Document ID: EPA-HQ-OW-2004-0008-0004
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2004-11-22T05:00Z

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TABLE
OF
CONTENTS
1
IDENTIFICATION
OF
THE
INFORMATION
COLLECTION
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1
1(
a)
Title
and
Number
of
the
Information
Collection
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1
1(
b)
Short
Characterization
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1
2
NEED
FOR
AND
USE
OF
THE
COLLECTION
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4
2(
a)
Need/
Authority
for
the
Collection
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4
2(
b)
Use/
Users
of
the
Data
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8
3
NON­
DUPLICATION,
CONSULTATIONS,
AND
OTHER
COLLECTION
CRITERIA
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10
3(
a)
Non­
duplication
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10
3(
b)
Public
Notice
Required
Prior
to
ICR
Submission
to
OMB
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10
3(
c)
Consultations
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10
3(
d)
Effects
of
Less
Frequent
Collection
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13
3(
e)
General
Guidelines
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14
3(
f)
Confidentiality
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14
3(
g)
Sensitive
Questions
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14
4
RESPONDENTS
AND
INFORMATION
REQUESTED
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15
4(
a)
Respondents/
NAICS
Codes
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15
4(
b)
Information
Requested
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15
4(
b)(
i)
Data
Items
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27
4(
b)(
ii)
Respondent
Activities
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30
5
INFORMATION
COLLECTED
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AGENCY
ACTIVITIES,
COLLECTION
METHODOLOGY,
AND
INFORMATION
MANAGEMENT
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36
5(
a)
Agency
Activities
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36
5(
b)
Collection
Methodology
and
Management
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38
5(
c)
Small
Entity
Flexibility
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39
5(
d)
Collection
Schedule
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41
6
ESTIMATING
BURDEN
AND
COST
OF
COLLECTION
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43
6(
a)
Respondent
Burden
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44
6(
a)(
i)
Burden
to
Public
Water
Systems
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44
6(
a)(
ii)
Burden
to
Primacy
Agencies
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45
6(
b)
Respondent
Costs
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46
6(
b)(
i)
Cost
to
Public
Water
Systems
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46
6(
b)(
ii)
Cost
to
Primacy
Agencies
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47
6(
c)
Agency
Burden
and
Costs
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49
6(
d)
Estimating
Respondent
Universe
and
Total
Burden
and
Costs
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49
6(
e)
Bottom
Line
Burden
Hours
and
Costs
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50
6(
f)
Reasons
for
Change
in
Burden
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51
6(
f)(
i)
Restructuring
Adjustments
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51
6(
f)(
ii)
Other
Burden
Adjustments
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52
6(
g)
Burden
Statement
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55
ii
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.
Filter
Backwash
Recycling
Rule
Spreadsheets
Appendix
F.
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
Spreadsheets
iii
LIST
OF
EXHIBITS
Exhibit
1:
Current
Structure
of
OGWDW
ICRs
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6
Exhibit
2:
PWS
Recordkeeping
and
Reporting
Requirements
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16
Exhibit
3:
Primacy
Agency
Recordkeeping
and
Reporting
Requirements
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21
Exhibit
4:
EPA
Requirements
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37
Exhibit
5:
Collection
Schedule
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41
Exhibit
6:
Annual
PWS
Burden
and
Cost,
2005­
2007
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48
Exhibit
7:
Annual
Primacy
Agency
Burden
and
Cost,
2005­
2007
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49
Exhibit
8:
Bottom
Line
Annual
Burden
and
Cost,
2005­
2007
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50
Exhibit
9:
Summary
of
Changes
in
Annual
Burden
(
Includes
PWS
and
Primacy
Agency
Burden)
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51
Exhibit
10:
Restructuring
Adjustments
to
the
Annual
Burden
Inventory
for
the
Microbial
Rules
ICR
(
Includes
PWS
and
Primacy
Agency
Burden)
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52
Exhibit
11:
Adjustments
to
PWS
Burden
from
Previous
ICR
Estimates
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53
Exhibit
12:
Adjustments
to
Primacy
Agency
Burden
from
Previous
ICR
Estimates
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54
Exhibit
13:
Adjustments
to
Annual
Burden
Carried
Forward
from
Previous
ICR
Estimates
(
Includes
PWS
and
Primacy
Agency
Burden)
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55
LIST
OF
FIGURES
Figure
1:
Structure
of
OGWDW
ICRs
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5
iv
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
FRDS
Federal
Reporting
Data
System
FTE
Full
Time
Equivalent
FY
Fiscal
Year
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
ICW
Information
Correction
Worksheet
IESWTR
Interim
Enhanced
Surface
Water
Treatment
Rule
IFA
Individual
Filter
Assessment
IOC
Inorganic
Compound
LCR
Lead
and
Copper
Rule
LT1ESWTR
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
LT2ESWTR
Long
Term
2
Enhanced
Surface
Water
Treatment
Rule
Lab
QA
Laboratory
Quality
Assurance
Evaluation
Program
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
v
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
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
TNCWS
Transient
Noncommunity
Water
System
TTHM
Total
Trihalomethanes
UCMR
Unregulated
Contaminant
Monitoring
Rule
UIC
Underground
Injection
Program
V&
Es
Variances
and
Exceptions
Microbial
Rules
ICR
November
2004
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.

2
SDWIS
replaced
the
Federal
Reporting
Data
System
(
FRDS)
as
the
national
drinking
water
database
of
record
on
August
15,
1995.

1
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:
1895.03
1(
b)
Short
Characterization
The
Office
of
Ground
Water
and
Drinking
Water
(
OGWDW)
in
the
Office
of
Water
at
the
United
States
Environmental
Protection
Agency
(
EPA
or
the
Agency)
is
responsible
for
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)
2
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
February
1999
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
Microbial
Rules
ICR
November
2004
3
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
footnote
6
for
more
information).

4The
burden
for
this
rule
was
previously
addressed
in
stand­
alone
ICR
OMB
#
2040­
0229.
It
is
being
incorporated
into
the
Microbial
Rules
ICR
for
the
first
time.

2
the
1995
PRA
amendments
and
Office
of
Management
and
Budget's
(
OMB's)
implementing
guidelines.

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)
3
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)
4
In
addition,
burden
for
future
rules
that
address
microbial
contaminants
(
Long
Term
2
Enhanced
Surface
Water
Treatment
Rule
(
LT2ESWTR),
and
the
Ground
Water
Rule
(
GWR))
will
be
added
to
this
ICR
when
the
regulations
are
finalized
and
the
original
stand­
alone
ICRs
for
each
expire.

This
ICR
estimates
costs
for
years
2005,
2006,
and
2007.
This
ICR
updates
the
burden
and
cost
estimates
provided
in
the
Microbial
Rules
ICR
dated
November
28,
2001,
which
expires
on
November
30,
2004.
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
8.62
million
hours
per
year.
The
total
annual
cost
associated
with
this
ICR
is
estimated
to
be
approximately
$
340.5
million.
The
distribution
of
annual
burden
between
PWSs
and
primacy
agencies
is
approximately
6.87
million
hours
and
1.76
million
hours,
respectively.
The
distribution
of
annual
costs
between
PWSs
and
primacy
agencies
is
approximately
$
284.7
million
and
$
55.8
million,
respectively.
There
is
no
Agency
burden
or
costs
for
this
ICR.
Section
6
and
Appendices
B
through
F
detail
these
burden
and
cost
calculations.

