Report exceptions to the primacy agency in cases where the monitoring shows 

exceedances of specific turbidity levels. 

• Perform a filter profile, filter assessment, or a CPE if warranted. 

• Provide a CPE report to the State if necessary. 

• Develop a disinfection benchmark, if necessary. 

• Consult with the State before making significant changes to disinfection practices. 

6) Long Term 2 Enhanced Surface Water Treatment Rule

Under the LT2ESWTR systems are required to do the following— 

• Monitor source water for E. coli and Cryptosporidium and calculate a treatment 

bin classification based on monitoring results (some systems completed 

monitoring and bin classification during the previous ICR clearance period). 

Filtered systems serving less than 10,000 people may monitor for E. coli as a 

trigger instead. These systems will only sample for Cryptosporidium if their E. 

coli results exceed certain levels. 

• Install additional treatment if monitoring results trigger a system into a bin 

classification requiring additional treatment for Cryptosporidium and report on 

compliance with the requirements for the treatment installed. 

• Prepare disinfection benchmarking reports for Giardia and viruses if disinfection 

is changed. 

• Submit a plan for covering or disinfecting any UCFWRs (this activity was 

completed during the previous ICR clearance period). 

• Keep all monitoring data on file for 3 years. 

7) Ground Water Rule 

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

• Undergo a sanitary survey, compiling records and accompanying the State or third 

party conducting the survey. 

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

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

inactivation of viruses. Under triggered monitoring requirements (40 CFR 

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

sample tested for a fecal indicator (E. coli, enterococci, or coliphage) specified by 

the State. If a system detects the State-specified fecal indicator at its source, then 

the system must take five additional samples within 24 hours unless the State 

determines that corrective action must be taken immediately. 
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• Conduct source water assessment monitoring for fecal indicators if required to do 

so by the state. 

• Comply with treatment technique requirements and any associated reporting 

requirements if the State identifies a significant deficiency during a sanitary 

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

• Monitor disinfectant residual for compliance, for systems providing disinfection 

to achieve 4-log inactivation of viruses. 

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

 Primacy Agencies

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

recordkeeping— 

• Maintain an inventory of PWSs. 

• Compile results of analyses of drinking water samples. 

• Analyze and review PWS data. 

• Make determinations concerning PWSs. 

• Track PWS compliance. 

• List systems not in compliance with drinking water standards. 

• Recordkeeping such as maintaining State approval of plans and specifications, 

enforcement activities, and variances and exemptions (V&E) for each PWS. 

 By conducting these activities, primacy agencies are able to evaluate PWS performance 

and to identify PWS needs and problem areas. They also identify enforcement targets and 

systems requiring remedial action. In addition, States serve as respondents when reporting 

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

Program ICR as general primacy activities. Therefore, only microbial contaminant-specific 

recordkeeping activities have been included in this Microbial Rules ICR. 

1) Surface Water Treatment Rule 

 The SWTR states that primacy agencies must conduct the following— 

• Collect and maintain information submitted by PWSs. 

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

which are not. These records must be kept indefinitely. 

• Submit a special report to the EPA Administrator listing PWSs that are not 

required to filter. 

• Retain the results of microbiological contaminant analyses of source water 

samples in the same manner as other microbiological contaminant analytical 

results. 
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2) Total Coliform Rule 

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

• Analyze monitoring results and identify systems not in compliance with either 

MCLs (or performance criteria) or monitoring and reporting frequencies. 

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

maintain for five years. 

• Submit to the EPA Administrator a special report that lists PWSs that have 

received permission to reduce monitoring requirements. 

• Collect and maintain data regarding the results of sanitary surveys conducted 

under the TCR. 

3) Interim Enhanced Surface Water Treatment Rule 

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

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

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

these responsibilities, States are involved in the following additional activities— 

• Review individual filter turbidity monitoring data. 

• Conducting CPEs for PWSs. 

• Conducting sanitary surveys. 

• Consulting with PWSs on changes in disinfection practice. 

• Conducting follow-up inspections. 

4) Filter Backwash Recycling Rule 

 For the FBRR, primacy agencies incur a recordkeeping requirement for maintaining data 

submitted by conventional and direct filtration PWSs that recycle. Primacy agencies must also 

maintain written approval for all PWSs with alternate recycle locations. 

5) Long Term 1 Enhanced Surface Water Treatment Rule 

 Primacy agencies have the responsibility for ensuring the implementation of the 

LT1ESWTR (40 CFR, Section 142.16). EPA anticipates that States will be involved in the 

following activities— 

• Consulting with PWSs on changes in disinfection practice. 

• Conducting CPEs for PWSs (if requested). 

• Conducting follow-up inspections. 

• Compliance tracking for turbidity 
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6) Long Term 2 Enhanced Surface Water Treatment Rule 

Primacy agencies have the responsibility for ensuring the implementation of the 

LT2ESWTR. This will include the following activities— 

• Obtaining primacy (this activity was completed in the previous ICR clearance 

period) 

• Maintaining and updating the data management system 

• Reviewing small system sampling schedules and sampling locations

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

• Responding to systems’ inquiries

• Reviewing and approving schedules for covering or treating UCFWRs

• Reviewing and approving bin classifications

• Reviewing disinfection profiles and benchmarks 

• Reviewing and, in some cases, approving processes to meet bin treatment 

requirements 

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

• Keeping records of the information in section 4(b)(i) 

7) Ground Water Rule 

States will need to perform the following tasks: 

• Obtain primacy (this activity is assumed to have been completed during the 

previous ICR clearance period) 

• Perform sanitary surveys, and reporting and recordkeeping requirements 

associated with performing sanitary surveys 

• Tracking and filing monitoring results and reviewing any additional reporting 
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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. Agency personnel also reformat, distribute, and store 

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

EPA also oversees its Regional and State programs, provides technical assistance, and develops 

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

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

actions. 

