Document ID: EPA-HQ-OW-2002-0059-0003
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2003-05-20T04:00Z

ICR
for
DWSRF
Program
­
March
2003
­
Page
1
SECTION
I:
PART
A
OF
THE
SUPPORTING
STATEMENT
1.
IDENTIFICATION
OF
THE
INFORMATION
COLLECTION
1
(
a)
TITLE
OF
THE
INFORMATION
COLLECTION
"
Drinking
Water
State
Revolving
Fund
Program"

1
(
b)
SHORT
CHARACTERIZATION
(
ABSTRACT)

The
information
collection
activities
will
occur
primarily
at
the
program
level
through
the
State
"
Capitalization
Grant
Agreement
/
Intended
Use
Plan"
and
"
Biennial
Report".
The
information
on
the
Intended
Use
Plan
(
IUP)
is
needed
annually
to
describe
how
the
State
intends
to
use
available
Drinking
Water
State
Revolving
Fund
(
DWSRF)
funds
for
the
year,
in
order
to
meet
the
objectives
of
the
Safe
Drinking
Water
Act
(
SDWA)
and
to
further
the
goal
of
protecting
public
health.
The
Biennial
Report
is
needed
to
provide
detailed
information
on
how
the
State
has
met
its
goals
and
objectives
of
the
previous
two
fiscal
years
as
stated
in
the
IUP
and
grant
agreement.
The
SDWA
requires
the
information
to
ensure
national
accountability,
adequate
public
review
and
comment,
fiscal
integrity,
and
consistent
management
directed
to
achieve
public
health
and
SDWA
compliance
objectives.

The
individual
information
collections
are
described
as
follows:

a.
Capitalization
Grant
Agreement
/
Intended
Use
Plan
The
Capitalization
Grant
Agreement
is
the
principal
instrument
by
which
the
State
commits
to
manage
its
revolving
fund
program
in
conformity
with
the
requirements
of
the
SDWA.
The
grant
agreement
contains
or
incorporates
by
reference
the
IUP,
application
materials,
payment
schedule,
required
certifications,
the
Operating
Agreement
(
if
used),
and
other
documentation
required
by
the
Regional
Administrator.
Information
on
setasides
and
disadvantaged
community
assistance,
environmental
indicators,
core
measurements,
and
work
plans
can
be
found
in
the
IUP
and
is
needed
for
input
into
the
DWSRF
National
Information
Management
System.
The
agreement
is
a
general
instrument
to
legally
commit
the
State
and
EPA
to
execute
their
responsibilities
under
the
SDWA.

b.
Biennial
Report
The
Biennial
Report
indicates
how
the
State
has
met
its
goals
and
objectives
of
the
previous
two
fiscal
years
as
stated
in
the
grant
agreement,
and
more
specifically
in
the
IUP.
The
report
provides
information
on
loan
recipients,
loan
amounts,
loan
terms,
project
categories
of
eligible
costs,
and
similar
data
on
other
forms
of
assistance.
The
report
also
describes
the
extent
to
which
the
existing
DWSRF
financial
operating
policies,
alone
or
in
combination
with
other
State
financial
assistance
programs,
will
provide
for
the
long­
term
fiscal
health
of
the
Fund
and
carry
out
other
provisions
as
specified
in
a
State's
drinking
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for
DWSRF
Program
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March
2003
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2
water
strategy.
Financial
information
from
the
Biennial
Report
may
be
entered
into
the
DWSRF
National
Information
Management
System.

c.
State
Audit
A
State
must
comply
with
the
provisions
of
the
Single
Audit
Act
Amendments
of
1996.
Best
management
practices
suggest
and
EPA
recommends
that
a
State
conduct
an
annual
independent
audit
of
its
DWSRF
program
(
including
set­
asides),
which
contains
an
opinion
on
the
financial
condition
of
the
DWSRF
program,
a
report
on
its
internal
controls,
and
a
report
on
compliance
with
applicable
laws
and
the
SDWA.
Therefore,
a
State
may
voluntarily
agree
to
conduct
annual
independent
audits.
Financial
information
on
assistance
provided
that
is
found
in
the
voluntary
independent
audit
report
may
be
used
for
input
into
the
DWSRF
National
Information
Management
System.

d.
Reviewing
Applications
for
DWSRF
Financing
Assistance
Community
and
nonprofit
non­
community
public
water
systems
are
eligible
for
assistance
from
the
State.
These
water
systems
may
be
publicly­
owned
(
such
as
a
community
or
a
county)
or
privately­
owned
(
such
as
an
investor­
owned
utility
or
non­
profit
homeowner
association).
Local
respondents
are
responsible
for
preparing
and
submitting
applications
for
DWSRF
assistance
to
their
respective
State
agency
which
manages
the
DWSRF
program.
The
State
has
the
sole
responsibility
for
reviewing
the
applications,
entering
into
loan
and
other
financing
arrangements
with
applicants,
and
otherwise
managing
the
operations
of
the
DWSRF
program.

2.
NEED
FOR
AND
USE
OF
THE
COLLECTION
2
(
a)
NEED
/
AUTHORITY
FOR
THE
COLLECTION
The
SDWA
Amendments
of
1996
(
Pub.
L.
104­
182)
authorizes
a
DWSRF
program
to
assist
public
water
systems
to
finance
the
costs
of
infrastructure
needed
to
achieve
or
maintain
compliance
with
SDWA
requirements
and
to
protect
public
health.
Section
1452(
a)(
1)
authorizes
the
Administrator
of
the
U.
S.
Environmental
Protection
Agency
(
EPA)
to
award
capitalization
grants
to
States,
which
in
turn
can
provide
low
cost
loans
and
other
types
of
assistance
to
eligible
systems.
The
information
collection
activities
are
addressed
in
the
DWSRF
Interim
Final
Rule
found
in
40
CFR
part
35,
subpart
L
(
August
2000).