The
approximate
annual
operation
and
maintenance
(
O&
M)
and
capital
costs
are
$
96.9
million
($
74.1
million
for
O&
M
and
$
22.8
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.
Microbial
Rules
ICR
November
2004
3
The
total
number
of
respondents
for
this
ICR
is
161,274;
57
of
these
respondents
are
primacy
agencies
and
the
balance
are
existing
PWSs
(
161,217).
The
total
annual
number
of
responses
for
these
respondents
is
11.3
million
(
9.2
million
for
PWSs
and
2.0
million
for
primacy
agencies).
Microbial
Rules
ICR
November
2004
4
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
As
new
regulations
addressing
microbial
contaminants
are
published,
EPA
will
amend
the
Microbial
Rules
ICR
to
include
these
new
rules
upon
expiration
of
the
original
stand­
alone
ICRs.
Proposed
new
regulations
include
LT2ESWTR
and
GWR.

For
a
graphical
depiction
of
the
current
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
EPA
requires
the
information
collected
under
this
ICR
to
carry
out
its
monitoring
and
enforcement
responsibilities
under
the
SDWA.
Without
comprehensive,
up­
to­
date
information
on
drinking
water
contamination,
EPA
would
not
be
able
to
meet
the
SDWA
statutory
requirements
stated
below.

NPDWRs
under
the
SDWA
are
to
include
monitoring
requirements
(
Section
1401
(
1)(
D)).
Specifically,
the
Act
requires
that
C
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,
...

Section
1445
of
the
SDWA
requires
that
C
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,
...
Microbial
Rules
ICR
November
2004
5
Green
=
Activities
remain
as
in
current
ICR
Blue
=
Activities
moving
out
of
standalone
ICRs
Purple
=
Future
amendments
that
will
be
added
upon
expiration
of
the
initial
standalone
ICRs
Red
=
New
Activities
Figure
1.
Structure
of
OGWDW
ICRs
PWSS
Program
ICR
2040­
0090
DDBP/
Chem/
Rads
Rules
ICR
2040­
0204
Cap
Dev
V&
E's
Primacy
Reg
PN
CCRs
State
Primacy
Activities
Stage
1
TTHMs
Chems
LCR
'
76
Rads
'
00
Rads
IESWTR
SWTR
LT1
Lab
QA
2040­
0246
Microbial
Rules
ICR
2040­
0205
FBRR
TCR
GWR
Arsenic
Stage
2
UCMR
1
Radon
Needs
Survey
2040­
0251
DW
SRF
2040­
0185
SWAP
2040­
0197
Op
Cert
LT2
Bioterrorism
2040­
0253
Tribal
Op
Cert
UCMR
2
Class
V
Florida
Class
I
UIC
Program
Constructed
Conveyances
Microbial
Rules
ICR
November
2004
5
Disinfectant
residual
monitoring
and
associated
activities
are
included
in
the
DDBP/
Chem/
Rads
Rules
ICR.

6
Exhibit
1
Current
Structure
of
OGWDW
ICRs
Activity
Currently
Covered
Activity
Covered
in
the
Future
PWSS
Program
ICR
(
2040­
0090)

Consumer
Confidence
Reports
(
CCRs)

Primacy
Regulation
Activities
Variances
&
Exemptions
(
V&
Es)

The
Capacity
Development
Program
General
State
Primacy
Activities
Public
Notification
(
PN)

Operator
Certification
Guidelines
and
Expense
Reimbursement
Grants
Program
Tribal
Operator
Certification
Microbial
Rules
ICR
(
2040­
0205)

Surface
Water
Treatment
Rule,
except
disinfectant
residual
monitoring
and
associated
activities5
Long
Term
2
Enhanced
Surface
Water
Treatment
Rule
Total
Coliform
Rule
Ground
Water
Rule
Interim
Enhanced
Surface
Water
Treatment
Rule
Filter
Backwash
Recycling
Rule
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
Disinfectants/
Disinfection
Byproducts,
Chemical,
and
Radionuclides
Rules
ICR
(
2040­
0204)

Stage
1
Disinfectants
and
Disinfection
Byproducts
Rule
Stage
2
DBPR
Disinfectant
Residual
Monitoring
and
Associated
Activities
under
the
SWTR
Radon
Total
Trihalomethanes
(
TTHM)
Rule
Unregulated
Contaminant
Monitoring
Rule
Chemical
Phase
Rules
2000
Radionuclides
Rule
1976
Radionuclides
Rule
Microbial
Rules
ICR
November
2004
Activity
Currently
Covered
Activity
Covered
in
the
Future
7
Arsenic
Rule
Lead
and
Copper
Rule
Unregulated
Contaminant
Monitoring
Rule
(
List
2)

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

Drinking
Water
State
Revolving
Fund
Program
Drinking
Water
Infrastructure
Needs
Survey
ICR
(
2040­
0251)

1999
Needs
Survey
(
complete)

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
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.
Microbial
Rules
ICR
November
2004
8
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.

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.

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
followingC
$
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
$
Association
of
Metropolitan
Water
Agencies
$
National
Rural
Water
Association
$
National
Association
of
Water
Companies
$
Association
of
State
Drinking
Water
Administrators
Microbial
Rules
ICR
November
2004
9
°
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.
Microbial
Rules
ICR
November
2004
10
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
will
solicit
public
comment
on
this
ICR
for
a
60­
day
period
before
it
is
submitted
to
OMB.
Specifically,
EPA
published
a
notice
in
the
Federal
Register
(
FR)
requesting
comment
on
the
estimated
respondent
burden
and
other
aspects
of
this
ICR
(
to
be
included
as
Appendix
A).
EPA
received
no
comments
during
the
60­
day
comment
period.
An
additional
Federal
Register
notice
will
be
published
prior
to
submission
of
this
ICR
to
OMB.
The
public
comment
period
for
this
additional
notice
is
30
days.

3(
c)
Consultations
Throughout
the
development
and
implementation
of
various
microbial
regulations,
OGWDW
has
held
numerous
meetings
with
interested
stakeholders,
including
State
and
EPA
Regional
personnel
and
PWS
representatives,
to
identify
the
value
and
ease
of
collecting
information
needed
to
fulfill
SDWA
obligations.
As
a
standard
regulatory
development
practice
to
promote
public
involvement,
EPA
formally
solicits
public
comment
on
proposed
drinking
water
rules.
Before
any
rule
is
finalized,
EPA
logs
and
evaluates
all
written
comments
on
proposed
rules.
Additionally,
EPA
usually
holds
public
meetings
during
which
any
interested
party
may
provide
oral
testimony
for
Agency
consideration.
Such
meetings
are
typically
announced
in
the
Federal
Register
notice
accompanying
the
proposed
rule.

In
the
initial
phases
of
program
development,
or
to
confirm
assumptions
on
which
rules
or
guidelines
are
based,
EPA
often
augments
formal
meetings
with
other
workshops
or
meetings
to
gather
information.
The
following
are
specific
examples
of
meetings
and
other
consultations
held
by
EPA
to
address
the
regulations
contained
in
this
ICR
 
°
In
1981,
EPA
held
a
workshop
on
drinking
water
microbiology.

°
In
1985,
EPA
held
a
workshop
to
discuss
options
for
regulating
microbial
contaminants.
Microbial
Rules
ICR
November
2004
11
°
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
April
17,
2002
edition
of
the
Federal
Register
to
request
public
comment
(
67
FR
19029­
19090).
EPA
received
and
reviewed
comments
from
44
commenters.
EPA
held
a
stakeholder
meeting
on
May
30,
2002
to
discuss
the
results
of
these
preliminary
findings.
In
July,
2003,
EPA
completed
their
preliminary
review
of
existing
drinking
water
standards,
including
TCR.
Based
on
the
Agency's
preliminary
review,
as
well
as
the
public
comments
received
and
other
new
information,
EPA
believes
that
it
is
appropriate
to
revise
the
TCR.

°
In
1992,
EPA
instituted
a
formal
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.
Following
an
extensive
consensus­
building
effort,
the
RegNeg
Committee
agreed
that
EPA
should
propose
three
rules:
Information
Collection
Rule
(
finalized
in
1996),
a
staged
Enhanced
Surface
Water
Treatment
Rule
(
the
first
stage
was
promulgated
in
December
1998),
and
a
staged
Disinfectants
and
Disinfection
Byproducts
Rule
(
the
first
stage
was
promulgated
concurrently
with
the
IESWTR
in
December
1998).