 Burden and costs for the 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. 

 In addition to these activities, the Agency will also assume the activities performed by the 

State in those States and territories that do not have primacy. Specifically, the Agency will be 

involved in the following activities related to microbial contaminant regulations— 

• Mobilization, planning, and implementation. 

• Training PWS and consultant staff. 

• Analyzing and reviewing PWS data. 

• Making determinations concerning PWSs. 

• Conducting CPEs and sanitary surveys. 

• Meeting with PWSs about changes in recycling practices. 

• Compliance tracking. 

• Recordkeeping. 

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

(see Section 6). EPA Regional offices also conduct general primacy activities in States and 

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

in the general primacy burden for primacy agencies. 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 39 

Exhibit 4 

EPA Requirements 

Requirement Regulatory Citation Frequency 

General Requirements (apply to all regulations) 

For States and other entities for which the 

Agency maintains primacy, the Agency must 

maintain the records and perform the reporting 

activities required of States. (This burden is 

addressed under primacy agency burden.) 

40 CFR 142.14 and 142.15 As necessary 

Review State request for approval of a program 

revision and notify State of determination 

regarding request. 

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

necessary 

SWTR 

Publish a notice of any proposed 

comprehensive review of State decisions to 

determine if PWSs must provide filtration. 

40 CFR 142.80(b) As necessary 

Notify each State affected by the results of a 

comprehensive review. 

40 CFR 142.80(c) As reviews are 

completed 

Make the results of comprehensive reviews 

available to the public. 

40 CFR 142.80(c) As reviews are 

completed 

Notify the State if periodic reviews or other 

available information indicate that the State has 

abused its discretion in applying the criteria for 

avoiding filtration or that the State has failed to 

prescribe compliance schedules for PWSs that 

must provide filtration. 

40 CFR 142.81(a) As necessary 

Notify the State that a public hearing will be held 

on the notice provisions. 

40 CFR 142.81(b) As necessary 

Publish a notice of the public hearing in the 

Federal Register and in a newspaper of general 

circulation in the involved State. 

40 CFR 142.81(c) As necessary 

TCR 

Subject to general requirements as listed above. 

IESWTR 

Subject to general requirements as listed above 

FBRR 

Subject to general requirements as listed above. 

LT1ESWTR 

Subject to general requirements as listed above. 

Publish a notice of any proposed 

comprehensive review of State decisions to 

determine if PWSs must provide filtration. 

40 CFR 142.80(b) As necessary 

Notify each State affected by the results of a 

comprehensive review. 

40 CFR 142.80(c) As reviews are 

completed 

Make the results of comprehensive reviews 

available to the public. 

40 CFR 142.80(c) As reviews are 

completed 

Notify the State if periodic reviews or other 

available information indicate that the State has 

abused its discretion in applying the criteria for 

avoiding filtration or that the State has failed to 

prescribe compliance schedules for PWSs that 

must provide filtration. 

40 CFR 142.81(a) As necessary 

Notify the State that a public hearing will be held 

on the notice provisions. 

40 CFR 142.81(b) As necessary 
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Requirement Regulatory Citation Frequency 

Publish a notice of the public hearing in the 

Federal Register and in a newspaper of general 

circulation in the involved State. 

40 CFR 142.81(c) As necessary 

LT2ESWTR

Subject to general requirements as listed above. 

Approving laboratories 40 CFR 141.705 As necessary 

Collecting and managing sampling location 

descriptions, sampling schedules, and 

monitoring data submitted by medium and large 

systems. 

40 CFR 141.702(a), 

141.703(f), 141.706(b) 

As necessary 

GWR

Subject to general requirements as listed above. 

5(b) Collection Methodology and Management 

 Primacy agencies must report data to EPA on a quarterly basis. These data include any 

new data and revisions or corrections to existing data. This information is maintained in 

SDWIS, which contains the following— 

• Inventory data for each PWS 

• Violations 

• Enforcement actions and some follow-up activity 

• Variances and exemptions 

 Primacy agencies transmit SDWIS data to EPA both manually and electronically. In the 

District of Columbia, Wyoming, and Indian Lands (except for the Navajo Nation, which has 

primacy), results of system samples are sent directly to the EPA Region. Virtually all SDWIS 

data are reported electronically by the primacy agency. 

 SDWIS data support a number of rule implementation and program management 

activities, which include the following— 

• Tracking the status of PWSs that are in significant non-compliance (SNC). This 

information is provided to the Office of Enforcement and Compliance Assurance, 

as part of the reporting for enforcement and compliance assurance priorities. 

These data provide senior management with information on trends in drinking 

water enforcement. 

• Supporting data verification. EPA Regions undertake an extensive review of 

SDWIS data—the primary purposes of which is to assess the quality of data and 

recommend any necessary changes in collection or reporting methodologies. 

• Promoting consistent national program implementation. The process of data 

verification provides insights into the primacy agency’s interpretation of 

regulations. Such information supports fair and consistent SDWA 

implementation and enforcement. 

 
Microbial Rules ICR September 2008

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All costs for rule-related data management activities are addressed in the PWSS Program 

ICR (OMB No. 2040-0090). Section 5(b) of the PWSS Program ICR contains additional detail 

regarding the activities supported by the collection of SDWIS data described above. 

5(c) Small Entity Flexibility 

 In developing this ICR, EPA considered the requirement of the Small Business 

Regulatory Enforcement Fairness Act (SBREFA) to minimize the burden of information 

collections on small entities. Small entities include “small businesses,” “small organizations” 

and “small government jurisdictions.” These terms are defined below.8

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

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

regulations under Section 3 of the Small Business Act. 

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

operated and not dominant in its field. 

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

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

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

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

rules that have a “significant economic impact on a substantial number of small entities.” Since 

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

Throughout the 1992–1993 negotiated rulemaking process for the Stage 1 DBPR and the 

IESWTR and the July 1994 proposals for these rules, a small PWS was defined as a system 

serving fewer than 10,000 people. This definition reflects the original 1979 standard for 

TTHMs, which applied only to systems serving at least 10,000 people. The definition thus 

recognizes that the baseline conditions from which systems serving fewer than 10,000 people 

would approach disinfection byproduct control and simultaneous control of microbial pathogens 

would be different than those for systems serving 10,000 or more people. Subsequent to the 

1994 proposals, EPA defined a “small business” (for purposes of RFAs in drinking water 

regulations) as a PWS serving 10,000 or fewer people. This definition is consistent with the 

approach used herein and in the 1996 Congressional amendments to SDWA. 

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

for small entities. In setting both MCLs and monitoring requirements, EPA has been able to 

minimize burden for small entities as detailed below. 

 

8

 These definitions were taken from §601 of the Regulatory Flexibility Act. 
Microbial Rules ICR September 2008

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1) Surface Water Treatment Rule 

 

 Only a small percentage of small systems use surface water supplies; therefore, this rule 

does not have a significant economic impact on a substantial number of small entities. Since 

system size is the key determinant of the monitoring frequency requirements of the SWTR, 

systems serving fewer than 3,300 people will have the least stringent monitoring requirements. 

 EPA will allow a reduction in the frequency of turbidity monitoring from six samples per 

day to one sample per day for systems using slow sand filtration treatment or other eligible 

technologies. Systems serving fewer than 500 people may also reduce sampling to once per day 

regardless of filtration type. 

2) Total Coliform Rule 

 The number of required coliform samples varies directly with system size. Specifically, 

for (CWSs), the number of samples range from a minimum of one sample per month for systems 

serving fewer than 1,000 people to 480 samples per month for those serving 3,960,001 or more 

people. This requirement is codified at 40 CFR §141.21(a). Generally, quarterly monitoring 

must be conducted at noncommunity water systems (NCWSs) using ground water only serving 

1,000 or fewer people. As provided for in §141.21(a)(3)(i), however, the primacy agency may 

reduce the quarterly monitoring frequency as a result of a sanitary survey. 

3) Interim Enhanced Surface Water Treatment Rule 

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

the IESWTR only applies to systems serving at least 10,000 people. Accordingly, the rule does 

not have a significant impact on small entities. 

4) Filter Backwash Recycling Rule 

 The FBRR applies to both large and small systems. Therefore, the rule will have an 

effect on small entities. Accordingly, as part of the economic analysis for the rule, EPA certified 

that this rule would not have a significant impact on a substantial number of small systems. As a 

result, an RFA was not required. 

5) Long Term 1 Enhanced Surface Water Treatment Rule 

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

rule will, therefore, have an effect on small entities. After considering the economic impacts of 

the rule on small entities, EPA certified that this action would not have a significant economic 

impact on a substantial number of small entities. The Agency determined that less than one 

percent of small entities will experience an impact of less than one percent of their annual 

revenues or expenditures. No affected small governmental jurisdictions are expected to incur 

annual costs exceeding three percent of their annual revenue. Accordingly, an RFA was not 

required. 
Microbial Rules ICR September 2008

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6) Long Term 2 Enhanced Surface Water Treatment Rule 

The LT2ESWTR allows small systems to monitor for E. coli instead of Cryptosporidium. 

The analysis for E. coli is much less expensive than Cryptosporidium. Small systems are only 

required to monitor for Cryptosporidium if E. coli concentrations are above a trigger value. In 

addition, systems with at least 2 years worth of historical Cryptosporidium data may use that data 

instead of performing new monitoring. 

7) Ground Water Rule 

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

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

recommendations include: 

• Risk targeted approach – only those systems most at risk are required to monitor 

or provide corrections. 

• Using coliform monitoring instead of more expensive viral monitoring – the rule 

requires preliminary monitoring for coliform. Only if coliform monitoring is 

positive is monitoring of other organisms required. 

5(d) Collection Schedule 

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

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

Exhibit 5 

Collection Schedule 

Rule Collection Commencement Year 

SWTR 1991/1993 (depending on filtration status) 

TCR 1991 – coliform monitoring 

1994 – sanitary surveys for CWSs, 1999 for 

NCWSs 

IESWTR 2002 – turbidity monitoring 

2002/2004 - sanitary surveys (depending on size 

and source type) 

LT1ESWTR 2005 – turbidity monitoring 

FBRR 2004 – recordkeeping 

LT2ESWTR 2006 – Cryptosporidium and E. coli monitoring first 

round (depends on system size; all sampling 

completed by 2011) 

 2010 – disinfection profiling (depends on system 

size) 

 2012 – reporting for compliance with new 

technologies 

 2015 – second round of Cryptosporidium and E. 

coli monitoring 

GWR 2009 – sanitary survey, triggered monitoring, 

corrective action plans, compliance monitoring 
Microbial Rules ICR September 2008

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6 ESTIMATING BURDEN AND COST OF COLLECTION 

 This section estimates the burden and cost to PWSs and primacy agencies for complying 

with drinking water information requirements associated with microbial contaminant 

rulemakings. These include the following— 

1) Surface Water Treatment Rule9

2) Total Coliform Rule 

3) Interim Enhanced Surface Water Treatment Rule 

4) Filter Backwash Recycling Rule 

5) Long Term 1 Enhanced Surface Water Treatment Rule 

6) Long Term 2 Enhanced Surface Water Treatment Rule 

7) Ground Water Rule 

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

three-year ICR period of late 2008 through 2011. This section also discusses the assumptions 

used to estimate cost and burden and describes the change in annual burden, as compared with 

the current OMB annual burden inventory. 