°
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
on
April
28,
1998.
Of
the
24
invited
SERs,
15
participated
in
the
teleconference.
Microbial
Rules
ICR
November
2004
12
°
On
August
21,
1998,
a
Small
Business
Advocacy
Review
Panel
(
SBARP)
met
to
discuss
the
proposed
FBRR.
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.

In
an
effort
to
solicit
comments
concerning
the
estimated
burden
for
this
ICR
renewal,
EPA
developed
a
communication
strategy
that
involved
directly
mailing
the
first
Federal
Register
notice
to
over
150
individuals
and
organizations
including
key
respondent
organizations
like
the
Association
of
State
Drinking
Water
Administrators
and
the
American
Water
Works
Association.

Additionally,
consultations
were
conducted
with
major
associations
that
represent
the
entities
that
face
reporting
and
record­
keeping
burdens
associated
with
the
Microbial
Rules.
None
of
these
associations
could
identify
individual
members
who
could
respond
to
questions
about
burden
estimates.
As
they
explained,
their
members
(
states
and
public
water
systems)
rely
on
the
national
offices
of
the
associations
to
track
Federal
Register
notices
and
respond
to
them.

The
most
important
conclusion
is
that
the
associations
felt
that
the
ICR
for
the
Microbial
Rules
was
primarily
about
rules
that
already
had
been
implemented.
Therefore,
any
comments
on
burden
estimates
had
been
presented
to
the
Agency
at
the
time
the
rule
was
promulgated.
Those
associations
that
took
the
time
to
study
the
ICR
did
not
see
any
changes
that
would
affect
burden.
Accordingly,
they
did
not
respond
to
the
Agency's
request
for
comments.
Other
associations
reported
that
they
never
comment
on
ICR's,
or
that
they
lacked
the
internal
resources
to
comment
on
this
specific
ICR.

Mr.
James
Taft
Association
of
State
Drinking
Water
Administrators
202­
293­
7655
Comment:
The
staff
and
Executive
Director
of
the
Association
of
State
Drinking
Water
Administrators
reviewed
the
Microbial
ICR
when
it
appeared
in
the
Federal
Register.
Because
the
ICR
referenced
rules
that
were
already
being
implemented
and
for
which
resources
had
already
been
allocated
by
the
states,
it
was
difficult
to
justify
the
time
and
resources
necessary
to
validate
whether
the
burden
estimates
were
reasonable
or
accurate.
Although
the
general
sense
is
that
the
burden
estimates
are
typically
too
low,
states
are
more
interested
in
the
burden
and
resource
needs
for
new
and
future
rules
for
which
they
will
have
to
make
a
case
to
their
upper
management
and
legislatures
for
resources.
To
the
best
of
their
knowledge,
no
states
commented
on
the
ICR.
Microbial
Rules
ICR
November
2004
13
Mr.
Ed
Thomas
National
Rural
Water
Association
202­
742­
4413
Comment:
Staff
of
the
National
Rural
Water
Association
reviewed
the
Microbial
ICR
when
it
appeared
in
the
Federal
Register.
While
they
would
have
liked
to
have
conducted
an
analysis
of
the
burden
estimates,
they
did
not
have
the
time
or
resources.
To
the
best
of
their
knowledge,
none
of
their
members
commented
on
the
ICR.

Mr.
Louis
Jenny
Senior
Director
of
Government
Relations
National
Association
of
Water
Companies
202­
833­
8383
Comment:
Mr.
Jenny
indicated
that
NAWC
usually
does
not
respond
to
these
types
of
Federal
Register
notices.
He
was
not
aware
of
any
comments
submitted
by
their
members.

Mr.
Thomas
Schaeffer
Association
of
Metropolitan
Water
Agencies
202­
331­
2820
Comment:
Since
this
was
a
renewal
of
ICR
authorization
for
information
already
being
collected
under
existing
rules,
it
was
not
something
that
the
association
would
have
commented
on
unless
they
knew
of
significant
problems
or
underestimates
of
costs.
This
was
not
the
case.

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.
Microbial
Rules
ICR
November
2004
14
°
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
February
1999
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
November
2004
15
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
includeC
$
Owners/
operators
of
PWSs,
who
must
report
to
the
primacy
agency.

$
Primacy
agencies
that
must
report
to
EPA
Headquarters.

$
Regional
EPA
Administrators,
who
must
send
reports
and
notices
to
PWS
owners
and
States.

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
November
2004
16
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
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
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Frequency/
Retention
17
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
Any
time
turbidity
exceeds
5
NTU
the
PWS
must
inform
the
State.
40
CFR
141.75(
a)(
5)(
ii)
As
necessary
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
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
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
Report
to
the
State
any
exceedance
of
the
MCL
for
total
coliforms.
40
CFR
141.21(
g)(
1)
As
necessary
Report
to
the
State
any
failure
to
comply
with
coliform
monitoring
requirements.
40
CFR
141.21(
g)(
2)
As
necessary
Recordkeeping
Subject
to
general
requirements
as
listed
above.

IESWTR
Determination
of
systems
required
to
profile
­
Reporting
Submit
data
to
the
State
for
determination
of
profiling
applicability.
40
CFR
141.172(
a)(
5)(
i)
through
(
iii)
One
time,
as
necessary
Notify
the
State
in
writing
if
a
system
elects
to
skip
applicability
determination
and
complete
a
profile.
40
CFR
141.172(
a)(
5)(
iv)
One
time,
as
necessary
Submit
to
the
State
a
written
request
for
approval
to
use
a
more
representative
data
set.
40
CFR
141.172(
a)(
5)(
v)
One
time,
as
necessary
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Frequency/
Retention
18
Disinfection
profiling
­
Reporting
A
PWS
with
three
years
of
existing
operating
data
may
submit
those
data,
a
profile
generated
using
those
data,
and
a
request
that
the
State
approve
use
of
those
data
in
lieu
of
monitoring.
40
CFR
141.172(
b)(
3)(
i)
One
time,
as
necessary
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)
One
time,
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)
Monthly
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
selfassessment
40
CFR
141.175(
b)(
3)
As
necessary
Following
certain
exceedances,
a
PWS
must
submit
to
the
State
a
comprehensive
performance
evaluation
(
CPE).
40
CFR
141.175(
b)(
4)
As
necessary
If
certain
measurement
thresholds
are
exceeded,
systems
must
inform
the
State.
40
CFR
141.175(
c)(
1)
and
(
2)
As
necessary
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Frequency/
Retention
19
Filtration
­
Recordkeeping
Systems
must
maintain
the
results
of
individual
filter
turbidity
monitoring.
40
CFR
141.175(
b)
3
years
FBRR
Reporting
Notify
the
State
in
writing
if
a
PWS
recycles
spent
filter
backwash
water,
thickener
supernatant,
or
liquids
from
dewatering
processes.
This
notification
must
include:
1)
A
plant
schematic
showing
the
origin
of
all
flows
which
are
recycled
(
including,
but
not
limited
to,
spent
filter
backwash
water,
thickener
supernatant,
and
liquids
from
dewatering
processes),
the
hydraulic
conveyance
used
to
transport
them,
and
the
location
where
they
are
re­
introduced
back
into
the
treatment
plant;
and
2)
Typical
recycle
flow
in
gallons
per
minute
(
gpm),
the
highest
observed
plant
flow
experienced
in
the
previous
year
(
gpm),
design
flow
for
the
treatment
plant
(
gpm),
and
Stateapproved
operating
capacity
for
the
plant
where
the
State
has
made
such
determinations.
40
CFR
141.76(
b)(
1)
and
(
2)
One
time
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
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)
10
years
LT1ESWTR
Reporting
Report
the
total
number
and
percentage
of
combined
filter
effluent
(
CFE)
turbidity
measurements
that
exceeded
their
95th
percentile
turbidity
limit
and
the
value
of
measurements
that
exceed
their
maximum
turbidity
limit.
40
CFR
141.550­
141.553
Monthly
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Frequency/
Retention
20
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
Monthly
(
or
14
days
after
the
self­
assessment
was
triggered
only
if
the
selfassessment
was
triggered
during
the
last
four
days
of
the
month)

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
Monthly
If
a
CPE
is
required,
the
system
must
submit
a
copy
of
the
completed
CPE
report.
40
CFR
141.560­
141.564
Within
120
days
after
the
CPE
was
triggered
Report
results
of
optional
monitoring
which
show
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.
40
CFR
141.530­
141.536
As
necessary
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
Microbial
Rules
ICR
November
2004
21
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
HPC
by
a
certified
laboratory
under
the
requisite
time
and
temperature
conditions
and
is
providing
adequate
disinfection
in
the
distribution
system.
40
CFR
142.15(
c)(
1)(
i)(
B)
As
necessary
Notification
of
any
determination
that
a
PWS
is
not
required
to
provide
filtration
treatment.
40
CFR
142.15(
c)(
1)(
ii)
Within
60
days
of
the
end
of
the
calendar
quarter
Recordkeeping
Records
of
microbiological
analyses.
40
CFR
142.14(
a)(
1)
1
year
Records
of
microbiological
analyses
of
repeat
or
special
samples.
40
CFR
142.14(
a)(
2)
1
year
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Minimum
Frequency/
Retention
Period
22
Records
of
turbidity
measurements.
40
CFR
142.14(
a)(
3)
1
year
Records
of
decisions
made
on
a
system­
by­
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
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
40
CFR
142.14(
a)(
4)(
ii)(
C)(
8)
Until
rescinded
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Minimum
Frequency/
Retention
Period
23
to
health
or
interfere
with
fire
protection.

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
either
preformed
chloramines
or
chloramines
formed
by
the
addition
of
ammonia
prior
to
the
addition
of
chlorine
has
demonstrated
that
99.99
percent
removal
and/
or
inactivation
of
viruses
has
been
achieved
at
particular
CT
values,
and
a
list
of
those
values.
A
copy
of
the
list
of
required
values
must
be
provided
to
the
system.
40
CFR
142.14(
a)(
4)(
ii)(
C)
(
12)
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
community
water
systems
(
CWSs)
or
less
frequently
than
once
per
quarter
for
non­
community
water
systems
(
NCWSs).
40
CFR
142.15(
c)(
2)
One
time;
update
as
needed
Recordkeeping
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Minimum
Frequency/
Retention
Period
24
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
month.
A
copy
of
the
reduced
frequency
must
be
provided
to
the
system.
40
CFR
142.14(
a)(
5)(
ii)(
A)
Retain
in
such
a
manner
that
a
system's
current
status
may
be
determined
Records
of
any
decision
to
reduce
the
total
coliform
monitoring
frequency
for
certain
NCWSs
to
less
than
once
per
quarter.
A
copy
of
the
reduced
frequency
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
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
coliform­
positive
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
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Minimum
Frequency/
Retention
Period
25
Special
Primacy
Requirements
An
application
for
approval
of
a
State
program
revision
that
adopts
the
requirements
of
the
national
primary
drinking
water
regulation
for
total
coliforms.
40
CFR
142.16(
c)
One
time
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
system­
by­
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
systems
required
to
conduct
a
filter
selfassessment
CPE
or
composite
correction
program
(
CCP).
40
CFR
142.14(
a)(
7)(
iii)
As
necessary
Special
Primacy
Requirements
Application
describing
how
the
State
will
implement
a
sanitary
survey
program
that
meets
regulatory
requirements.
40
CFR
142.16(
b)(
3)
One
time
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Minimum
Frequency/
Retention
Period
26
Application
for
approval
of
a
State
program
revision
that
adopts
40
CFR
141,
subpart
P.
40
CFR
142.16(
g)
One
time
FBRR
Reporting
Subject
to
general
requirements
as
listed
above.

Recordkeeping
Records
of
any
decisions
made
to
approve
alternate
recycle
locations,
require
modifications
to
recycle
return
locations,
or
require
modifications
to
recycle
practices.
40
CFR
142.14(
a)(
4)(
ii)(
A)(
9)
40
years
Special
Primacy
Requirements
Application
for
approval
of
a
State
program
revision
that
adopts
40
CFR
141.76.
40
CFR
142.16(
i)
One
time
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
system­
by­
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
40
CFR
142.14(
a)(
7)(
iii)
As
necessary
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Minimum
Frequency/
Retention
Period
6
Includes
all
rule
components
except
disinfectant
residual
monitoring
and
associated
activities,
which
are
included
in
the
DDBP/
Chem/
Rads
Rules
ICR
(
see
footnote
3
for
more
information).
All
remaining
SWTR
requirements
are
included
in
this
Microbial
Rules
ICR.

27
filter
self­
assessment,
CPE
or
CCP.

Special
Primacy
Requirements
Application
for
approval
of
a
State
program
revision
that
adopts
40
CFR
141,
subpart
T.
40
CFR
142.16(
j)
One
time
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.
°
CFE
data
for
filtered
systems.
°
Annual
summaries
of
watershed
control
programs
for
unfiltered
systems.
°
Annual
reports
summarizing
the
results
of
on­
site
inspections
for
unfiltered
systems.
°
A
report
to
the
primacy
agency
within
48
hours
following
attribution
of
any
waterborne
disease
outbreak
in
filtered
and
unfiltered
systems.

In
addition,
primacy
agencies
must
submit
special
reports
as
specified
in
§
142(
15)(
c).
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.
Microbial
Rules
ICR
November
2004
28
3)
Interim
Enhanced
Surface
Water
Treatment
Rule
EPA
must
balance
the
health
risks
from
microbial
organisms
(
such
as
Giardia
lamblia
and
Cryptosporidium)
against
risks
from
compounds
formed
during
water
disinfection.
The
IESWTR
and
Stage
1
DBPR,
which
were
promulgated
concurrently,
address
complex
and
interrelated
drinking
water
issues.
The
IESWTR
requires
individual
filter
monitoring
and
modifies
the
turbidity
levels
specified
in
the
SWTR.

Under
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
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
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.
°
When
those
systems
that
are
required
to
develop
a
disinfection
profile
plan
a
significant
change
in
disinfection
practice,
they
must
submit
the
profile,
along
with
an
analysis
of
how
the
proposed
change
will
affect
the
current
disinfection
benchmark
to
the
State
for
review.

The
IESWTR
requires
PWSs
to
keep
the
following
records
 

Individual
filter
turbidity
measurements.

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

Records
of
turbidity
measurements
for
individual
filters.

Records
of
disinfectant
residual
measurements
and
other
parameters
necessary
to
document
disinfection
effectiveness.

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

A
record
of
State
decisions
regarding
the
use
of
alternative
filtration
technologies
that
have
demonstrated
99
percent
removal
of
Cryptosporidium
oocysts
by
specific
water
systems.

Records
of
any
other
system­
by­
system
and
case­
by­
case
decisions
made
by
the
State
under
provisions
of
Section
414,
subpart
H
or
subpart
P
or
subpart
T.
Microbial
Rules
ICR
November
2004
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).

29

Records
of
those
systems
required
to
perform
filter
self­
assessments,
CPE,
or
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
must
record
and
report
the
following
 

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.