 EPA is committed to accurately characterizing the burden and costs of rules it 

promulgates. Consequently, EPA has refined some of the assumptions for calculating the burden 

and costs associated with implementing the drinking water regulations contained in this ICR. For 

this update, many assumptions were revised based on program changes and well-documented 

changes in some data. To provide a comparable basis on which to calculate the requirements 

addressed by the Microbial Rules ICR, and to address inconsistencies, EPA applied uniform 

assumptions to all rules. The categories of assumptions are listed below. 

• Labor rates—for PWSs, the $2006 labor rate of $17.87 was obtained from the 

Bureau of Labor Statistics (BLS) and inflated to $2007 using the Employee Cost 

Index (ECI). An overhead rate of 60 percent was applied, resulting in an hourly 

rate of $30.72 (see Section 6(b)). For States, the $2006 labor rate of $24.92 was 

obtained from the Bureau of Labor Statistics (BLS) and inflated to $2007 using 

the Employee Cost Index (ECI). An overhead rate of 60 percent was applied, 

resulting in an hourly rate of $42.80 (see Section 6(b)). 

• PWS inventory figures from the most recent frozen SDWIS database pull 

(October 2007). 

• Number of entry points—data from the 2000 Community Water System Survey 

(CWSS). 

• Number of plants—data from the 2000 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). 

 

 

9

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

in the DDBP/Chem/Rads Rules ICR (see footnotes 3 and 6 for more information). 
Microbial Rules ICR September 2008

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6(a) Respondent Burden 

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

 The annual PWS burden for late 2008 through late 2011 is estimated to be approximately 

8.52 million hours. Exhibit 6 (after Section 6(b)) shows the breakdown of 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), the most recent data were used in burden calculations. Appendices B through G 

show the assumptions and detailed burden calculations for each rule. The following further 

describes the bases for the burden estimates for each rule. 

1) Surface Water Treatment Rule 

 Activities associated with the SWTR account for 0.78 million annual burden hours per 

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

carried forward from the 2004 Microbial Rules ICR. This ICR includes burden estimates for all 

components of the SWTR except disinfectant residual monitoring and associated activities, 

which are included in the Disinfectants and Disinfection Byproducts, Chemical, and 

Radionuclides (DDBP/Chem/Rads) Rule ICR. For unfiltered systems, burden estimates include 

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

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

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

2004 Microbial Rules ICR and this ICR. Detailed burden and cost calculations for the SWTR 

are provided in Appendix B. 

2) Total Coliform Rule 

 Activities associated with the TCR account for a burden of 3.46 million hours per year. 

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

fecal coliform. The assumptions used to calculate the TCR burden are based largely on 

assumptions carried forward from the 2004 Microbial Rules ICR. Section 6(f) describes the 

reasons for changes between the burden reported in the 2004 Microbial Rules ICR and this ICR. 

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

detailed burden and cost calculations. 

3) Interim Enhanced Surface Water Treatment Rule 

 Activities associated with IESWTR account for a burden of 3.88 million hours per year. 

Included in this burden are combined and individual filter turbidity monitoring, turbidity 

exceptions reporting, and conducting individual filter assessments (IFAs). The assumptions used 

to calculate the IESWTR burden are based largely on the assumptions carried forward from the 

2004 Microbial Rules ICR. Reasons for changes in burden between the 2004 Microbial Rules 

ICR and this ICR are summarized in Section 6(f). Detailed information about assumptions, 

burden, and calculations are provided in Appendix D. 

 
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4) Filter Backwash Recycling Rule 

 No burden is estimated for PWSs for this rule. Currently, the rule requires PWSs to 

maintain records on recycle flow. The burden associated with this recordkeeping is assumed to 

be negligible. 

5) Long Term 1 Enhanced Surface Water Treatment Rule 

 Activities associated with the LT1ESWTR account for a burden of 0.16 million hours per 

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

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

assumptions carried forward from the 2004 Microbial Rules ICR. Reasons for changes in burden 

between the 2004 Microbial Rules ICR and this ICR are summarized in Section 6(f). Detailed 

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

6) Long Term 2 Enhanced Surface Water Treatment Rule 

Activities associated with the LT2ESWTR account for a burden of 0.066 million hours 

per year. The burden estimates include monitoring for E. coli and/or Cryptosporidium for 

medium and small systems (large systems have completed the initial round of monitoring). In 

addition, the burden estimates for PWSs include calculation of a bin classification based on the 

monitoring results. Not all systems will calculate bin classification during the period covered by 

the revised ICR. PWS burden estimates also account for some of the burden associated with 

developing disinfection profiles and benchmarks. Reporting and recordkeeping burden from 

covering or providing further treatment to any uncovered finished water reservoirs is assumed to 

have been completed during the previous ICR clearance period. 

The stand-alone LT2ESWTR ICR expires October 31, 2008. Burden and costs associated 

with the LT2ESWTR and incurred after October 2008 are incorporated into the Microbial Rules 

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

provides the detailed burden and cost calculations. 

7) Ground Water Rule 

Activities associated with the GWR account for a burden of 0.18 million hours per year. 

For ground water systems providing 4-log treatment of viruses, the burden estimates include 

compliance monitoring to demonstrate treatment effectiveness and associated reporting, 

including reports of disinfection failure. In addition, burden estimates for developing corrective 

action plans are included. For ground water systems that do not provide 4-log treatment of 

viruses, PWS burden estimates also account for burden associated with conducting triggered 

source water monitoring if the system tests positive for total coliform in the distribution system 

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

disinfection. PWS burden also includes the burden associated with sanitary surveys. 