5)
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
Currently,
States
are
subject
to
the
general
reporting
requirements
under
40
CFR,
Section
142.15.
There
are
no
additional
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.
Microbial
Rules
ICR
November
2004
30
°
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.
°
Records
of
those
systems
required
to
perform
filter
self­
assessments,
CPE,
or
CCP.

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
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.

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.
Microbial
Rules
ICR
November
2004
8
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).

31

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
Rule8
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.

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.

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
level
of
coliform
bacteria
(
as
total
coliform)
in
the
distribution
system.
°
Collect
data
on
the
presence
or
absence
of
E.
coli
or
fecal
coliform,
following
a
positive
routine
total
coliform
sample.
Microbial
Rules
ICR
November
2004
32
°
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.
°
Take
individual
filter
turbidimeter
readings
at
the
specified
intervals.
°
Report
individual
filter
turbidity
monitoring
results
to
the
State
at
frequencies
specified
in
the
Federal
and
State
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.

4)
Filter
Backwash
Recycling
Rule
The
FBRR
requires
each
affected
PWS
to
report
recycle
practice
information
to
the
State
and
maintain
records
on
recycle
flows.

Systems
must
perform
these
activities
to
complete
the
information
collection
requirements
under
this
rule,
which
include
monitoring,
reporting,
and
recordkeeping
requirements
as
described
below.

°
Recycle
Return
Location.
The
rule
requires
all
PWSs,
regardless
of
system
size,
that
use
conventional
or
direct
filtration,
and
that
recycle
spent
filter
backwash,
thickener
supernatant,
or
liquids
from
dewatering
processes
to
return
recycle
flows
to
the
point
where
all
steps
in
the
filtration
process
must
be
performed
or
at
an
alternate
location
approved
by
the
State.

°
Conventional
Filtration
Report.
The
rule
requires
all
PWSs
that
use
conventional
filtration
and
recycles
regulated
streams,
regardless
of
system
size,
to
submit
a
report
of
their
recycling
practices
to
the
State
[
40
CFR,
Section
141.76(
b)].

°
Direct
Filtration
Report.
The
rule
requires
all
PWSs
that
use
direct
filtration
and
recycles
regulated
streams,
regardless
of
system
size,
to
submit
a
report
of
their
recycling
practices
to
the
State
[
40
CFR,
Section
141.76(
b)].

°
Recordkeeping.
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.
The
recycle
flow
information
must
include
a
list
of
all
recycle
flows
and
the
frequency
with
which
they
are
returned;
average
and
maximum
backwash
flow
rate
through
the
filters
and
the
average
and
maximum
durations
of
the
filter
backwash
Microbial
Rules
ICR
November
2004
33
process
in
minutes;
typical
filter
run
length
and
a
written
summary
of
how
filter
run
length
is
determined;
the
type
of
treatment
provided
for
the
recycle
flow;
and
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,
Section
141.76(
d)].

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.
°
Take
individual
filter
turbidimeter
readings
at
the
specified
intervals.
°
Report
individual
filter
turbidity
monitoring
results
to
the
State
at
frequencies
specified
in
the
Federal
and
State
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
profile,
if
necessary.
°
Develop
a
disinfection
benchmark,
if
necessary.
°
Consult
with
the
State
before
making
significant
changes
to
disinfection
practices.

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
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.
Microbial
Rules
ICR
November
2004
34
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.

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
 

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.
Microbial
Rules
ICR
November
2004
35
Primacy
agencies
will
ensure
that
PWSs
are
implementing
the
FBRR
properly.
To
meet
these
responsibilities
successfully,
EPA
anticipates
that
States
will
engage
in
the
following
additional
activities
 

Consulting
with
PWSs
on
changes
in
recycling
practices.

Conducting
follow­
up
inspections.

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).
To
successfully
meet
their
responsibilities,
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.
Microbial
Rules
ICR
November
2004
36
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.

EPA's
requirements
are
outlined
in
Exhibit
4
below.
Burden
and
costs
for
these
activities
are
addressed
in
the
PWSS
Program
ICR
(
OMB
No.
2040­
0090).
Section
5(
a)
of
the
PWSS
Program
ICR
contains
additional
detail
regarding
the
activities
supported
by
the
collection
of
SDWIS
data
described
above.

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
regulationsC
$
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).
Microbial
Rules
ICR
November
2004
37
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.
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
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
Microbial
Rules
ICR
November
2004
Requirement
Regulatory
Citation
Frequency
38
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
FBRR
Subject
to
general
requirements
as
listed
above.

LT1ESWTR
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
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
followingC
$
Inventory
data
for
each
PWS
$
Violations
Microbial
Rules
ICR
November
2004
9
These
definitions
were
taken
from
§
601
of
the
Regulatory
Flexibility
Act.

39
$
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
followingC

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
dataCthe
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.

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.
9

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.
Microbial
Rules
ICR
November
2004
40

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.
Consistent
with
the
1994
proposals,
EPA
is
continuing
to
define
a
"
small
system"
(
for
the
purposes
of
the
microbial
contaminant
regulations)
as
a
PWS
that
serves
fewer
than
10,000
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.

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
community
water
systems
(
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)
Microbial
Rules
ICR
November
2004
41
using
only
ground
water
that
is
not
under
the
direct
influence
of
surface
water
and
serving
1,000
or
fewer
people.
As
provided
for
in
§
141.21(
a)(
3)(
i),
however,
the
primacy
agency
may
reduce
the
quarterly
monitoring
frequency
as
a
result
of
a
sanitary
survey.

3)
Interim
Enhanced
Surface
Water
Treatment
Rule
Except
for
sanitary
survey
requirements,
which
are
carried
out
by
the
primacy
agency,
the
IESWTR
only
applies
to
systems
serving
at
least
10,000
people.
Accordingly,
the
rule
does
not
have
a
significant
impact
on
small
entities.

4)
Filter
Backwash
Recycling
Rule
The
FBRR
applies
to
both
large
and
small
systems.
Therefore,
the
rule
will
have
an
effect
on
small
entities.
Accordingly,
as
part
of
the
economic
analysis
for
the
rule,
EPA
is
certifying
that
this
rule
will
not
have
a
significant
impact
on
a
substantial
number
of
small
systems.
As
a
result,
an
RFA
was
not
required
to
be
conducted.

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
certifies
that
this
action
will
not
have
a
significant
economic
impact
on
a
substantial
number
of
small
entities.
This
certification
can
be
made
because
the
Agency
has
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
Initial
Regulatory
Flexibility
Analysis
was
not
required
to
be
conducted.

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
1990/
1993
(
depending
on
filtration
status)

TCR
1991
 
coliform
monitoring
1994
 
sanitary
surveys
Microbial
Rules
ICR
November
2004
Exhibit
5
Collection
Schedule
42
IESWTR
2002
­
turbidity
monitoring
2002/
2004
­
sanitary
surveys
(
depending
on
size
and
source
type)

FBRR
2004
LT1ESWTR
2002
 
uncovered
finished
reservoir
construction
2003
 
optional
TTHM
and
HAA5
disinfection
benchmark
applicability
monitoring
complete
2004
 
disinfection
profiling
and
benchmark
completed
(
for
all
system
sizes)
2005
 
turbidity
monitoring
2005
 
exceptions
reporting
Microbial
Rules
ICR
November
2004
10
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).

11
The
State
Workload
Model
is
a
spreadsheet
model
used
by
States/
Primacy
Agencies
to
estimate
resource
needs
for
implementation
of
drinking
water
regulations.

12
The
most
recent
frozen
SDWIS
database
pull
is
from
December
31,
2003.

43
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
 
14)
Surface
Water
Treatment
Rule10
15)
Total
Coliform
Rule
16)
Interim
Enhanced
Surface
Water
Treatment
Rule
17)
Filter
Backwash
Recycling
Rule
18)
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
This
ICR
updates
the
annual
burdens
and
costs
associated
with
these
rulemakings
for
the
three­
year
ICR
period
2005
through
2007.
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,
EPA
applied
uniform
assumptions
to
all
rules.
The
categories
of
assumptions
are
listed
below.

$
Labor
ratesCfor
PWSs,
a
mean
hourly
rate
of
$
17.09
with
an
overhead
rate
of
60
percent
from
the
Bureau
of
Labor
Statistics
Standard
Occupational
Classification
(
SOC)
Code
51­
8031,
"
Local
GovernmentCWater
and
Liquid
Waste
Treatment
Plant
and
System
Operators";
for
States,
the
hourly
rate
from
the
most
recent
State
Workload
Model.
11
$
PWS
inventory
figures
from
the
most
recent
frozen
SDWIS
database
pull.
12
$
Number
of
entry
pointsCderived
from
the
1993
Association
of
State
Drinking
Water
Administrators
survey
(
surface
water)
and
1995
Community
Water
System
Survey
(
CWSS)
(
ground
water).

$
Number
of
plantsCdata
from
the
1995
Community
Water
System
Survey.
Microbial
Rules
ICR
November
2004
44
6(
a)
Respondent
Burden
6(
a)(
i)
Burden
to
Public
Water
Systems
The
annual
PWS
burden
for
years
2005
through
2007
is
estimated
to
be
approximately
6.87
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
F
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
0.33
million
annual
burden
hours.
The
assumptions
used
to
calculate
the
SWTR
burden
are
based
largely
on
assumptions
carried
forward
from
the
2001
Microbial
Rules
ICR.
This
ICR
includes
burden
estimates
for
all
components
of
the
SWTR
except
disinfectant
residual
monitoring
and
associated
activities,
which
are
included
in
the
DDBP/
Chem/
Rads
Rules
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
2001
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
2.34
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
2001
Microbial
Rules
ICR.
Section
6(
f)
describes
the
reasons
for
changes
between
the
burden
reported
in
the
2001
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
Total
annual
burden
for
PWSs
for
the
IESWTR
is
estimated
to
be
3.89
million
hours.
Included
in
this
burden
is
individual
filter
turbidity
monitoring,
turbidity
exceptions
reporting,
and
conducting
IFAs.
Activity­
level
burden
assumptions
for
this
ICR
were
carried
forward
from
the
2001
Microbial
Rules
ICR.
Reasons
for
changes
in
burden
between
the
2001
Microbial
Rules
ICR
and
this
ICR
are
summarized
in
Section
6(
f).
Detailed
information
about
assumptions,
burden,
and
calculations
are
provided
in
Appendix
D.
Microbial
Rules
ICR
November
2004
45
4)
Filter
Backwash
Recycling
Rule
Activities
associated
with
the
FBRR
account
for
a
burden
of
586
hours
per
year.
The
burden
estimates
include
submitting
alternate
recycle
return
location
requests
to
the
state,
consultation
with
the
state,
and
recordkeeping.
The
assumptions
used
to
calculate
the
FBRR
burden
are
based
largely
on
the
assumptions
and
burden
estimates
from
the
Information
Collection
Request
for
the
Filter
Backwash
Recycling
Rule
(
OMB
No.
2040­
0224).
Section
6(
f)
describes
the
reasons
for
changes
between
the
burden
reported
in
the
FBRR
ICR
and
this
ICR.
Appendix
E
summarizes
the
assumptions
used
to
calculate
the
FBRR
burden
and
provides
the
detailed
burden
and
cost
calculations.

5)
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
Activities
associated
with
the
LT1ESWTR
account
for
a
burden
of
0.31
million
hours
per
year.
The
burden
estimates
for
PWSs
include
turbidity
exceptions
reporting.
In
addition,
the
burden
estimates
for
PWSs
serving
500
people
or
fewer
include
disinfection
benchmarking,
and
the
burden
estimates
for
PWSs
serving
10,000
people
or
fewer
also
include
turbidity
monitoring.
The
assumptions
used
to
calculate
the
LT1ESWTR
burden
are
based
largely
on
the
assumptions
and
burden
estimates
from
the
Information
Collection
Request
for
the
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
(
OMB
No.
2040­
0229).
Section
6(
f)
describes
the
reasons
for
changes
between
the
burden
reported
in
the
LT1ESWTR
ICR
and
this
ICR.
Appendix
F
summarizes
the
assumptions
used
to
calculate
the
LT1ESWTR
burden
and
provides
the
detailed
burden
and
cost
calculations.

6(
a)(
ii)
Burden
to
Primacy
Agencies
The
annual
burden
for
primacy
agencies
for
years
2005
through
2007
is
estimated
to
be
approximately
1.76
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
0.09
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
State
Workload
Model
Assumptions
carried
forward
from
the
2001
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
0.79
million
hours.
This
reflects
burden
to
monitor
TCR­
related
activities
and
to
conduct
sanitary
surveys
on
systems
serving
fewer
than
4,100
people.
Estimates
for
primacy
Microbial
Rules
ICR
November
2004
46
agency
burden
for
the
TCR
are
based
on
State
Workload
Model
Assumptions
carried
forward
from
the
2001
Microbial
Rules
ICR.
Appendix
C
shows
detailed
burden
and
cost
calculations.

3)
Interim
Enhanced
Surface
Water
Treatment
Rule
Primacy
agencies
are
expected
to
expend
0.62
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
2001
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
The
annual
State
burden
for
the
FBRR
is
expected
to
be
363
hours.
The
assumptions
used
to
calculate
the
FBRR
burden
are
based
largely
on
assumptions
carried
forward
from
the
FBRR
ICR.
The
burden
includes
estimates
for
review
of
alternate
recycle
return
location
requests,
recordkeeping,
review
of
conventional
filtration
reports,
and
review
of
direct
filtration
reports.
Detailed
calculations
for
burden
and
cost
are
shown
in
Appendix
E.

5)
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
The
annual
State
burden
for
the
LT1ESWTR
is
expected
to
be
0.25
million
hours.
The
assumptions
used
to
calculate
the
LT1ESWTR
burden
are
based
largely
on
assumptions
carried
forward
from
the
LT1ESWTR
ICR.
The
burden
includes
estimates
for
reviewing
disinfection
profiling
and
disinfection
benchmarking
results,
compliance
tracking,
and
review
of
turbidity
monitoring
and
turbidity
exceptions
reports.
Additionally,
States
conduct
CPEs
for
all
surface
water
systems.
Detailed
calculations
for
burden
and
cost
are
shown
in
Appendix
F.

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
$
284.7
million,
which
consists
of
$
187.7
million
in
labor
costs,
$
74.1
million
in
O&
M
costs,
and
$
22.8
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
SOC
Code
51­
8031,
"
Local
Government
 
Water
and
Liquid
Waste
Treatment
Plant
and
System
Operators."
The
quoted
rate
was
$
16.64
in
2002
dollars
(
see
http://
stats.
bls.
gov).
For
consistency,
this
rate
has
been
inflated
to
September
2003
dollars
using
the
Employment
Cost
Index.
The
inflated
rate
is
$
17.09.
In
addition,
60
percent
overhead
was
assumed,
bringing
the
loaded
rate
to
$
27.34
in
September
2003
dollars.

In
addition
to
the
labor
costs,
there
are
O&
M
costs
associated
with
the
SWTR,
TCR,
IESWTR,
and
LT1ESWTR.
For
the
SWTR,
these
O&
M
costs
reflect
non­
labor
costs
associated
Microbial
Rules
ICR
November
2004
13
According
to
the
ICR
Handbook,
an
employee
works
an
average
of
2,080
hours
in
one
year.