The stand-alone GWR ICR expires October 31, 2009. Burden and costs associated with 

the GWR and incurred after October 2009 are incorporated into the Microbial Rules ICR. 

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

detailed burden and cost calculations. 
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6(a)(ii) Burden to Primacy Agencies 

 The annual burden for primacy agencies for late 2008 through late 2011 is estimated to 

be approximately 2.15 million hours. Exhibit 7 (at the end of Section 6(b)) shows the annual 

burden hours on a rule-specific basis. Many other primacy agency activities, such as compliance 

assurance and data management, cannot be divided among specific rules and are included in the 

PWSS Program ICR as general primacy activities. The bases for burden estimates included in 

this ICR are detailed below. 

1) Surface Water Treatment Rule 

 The annual State burden for the SWTR is expected to be 0.18 million hours. All of this 

burden is associated with review of finished water turbidity monitoring results. Estimates for 

primacy agency burden for the SWTR are based on assumptions carried forward from the 2004 

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

2) Total Coliform Rule 

 For primacy agencies, the annual burden associated with the TCR is estimated to be 

approximately 0.59 million hours. This reflects burden to monitor TCR-related activities such as 

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

sampling reports. Additionally, sanitary survey burden for ground water systems for year 1 of 

this ICR period is included here. Sanitary survey burden for years 2 and 3 is included under the 

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

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

forward from the 2004 Microbial Rules ICR. Appendix C shows detailed burden and cost 

calculations. 

3) Interim Enhanced Surface Water Treatment Rule 

 Primacy agencies are expected to expend 0.90 million annual burden hours implementing 

requirements of the IESWTR. The assumptions used to calculate the IESWTR burden are based 

largely on assumptions carried forward from the 2004 Microbial Rules ICR. The burden 

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

Additionally, States conduct CPEs and sanitary surveys for all surface water systems. Detailed 

cost and burden calculations are included in Appendix D. 

 

4) Filter Backwash Recycling Rule 

 No burden is estimated for States for this rule. The burden associated with the 

recordkeeping requirements in this rule is assumed to be negligible. 
Microbial Rules ICR September 2008

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5) Long Term 1 Enhanced Surface Water Treatment Rule 

 

The annual State burden for the LT1ESWTR is expected to be 0.14 million hours. The 

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

forward from 2004 Microbial Rules ICR. The burden includes estimates for compliance tracking 

and recordkeeping of turbidity monitoring for small systems, and review of turbidity monitoring 

and turbidity exceptions reports. Additionally, States conduct turbidity exceptions reporting, 

which includes CPEs and annual exception reports for systems serving 10,000 people or fewer. 

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

6) Long Term 2 Enhanced Surface Water Treatment Rule 

The annual State burden for the LT2ESWTR is expected to be 0.044 million hours. The 

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

forward from the LT2ESWTR ICR. State burden includes reviewing monitoring results and 

assisting with and reviewing bin classifications. States will also review disinfection profiles and 

benchmarks for systems that significantly change their disinfection practices. States are assumed 

to have already completed startup and reviewing documentation associated with covering or 

treating UCFWRs. 

The stand-alone LT2ESWTR ICR expires October 31, 2008. Burden and costs associated 

with the LT2ESWTR and incurred after October 2008 are incorporated into the Microbial Rules 

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

provides the detailed burden and cost calculations. 

7) Ground Water Rule 

The annual State burden for the GWR is expected to be 0.29 million hours. The 

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

from the GWR ICR. The burden includes that associated with performing sanitary surveys, as 

well as burden to review initial compliance monitoring notification and compliance monitoring 

reports submitted by PWSs. In addition, States will ensure PWSs are complying with treatment 

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

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

triggered source water monitoring results. Lastly, the burden includes administrative activities 

such as recordkeeping, staff training, and technical assistance to PWSs. 

The stand-alone GWR ICR expires October 31, 2009. Burden and costs associated with 

the GWR and incurred after October 2009 are incorporated into the Microbial Rules ICR. 

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

detailed burden and cost calculations. 
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6(b) Respondent Costs 

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

 

 Exhibit 6 shows the annual costs for PWSs over the three-year ICR period. Annual costs 

are estimated at approximately $462.1 million, which consists of $265.0 million in labor costs, 

$110.6 million in Operation and Maintenance (O&M) costs, and $86.6 million in capital costs. 

 PWS labor costs are based on the number of burden hours times the average hourly wage 

rate, including overhead. The average hourly wage rate is the rate quoted by the Bureau of 

Labor Statistics for Standard Occupational Classification (SOC) Code 51-8031, “Local 

Government—Water and Liquid Waste Treatment Plant and System Operators.” The quoted 

rate was $17.87 in 2006 dollars (see http://stats.bls.gov). For consistency, this rate has been 

inflated to December 2007 dollars using the Employment Cost Index. In addition, 60 percent 

overhead was assumed, bringing the loaded, inflated rate to $30.72 in December 2007 dollars. 

 In addition to the labor costs, there are O&M costs associated with the SWTR, TCR, 

IESWTR, LT1ESWTR, LT2ESWTR, and GWR. For the SWTR, these O&M costs reflect nonlabor costs associated with coliform analyses (unfiltered systems) and turbidity analyses 

(unfiltered and filtered systems). Coliform analysis O&M costs are based on analysis costs as 

listed in the proposed Aircraft Drinking Water Rule (proposed in fall 2007). Turbidity analysis 

O&M costs are based on vendor quotes regarding calibration materials needed to perform 

turbidity analyses. TCR O&M costs reflect non-labor costs associated with coliform and E. coli

analysis. IESWTR O&M costs reflect non-labor costs associated with turbidity analysis for 

individual filters. For the IESWTR, turbidity analysis costs are based on O&M cost equations 

for operating an integrated Supervisory Control and Data Acquisition (SCADA) system. These 

cost equations are carried forward from the IESWTR Regulatory Impact Analysis (RIA). 