47
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
1996
Information
Collection
Rule
ICR
and
updated
for
inflation.
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.
These
analysis
O&
M
costs
are
also
based
on
the
1996
Information
Collection
Rule
ICR
and
updated
for
inflation.
IESWTR
O&
M
costs
reflect
non­
labor
costs
associated
with
turbidity
analysis
for
individual
filters.
For
the
IESWTR,
turbidity
analysis
costs
are
based
on
O&
M
cost
equations
for
operating
an
integrated
Supervisory
Control
and
Data
Acquisition
(
SCADA)
system.
These
cost
equations
are
carried
forward
from
the
IESWTR
Regulatory
Impact
Analysis
(
RIA).
LT1ESWTR
O&
M
costs
reflect
non­
labor
costs
associated
with
turbidity
analysis
for
individual
filters.

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).

Further
detail
on
the
O&
M
and
capital
costs
for
the
SWTR,
TCR,
IESWTR,
and
LT1ESWTR
can
be
found
in
Appendices
B,
C,
D,
and
F
respectively.

6(
b)(
ii)
Cost
to
Primacy
Agencies
Exhibit
7
shows
that
the
annual
costs
to
primacy
agencies
are
estimated
at
approximately
$
55.8
million
in
labor
costs.
The
labor
costs
are
based
on
an
average
full
time
equivalent
(
FTE)
cost
of
$
66,008
including
overhead,
which
equates
to
approximately
$
31.73
per
hour.
13
This
rate,
which
has
been
inflated
to
year
2003
dollars,
is
based
on
the
rate
($
55,000)
suggested
by
the
workgroup
that
developed
the
State
Workload
Model
in
1997.

There
are
no
O&
M
or
capital
costs
for
primacy
agencies
under
this
ICR.
Microbial
Rules
ICR
November
2004
48
Exhibit
6
Annual
PWS
Burden
and
Cost
2005­
2007
Activity
Annual
Burden
Hours
Cost
Annual
Responses
Annual
Labor
Cost
($
K)
Annual
O&
M
Cost
($
K)
Annual
Capital
Cost
($
K)
Total
Annual
Cost
($
K)

SWTR
327,924
$
8,966
$
2,106
$
515
$
11,587
4,635,229
TCR
2,336,629
$
63,886
$
63,955
N/
A
$
127,841
979,084
IESWTR
3,885,791
$
106,242
$
2,957
$
18,171
$
127,370
3,598,342
FBRR
586
$
16
N/
A
N/
A
$
16
251
LT1ESWTR
314,978
$
8,612
$
5,128
$
4,107
$
17,847
7,707
TOTAL
6,865,908
$
187,722
$
74,146
$
22,793
$
284,661
9,220,613
Note:
Detail
may
not
add
exactly
to
total
due
to
independent
rounding.
Microbial
Rules
ICR
November
2004
49
Exhibit
7
Annual
Primacy
Agency
Burden
and
Cost
2005­
2007
Activity
Annual
Burden
Hours
Cost
Annual
Responses
Annual
Labor
Cost
($
K)
Annual
O&
M
Cost
($
K)
Annual
Capital
Cost
($
K)
Total
Annual
Cost
($
K)

SWTR
89,385
$
2,837
N/
A
N/
A
$
2,837
18,956
TCR
792,428
$
25,147
N/
A
N/
A
$
25,147
1,950,165
IESWTR
622,805
$
19,765
N/
A
N/
A
$
19,765
64,702
FBRR
363
$
12
N/
A
N/
A
$
12
251
LT1ESWTR
253,976
$
8,060
N/
A
N/
A
$
8,060
8,869
TOTAL
1,758,957
$
55,820
$
0
$
0
$
55,820
2,042,943
Note:
Detail
may
not
add
exactly
to
total
due
to
independent
rounding.

6(
c)
Agency
Burden
and
Costs
Burden
and
costs
to
the
Federal
government
are
incurred
by
EPA's
drinking
water
program
at
Headquarters
and
EPA
Regions
to
assist
primacy
agencies
in
implementing
drinking
water
regulations.
EPA
burden
and
costs
for
on­
going
general
activities
for
all
EPA
drinking
water
regulations
(
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
161,217
existing
PWSs.
All
PWSs
are
not
necessarily
subject
to
each
of
the
information
collection
requirements
contained
in
this
ICR.
Each
rule
associated
with
this
ICR
identifies
the
types
of
PWSs
that
are
subject
to
that
particular
requirement.
The
numbers,
by
type
of
PWSs
affected
for
each
rule,
are
identified
in
the
appendices.
Microbial
Rules
ICR
November
2004
14
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.

15
This
is
the
"
cost
burden"
reported
in
the
official
OMB
inventory.
Note
that
primacy
agencies
do
not
have
capital
or
O&
M
costs
associated
with
the
Microbial
Rules.

50
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).
14
Therefore,
the
total
number
of
respondents
is
161,274.
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
8.62
million
burden
hours.
The
corresponding
total
annual
respondent
costs
are
estimated
to
be
$
340.5
million.
The
annual
capital
and
O&
M
costs
are
approximately
$
96.9
million.

Exhibit
8
Bottom
Line
Annual
Burden
and
Cost
2005­
2007
Number
of
Annual
Respondents
161,274
=
161,217
+
57
Existing
PWSs
Primacy
agencies
Total
Annual
Responses
11,263,556
=
9,220,613
+
2,042,943
PWS
responses
(
see
Exhibit
6)
Primacy
agency
responses
(
see
Exhibit
7)

Number
of
Responses
per
Respondent
69.8
=
11,263,556
/
161,274
Total
annual
responses
from
above
Total
number
of
respondents
from
above
Total
Annual
Respondent
Burden
Hours
8,624,865
=
6,865,908
+
1,758,957
PWS
hours
(
see
Exhibit
6)
Primacy
agency
hours
(
see
Exhibit
7)

Hours
per
Response
0.77
=
8,624,865
/
11,263,556
Total
respondent
burden
hours
from
above
Total
annual
responses
from
above
Annual
O&
M
and
Capital
Cost15
$
96,939k
=
$
74,146k
+
$
22,793k
Total
O&
M
costs
(
see
Exhibit
6)
Total
capital
costs
(
see
Exhibit
6)

Total
Annual
Respondent
Cost
$
340,480k
=
$
284,660k
+
$
55,820k
For
PWSs
(
see
Exhibit
6)
For
primacy
agencies
(
see
Exhibit
7)
Microbial
Rules
ICR
November
2004
51
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
partsC

Section
6(
f)(
i)
summarizes
the
burden
adjustments
made
(
by
addition
of
new
Rules)
since
the
2001
Microbial
Rules
ICR
(
see
Exhibit
10).

Section
6(
f)(
ii)
summarizes
burden
adjustments
to
each
Rule
since
the
2001
Microbial
Rules
ICR
(
see
Exhibits
11
through
13).

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
Running
Total
Comment
Burden
Estimated
in
the
2001
Microbial
Rules
ICR
8,193,200
8,193,200
This
burden
serves
as
the
baseline
for
the
Microbial
Rules
ICR.

Restructuring
Adjustments
 
see
Section
6(
f)(
i)
396,692
8,589,892
Microbial
Rules
ICR
inventory
based
on
cumulative
OMB
inventory
for
current
rulespecific
ICRs.

Other
Adjustments
to
Burdens
 
see
Section
6(
f)(
ii)
34,973
8,624,865
Burden
for
which
EPA
seeks
approval
in
this
ICR.

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
Filter
Backwash
Recycling
Rule.
The
annual
burden
estimated
in
the
FBRR
ICR
was
66,363
hours.
This
included
60,513
annual
burden
hours
for
PWSs
and
5,849
annual
burden
hours
for
States
(
Figure
11
of
the
2001
FBRR
ICR).
These
hours
were
moved
to
the
Microbial
Microbial
Rules
ICR
November
2004
52
Rules
ICR
(
OMB
No.
2040­
0205)
through
an
Information
Correction
Worksheet
(
ICW)
on
April
10,
2002.