LT1ESWTR O&M costs also reflect non-labor costs associated with turbidity analysis for 

individual filters. LT2ESWTR O&M costs reflect non-labor costs associated with 

Cryptosporidium and E. coli laboratory analysis. GWR O&M costs reflect non-labor costs 

associated with compliance (disinfection) monitoring (maintenance costs, monthly reagents, 

charts, and recorder pens). 

 The SWTR, IESWTR, and LT1ESWTR also include capital costs for turbidity 

monitoring equipment. For these rules, capital costs are estimated based on vendor estimates and 

costing equations for in-line and bench-top turbidimeters, or SCADA systems needed to comply 

with turbidity monitoring requirements. Capital costs are annualized based on the replacement 

period for turbidity analysis equipment (estimated to be 7 years). The GWR includes capital 

costs for chlorine monitoring equipment (chlorine analyzer, power cord, and chart recorder). 

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

LT1ESWTR, LT2ESWTR, and GWR can be found in Appendices B, C, D, E, F, and G 

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

 Exhibit 7 shows that the annual costs to primacy agencies are estimated at approximately 

$91.9 million in labor costs. The labor costs are based on the SOC Code 19-2041, “State 

Government - Environmental Scientists and Specialists, Including Health,” an average full time 

equivalent (FTE) cost of $89,024, including overhead, which equates to approximately $42.80 

per hour.10 

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

 

 

10 According to the ICR Handbook, an employee works an average of 2,080 hours in one year. 
Microbial Rules ICR September 2008

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Exhibit 6 

Annual PWS Burden and Cost 

October 1, 2008 – September 30, 2011 

Annual Labor 

Cost ($K)

Annual O&M Cost 

($K)

Annual Capital 

Cost ($K)

Total Annual Cost 

($K)

SWTR 776,724 $23,859 $1,308 $549 $25,716 5,343,860

TCR 3,464,341 $106,415 $77,457 N/A $183,872 973,454

IESWTR 3,875,847 $119,055 $13,766 $83,298 $216,120 3,417,506

LT1ESWTR 162,290 $4,985 $3,270 $2,629 $10,885 4,018

LT2ESWTR 66,406 $2,078 $14,610 N/A $16,688 83,756

GWR 176,399 $8,574 $149 $125 $8,847 274,772

TOTAL 8,522,006 $264,967 $110,561 $86,602 $462,129 10,097,366

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

Activity

Annual Burden 

Hours

Cost

Annual Responses

Exhibit 7 

Annual Primacy Agency Burden and Cost 

October 1, 2008 – September 30, 2011 

Annual Labor 

Cost ($K)

Annual O&M 

Cost ($K)

Annual 

Capital Cost 

($K)

Total Annual Cost 

($K)

SWTR 183,216 $7,841 N/A N/A $7,841 22,700

TCR 591,019 $25,295 N/A N/A $25,295 1,877,510

IESWTR 897,456 $38,410 N/A N/A $38,410 66,211

LT1ESWTR 141,732 $6,066 N/A N/A $6,066 4,018

LT2ESWTR 43,844 $1,877 N/A N/A $1,877 256

GWR 290,642 $12,427 N/A N/A $12,427 38,439

TOTAL 2,147,910 $91,916 N/A N/A $91,916 2,009,135

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

Activity

Annual Burden 

Hours

Cost

Annual Responses

6(c) Agency Burden and Costs 

 Burden and costs to the Federal government are incurred by EPA’s drinking water 

program at Headquarters and EPA Regions to assist primacy agencies in implementing drinking 

water regulations. EPA burden and costs for on-going general activities for all EPA drinking 

water regulations (not just those listed in this ICR) are accounted for under the PWSS Program 

ICR. Burden and costs included in the PWSS Program ICR cover all cross-cutting (non-rule 

specific) regulatory activities associated with compliance tracking, regulatory enforcement, and 

rule development activities. There are no rule-specific activities expected for EPA under any of 

the rules covered by this ICR. 

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

 

 Respondents for this ICR include PWSs and primacy agencies. This ICR estimates that 

the number of PWS respondents is 155,693 existing PWSs. All PWSs are not necessarily subject 

to each of the information collection requirements contained in this ICR. Each rule associated 
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with this ICR identifies the types of PWSs that are subject to that particular requirement. The 

numbers, by type of PWSs affected for each rule, are identified in the appendices. 

 In addition to the PWS respondents, this ICR assumes 57 primacy agencies (50 States 

plus the District of Columbia, U.S. Territories, and Indian Nations)11. Therefore, the total 

number of respondents is 155,750. The total costs and burden for these respondents are 

summarized in Exhibits 6 and 7. 

6(e) Bottom Line Burden Hours and Costs 

 The bottom line burden hours and costs for this ICR are presented in Exhibit 8. The total 

annual respondent burden associated with this ICR, which includes burden for PWSs and 

primacy agencies, is estimated to be approximately 10.7 million hours. The corresponding total 

annual respondent costs are estimated to be $554.0 million. The annual capital and O&M costs 

are approximately $197.2 million. 

 

 

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

simplifying assumption, they are included with the States for respondent calculations under this ICR. 
Microbial Rules ICR September 2008

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Exhibit 8 

Bottom Line Annual Burden and Cost 

October 1, 2008 – September 30, 2011 

155,750 (=)

155,693 (+) Existing PWSs

57 Primacy agencies

12,106,501 (=)

10,097,366 (+) PWS responses (see Exhibit 6)

2,009,135 Primacy agency responses (see Exhibit 7)

77.7 (=)

12,106,501 (/) Total annual responses from above

155,750 Total number of respondents from above

10,669,916 (=)

8,522,006 (+) PWS hours (see Exhibit 6)

2,147,910 Primacy agency hours (see Exhibit 7)

0.88 (=)

10,669,916 (/) Total annual respondent hours from above

12,106,501 Total annual responses from above

$197,162 (=)

$110,561 (+) Total O&M costs (see Exhibit 6)

$86,602 Total capital costs (see Exhibit 6)

$554,045 (=)

$462,129 (+) For PWSs (see Exhibit 6)

$91,916 For primacy agencies (see Exhibit 7)

10,669,916 (=)

10,669,916 (+) Total annual respondent hours from above

0 Total EPA hours

$554,045 (=)

$554,045 (+) Total annual respondent cost from above

$0 Total EPA cost

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

1

No Primacy Agency capital or O&M costs are incurred, see Exhibit 7.

Total Annual Cost ($K) (resp. plus 

Agency) 

Total Annual Respondent Cost ($K)

Annual Number of Respondents

Total Annual Responses

Number of Responses per Respondent

Total Annual Respondent Hours

Hours per Response

Annual O&M and Capital Cost ($K)1

Total Annual Hours (resp. plus 

Agency) 

6(f) Reasons for Change in Burden 

 This section presents the change in burden and explains the reasons for the change in 

burden. The discussion is divided into two parts— 

 

• Section 6(f)(i) summarizes the burden adjustments made (by addition of new 

Rules) since the 2004 Microbial Rules ICR (see Exhibit 10). 

• Section 6(f)(ii) summarizes burden adjustments to each Rule since the 2004 

Microbial Rules ICR (see Exhibits 11 through 13). 

 

 
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Exhibit 9 summarizes how each of these changes affects the overall burden inventory for 

the Microbial Rules ICR. 

Exhibit 9 

Summary of Changes in Annual Burden 

(Includes PWS and Primacy Agency Burden) 

Type of Change Burden (hours) Running Total Comment

Burden Estimated in the 2004 

Microbial Rules ICR 8,624,865 8,624,865 

This burden serves as the baseline for the 2008 

Microbial Rules ICR.

Restructuring Adjustments–see 

Section 6(f)(i) 526,559 9,151,424 

Burden for LT2 and GWR is now included in 

this ICR.

Other Adjustments to Burden–see 

Section 6(f)(ii) 1,518,492 10,669,916 

Burden for which EPA seeks approval in this 

ICR.

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

6(f)(i) Restructuring Adjustments 

 Several restructuring adjustments have been made to consolidate the burden for each of 

the regulations being incorporated into the Microbial Rules ICR. These adjustments are 

discussed below and summarized in Exhibit 10. 

• Burden associated with the LT2ESWTR. The final LT2ESWTR was 

promulgated January 5, 2006. The stand-alone LT2ESWTR ICR expires on 

October 31, 2008. Burden and costs associated with the LT2ESWTR and 

incurred after October 2008 are incorporated into the Microbial Rules ICR. 

• Burden associated with the GWR. The final GWR was promulgated November 8, 

2006. The stand-alone GWR ICR expires on October 31, 2009. Burden and costs 

associated with the GWR and incurred after October 2009 are incorporated into 

the Microbial Rules ICR. 

 
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Exhibit 10 

Restructuring Adjustments to the Annual Burden 

Inventory for the Microbial Rules ICR 

(Includes PWS and Primacy Agency Burden) 

Action Annual Burden Hours Brief Explanation

N/A 8,624,865

Inventory for the 2004 Microbial Rules ICR carried forward as the baseline for 2008

Microbial Rules ICR (includes PWS, State, and EPA burden). Current opening 

inventory for the 2008 Microbial Rules ICR.

Add 141,295

This represents the current LT2 burden inventory. This inventory is being moved 

from the LT2 ICR (OMB 2040-0266) into the 2008 Microbial Rules ICR.

Add 385,264

This represents the current GWR burden inventory. This inventory is being moved 

from the GWR ICR (OMB 2040-0271) into the 2008 Microbial Rules ICR.

Total 9,151,424 Microbial Rules ICR inventory based on current burden inventories.

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

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 labor rates to $2007. Where appropriate, estimated violation, waiver, and other 

associated rates have also been updated to reflect current information on rule compliance. 

Burden also may have changed as a result of consultation with water industry representatives. 

Lastly, burden may have changed due to changes in rule requirements. Exhibits 11 and 12 

summarize reasons for these changes and quantify the changes by rule. Burden adjustments 

associated with PWS activities resulted in a burden increase of 1,348,453 hours and are detailed 

in Exhibit 11. Burden adjustments for primacy agencies result in an increase of 170,039 hours 

per year, as shown in Exhibit 12.
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Exhibit 11 

Adjustments to PWS Burden from Previous ICR Estimates 

SWTR 327,924 776,724 448,800 

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

inventories and labor rates, as well as the incorporation of burden 

consultation results used to calculate burden for unfiltered systems to 

conduct raw water coliform sampling, on-site inspections, watershed 

management, and raw water turbidity monitoring. 

TCR 2,336,629 3,464,341 1,127,712 

The change in burden results from updated system inventories, labor rates, 

incorporation of burden consultation results used to calculate burden for 

systems to continue routine total coliform sampling and reporting, repeat 

E. coli or fecal coliform sampling and reporting, and additional routine 

sampling as necessary. Additionally, coliform violation rates used to 

calculate repeat and additional monitoring burden have been updated based 

on SDWIS data from the FY07Q03 frozen database.

IESWTR 3,885,791 3,875,847 (9,944)

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

inventories and labor rates, as well as the incorporation of burden 

consultation results used to calculate burden for turbidity monitoring (for 

large systems), submitting monthly turbidity exception reports, and 

conducting individual filter assessments if the filter has turbidity levels 

greater than 1.0 NTU.