Burden
associated
with
the
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule.
The
annual
burden
estimated
in
the
LT1ESWTR
ICR
is
330,329
hours.
This
includes
277,632
annual
burden
hours
for
PWSs
and
52,697
annual
burden
hours
for
States
(
Figure
12
of
the
LT1ESWTR
ICR).
In
order
to
consolidate
microbial
contaminant­
related
rules,
EPA
is
requesting
that
these
hours
be
moved
to
the
Microbial
Rules
ICR
(
OMB
No.
2040­
0205).

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
8,193,200
Opening
inventory
from
2001
Microbial
Rules
ICR
carried
forward
as
the
baseline
for
this
ICR.

Add
66,363
This
represents
the
current
FBRR
burden
inventory.
This
inventory
was
moved
from
the
FBRR
ICR
(
2040­
0224)
and
into
the
Microbial
Rules
ICR
through
an
ICW.

Add
330,329
This
represents
the
current
LT1ESWTR
burden
inventory.
This
inventory
is
being
moved
from
the
LT1ESWTR
ICR
(
2040­
0229)
and
into
the
Microbial
Rules
ICR.

Total
8,589,892
Microbial
Rules
ICR
inventory
based
on
current
burden
inventories.

6(
f)(
ii)
Other
Burden
Adjustments
The
remaining
changes
in
burden
are
a
result
of
adjustments
to
individual
rule
burden
calculations.
Changes
in
calculated
burden
are
a
result
of
updating
relevant
baseline
information
for
each
rule
or
program
with
the
most
current
and
accurate
information
available
(
e.
g.,
PWS
inventories).
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
decrease
of
88,197
hours
and
are
detailed
in
Exhibit
11.
Burden
adjustments
for
primacy
agencies
result
in
an
increase
of
123,170
hours
per
year,
as
shown
in
Exhibit
12.
Microbial
Rules
ICR
November
2004
53
Exhibit
11
Adjustments
to
PWS
Burden
from
Previous
ICR
Estimates
Activity
Previous
Estimate
2004
Burden
Estimate
Change
in
Burden
Reason
for
Change
in
Burden
SWTR
761,516
327,924
(
433,592)
The
decrease
in
burden
results
from
the
incorporation
of
small
plants
(
SW
and
GWUDI)
monitoring
under
the
LT1ESWTR,
and
the
increase
in
the
number
of
large
plants
(
SW
and
GWUDI)
monitoring
under
IESWTR,
which
decreased
the
number
of
filtered
nonpurchased
plants
(
SW
and
GWUDI)
monitoring
under
SWTR.

TCR
2,220,329
2,336,629
116,300
The
increase
in
burden
results
from
an
increase
in
violation
rates.
Violation
rates
have
been
updated
based
on
SDWIS
data
from
the
FY03Q04
frozen
database
extracted
on
December
31,
2003.

IESWTR
3,634,114
3,885,791
251,677
The
increase
in
burden
is
the
result
of
the
increase
in
filtered
non­
purchased
systems
and
plants
(
SW
and
GWUDI)
in
the
PWS
inventory,
which
increased
the
number
of
conventional
and
direct
filtration
systems
(
SW
and
GWUDI)
and
plants
(
SW
and
GWUDI)
subject
to
individual
filter
turbidity
monitoring
and
exceptions
reporting
under
IESWTR.

FBRR
60,513
586
(
59,927)
The
decrease
in
burden
results
from
the
completion
of
start­
up
activities,
conventional
filtration
reporting,
and
direct
filtration
reporting.

LT1ESWTR
277,632
314,978
37,346
The
burden
increase
is
driven
by
three
factors:
1)
PWSs
serving
500
or
fewer
people
will
begin
disinfection
benchmarking;
2)
PWSs
serving
10,000
or
fewer
people
will
begin
turbidity
monitoring;
3)
All
PWSs
will
begin
turbidity
exceptions
reporting.
This
burden
increase
is
partially
offset
due
to
completion
of
all
rule
startup
activities
except
benchmarking.

TOTAL
6,954,104
6,865,908
(
88,197)
Adjusted
PWS
Burden.

Note:
Detail
may
not
add
exactly
to
total
due
to
independent
rounding.
Microbial
Rules
ICR
November
2004
54
Exhibit
12
Adjustments
to
Primacy
Agency
Burden
from
Previous
ICR
Estimates
Activity
Previous
Estimate
2004
Burden
Estimate
Change
in
Burden
Reason
for
Change
in
Burden
SWTR
168,007
89,385
(
78,622)
The
decrease
in
burden
results
from
the
incorporation
of
small
plants
monitoring
under
the
LT1ESWTR,
and
the
increase
in
the
number
of
large
plants
(
SW
and
GWUDI)
monitoring
under
IESWTR,
which
decreases
the
number
of
filtered
non­
purchased
plants
(
SW
and
GWUDI)
monitoring
under
SWTR.

TCR
804,996
792,428
(
12,568)
The
decrease
in
burden
is
due
to
the
decrease
of
small
systems
in
the
PWS
inventory.

IESWTR
604,238
622,805
18,567
The
increase
in
burden
is
due
to
the
increase
in
filtered
non­
purchased
systems
(
SW
and
GWUDI)
in
the
PWS
inventory,
which
increased
the
number
of
conventional
and
direct
filtration
systems
(
SW
and
GWUDI)
and
plants
(
SW
and
GWUDI)
subject
to
individual
filter
turbidity
monitoring
and
exceptions
reporting
under
IESWTR.

FBRR
5,849
363
(
5,486)
The
decrease
in
burden
results
from
the
completion
of
start­
up
activities,
conventional
filtration
reporting,
and
direct
filtration
reporting.

LT1ESWTR
52,697
253,976
201,279
The
increase
in
burden
is
the
result
of
States
beginning
turbidity
monitoring
and
turbidity
exceptions
reporting
for
systems
serving
10,000
or
fewer
people.

TOTAL
1,635,787
1,758,957
123,170
Adjusted
Primacy
Agency
Burden.

Note:
Detail
may
not
add
exactly
to
total
due
to
independent
rounding.

Exhibit
13
shows
the
effects
of
these
adjustments
on
the
bottom
line
burden.
Subtracting
88,197
hours
to
account
for
adjustments
to
PWS
burden
and
adding
123,170
hours
to
account
for
adjustments
to
primacy
burden
yields
8,624,865
hours.
Microbial
Rules
ICR
November
2004
55
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
8,589,892
Inventory
after
restructuring
adjustments
(
see
Exhibit
10).

Subtract
88,197
Adjustment
to
PWS
burden
carried
forward
from
previous
ICRs
(
see
Exhibit
11).

Add
123,170
Adjustment
to
primacy
agency
burden
carried
forward
from
previous
ICRs
(
see
Exhibit
12).

Total
8,624,865
Equals
hours
requested
in
2004
Microbial
Rules
ICR
(
see
Exhibit
8).

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
8.62
million
hours,
of
which
6.87
million
hours
are
attributable
to
PWSs
and
1.76
million
hours
to
primacy
agencies.
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
No.
OW­
2004­
0008,
which
is
available
for
public
viewing
at
the
Water
Docket
in
the
EPA
Docket
Center
(
EPA/
DC),
EPA
West,
Room
B102,
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
room
is
(
202)
566­
1744,
and
the
telephone
number
for
the
Water
Docket
is
(
202)
566­
2426.
An
electronic
Microbial
Rules
ICR
November
2004
56
version
of
the
public
docket
is
available
through
EPA
Dockets
(
EDOCKET)
at
http://
www.
epa.
gov/
edocket.
Use
EDOCKET
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.
Once
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
Office
for
EPA.
Please
include
the
EPA
Docket
ID
No.
(
OW­
2004­
0008)
and
the
OMB
Control
No.
(
2040­
0205)
in
any
correspondence.