FBRR 586 0 (586)

Existing PWSs should have completed requirements associated with 

changing the recycle return location no later than 2006. New PWSs will 

design their plants to meet the return location requirements. The burden 

going forward is expected to be negligible. 

LT1ESWTR 314,978 162,290 (152,688)

The change in burden results from updated system inventories, labor rates, 

and incorporation of burden consultation results used to calculate burden 

for turbidity monitoring for small systems, turbidity exceptions reporting, 

and the removal of disinfection benchmarking burden associated with 

PWSs serving 500 or fewer people, as they have completed disinfection 

benchmarking.

LT2ESWTR 47,401 66,406 19,005 

This represents the current LT2 annual PWS burden estimate. This burden 

is being moved from the LT2 ICR (OMB 2040-0266) into the 2008 

Microbial Rules ICR. 2008 - 2011 burden estimate reflects changes in rule 

requirements and incorporates burden consultation results.

GWR 260,244 176,399 (83,845)

This represents the current GWR annual PWS burden estimate. This 

burden is being moved from the GWR ICR (OMB 2040-0271) into the 

2008 Microbial Rules ICR. 2008 - 2011 burden estimate reflects changes 

in rule requirements and incorporates burden consultation results.

TOTAL 7,173,553 8,522,006 1,348,453 Adjusted PWS Burden.

Note: Detail may not add exactly to total due to independent rounding.

Activity

Change in 

Burden Reason for Change in Burden

Previous Annual 

Burden Estimate 

(hours) 2005 - 2007

2008 - 2011 

Annual Burden 

Esimate
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Exhibit 12 

Adjustments to Primacy Agency Burden from Previous ICR Estimates 

SWTR 89,385 183,216 93,831 

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

labor rates, as well as the incorporation of burden consultation results used to 

calculate primacy agency burden associated with the review of PWS data. 

TCR 792,428 591,019 (201,409)

The change in burden results from updated system inventories, labor rates, 

incorporation of burden consultation results used to calculate burden for primacy 

agencies to review routine total coliform reports, repeat E. coli or fecal coliform 

reports, and additional routine sampling reports. Additionally, violation rates have 

been updated based on SDWIS data from the FY07Q03 frozen database. Sanitary 

survey burden for years 2 and 3 is accounted for under the GWR, and is no longer 

included under TCR. 

IESWTR 622,805 897,456 274,651 

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

labor rates, as well as the incorporation of burden consultation results used to 

calculate burden for reviewing monitoring results from turbidity monitoring (for 

large systems), reviewing monthly turbidity exception reports, reviewing individual 

filter assessments, conducting comprehensive performance evaluations, and 

conducting sanitary surveys.

FBRR 363 0 (363)

States have completed the review and recordkeeping associated with the FBRR. The 

burden going forward is expected to be negligible. 

LT1ESWTR 253,976 141,732 (112,244)

The change in burden results from updated system inventories, labor rates, and

incorporation of burden consultation results used to calculate burden for the primacy 

agency to oversee turbidity monitoring for small systems and turbidity exceptions 

reporting. Primacy agency burden associated with disinfection benchmarking by 

PWSs serving 500 or fewer people has been completed, and is therefore no longer 

included here.

LT2ESWTR 93,894 43,844 (50,050)

This represents the current LT2 annual State burden estimate. This burden is being 

moved from the LT2 ICR (OMB 2040-0266) into the 2008 Microbial Rules ICR. 

2008 - 2011 burden estimate reflects changes in rule requirements and incorporates 

burden consultation results.

GWR 125,020 290,642 165,622 

This represents the current GWR annual State burden estimate. This burden is being 

moved from the GWR ICR (OMB 2040-0271) into the 2008 Microbial Rules ICR. 

2008 - 2011 burden estimate reflects changes in rule requirements and incorporates 

burden consultation results.

TOTAL 1,977,871 2,147,910 170,039 Adjusted Primacy Agency Burden

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

Activity

Previous Annual Burden 

Estimate (hours) 2005 - 

2007

Change in 

Burden Reason for Change in Burden

2008 - 2011 Annual 

Burden Esimate

Exhibit 13 shows the effects of these adjustments on the bottom line burden. Adding 

1,348,453 hours to account for adjustments to PWS burden and adding 170,039 hours to account 

for adjustments to primacy agency burden yields 10,669,916 hours. 
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Exhibit 13 

Adjustments to Annual Burden Carried Forward from Previous ICR Estimates 

(Includes PWS and Primacy Agency Burden) 

Action Annual Burden Hours Brief Explanation

None 9,151,424

2004 Microbial Rules ICR inventory based on current burden inventories (see Exhibit 

10).

Add 1,348,453 Adjustment to the PWS burden carried forward from previous ICRs (see Exhibit 11).

Add 170,039

Adjustment to the primacy agency burden carried forward from previous ICRs (see 

Exhibit 12).

Total 10,669,916 Hours requested in 2008 Microbial Rules ICR (see Exhibit 9).

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

6(g) Burden Statement 

 The public reporting burden for collections included in this ICR is detailed in Exhibit 13 

above. The annual respondent burden is estimated to average approximately 10.67 million hours, 

of which 8.52 million hours are attributable to PWSs and 2.15 million hours to primacy agencies 

(numbers may not add due to rounding. These estimates include time for gathering information 

as well as developing and maintaining records. 

 Burden means the total time, effort, or financial resources expended by people to 

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

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

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

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

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

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

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

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

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

regulations are listed in 40 CFR Part 9 and 48 CFR 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-2008-0438, 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 

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 
Microbial Rules ICR September 2008

OMB DRAFT—Do not Cite, Quote, or Distribute 59 

Docket ID Number (EPA-HQ-OW-2008-0438) and the OMB Control Number 2040-0205 in any 

correspondence.