The
1996
Act
declares
that
the
DWSRF
program
shall
be
administered
by
an
instrumentality
of
the
State
and
is
subject
to
the
requirements
of
the
Act.
This
means
that
each
State
is
responsible
for
administering
its
revolving
fund
and
must
make
certain
assurances
regarding
its
plans
to
carry
out
its
administrative
duties.

2
(
b)
USE
/
USERS
OF
THE
DATA
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In
order
for
a
State
to
receive
a
capitalization
grant,
it
must
enter
into
an
agreement
(
Capitalization
Grant
Agreement)
with
the
U.
S.
Environmental
Protection
Agency.
State
responsibilities
include:
a.
Contributing
20
percent
matching
funds;
b.
Committing
funds
expeditiously;
c.
Jointly
establishing
a
payment
schedule
with
the
Federal
government;
d.
Ensuring
that
enforceable
requirements
are
fulfilled
before
assistance
is
provided
to
recipients
for
other
purposes;
e.
Monitoring
assistance
recipient
compliance
with
program
requirements
and
other
Federal
cross­
cutting
authorities
during
the
period
of
the
assistance
agreement;
and
f.
Supplying
work
plans
detailing
how
set­
aside
funds
will
be
expended.

EPA
recommends
that
States
have
their
DWSRF
funds
audited
on
an
annual
basis
in
accordance
with
generally
accepted
government
auditing
standards
(
GAGAS).

The
information
to
be
provided
to
EPA
by
the
States
includes:
a.
Intended
Use
Plan
/
Capitalization
Grant
Agreement
and
Application;
b.
Biennial
Report;
and
c.
Most
recent
Audit.

Upon
approval
of
the
Capitalization
Grant
Application,
each
State
may
begin
awarding
project
funds
and
using
set­
aside
funds
once
work
plans
are
approved.
Once
the
DWSRF
program
is
operational,
the
State
will
receive
and
review
applications
for
DWSRF
financing
assistance.
The
State
will
review
the
applications
for
conformance
with
the
IUP,
environmental
impacts,
and
financial
capabilities
of
the
applicant.
For
those
projects
and
activities
funded
with
monies
in
an
amount
equal
to
the
Federal
capitalization
grant
(
including
set­
asides),
the
State
will
also
review
the
proposed
projects
and
activities
for
consistency
with
Federal
cross­
cutting
authorities
as
described
in
the
DWSRF
Interim
Final
Rule.
The
specific
procedures
for
preparation
and
review
of
assistance
application
materials
will
be
developed
by
each
State.
If
an
application
is
acceptable,
the
State
prepares
the
appropriate
loan
agreement
documents.

Although
EPA
oversees
the
general
operations
of
the
DWSRF
program
as
part
of
its
Annual
Review
process,
the
Agency
does
not
have
any
responsibility
for
reviewing
or
approving
individual
applications
for
DWSRF
financial
assistance.

3.
THE
RESPONDENTS
AND
THE
INFORMATION
REQUESTED
3
(
a)
RESPONDENTS
/
SIC
CODES
State
and
local
governments
(
SIC
Code
#
99).
Community
and
nonprofit
non­
community
public
water
systems
are
eligible
for
assistance
from
the
State.
These
water
systems
may
be
publiclyowned
(
such
as
a
community
or
a
county)
or
privately
owned
(
such
as
an
investor­
owned
utility
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or
non­
profit
homeowner
association).

3
(
b)
INFORMATION
REQUESTED
(
i
)
Data
Items
In
general,
the
information
collections
are
required
to
ensure
compliance
with
Section
1452
of
the
SDWA
and
to
ensure
that
self­
sufficient
DWSRF
programs
are
established.
These
information
elements
also
provide
the
accountability
needed
to
detect
and
remedy
situations
of
waste,
fraud
and
abuse
of
Federal
funds.
The
individual
information
collections
are
described
as
follows:

a.
Intended
Use
Plan
/
Capitalization
Grant
Agreement
The
Capitalization
Grant
Application
is
made
on
EPA
Standard
Form
No.
424
(
OMB
No.
2020­
0020).
The
minimal
increase
in
State
burden
associated
with
use
of
this
form
is
being
handled
separately
by
the
Grants
Administration
Division
in
their
information
collection
budget
request.

The
DWSRF
Management
Manual
includes
a
model
IUP
and
SF
424
which
should
improve
program
efficiency
and
reduce
the
burden
on
the
States
and
the
EPA
Regions.

b.
Biennial
Report
Section
1452(
g)(
4)
of
the
SDWA
requires
each
participating
State
to
submit
a
Biennial
Report
at
the
end
of
every
other
fiscal
year
which
identifies
the
accomplishments
of
the
previous
two
years
under
the
Intended
Use
Plan.
The
Biennial
Report
provides
the
dates,
amounts,
recipients,
and
terms
of
loans
and
other
types
of
financial
assistance
from
(
ii
)
Respondent
Activities.

To
reduce
the
burden
on
the
States,
EPA
has
developed
a
model
Biennial
Report
that
is
included
in
the
DWSRF
Management
Manual.

c.
State
Audit
A
State
must
comply
with
the
provisions
of
the
Single
Audit
Act
Amendments
of
1996.
EPA
recommends
that
States
conduct
voluntary
Annual
Independent
Audits
that
contain
an
opinion
on
the
financial
condition
of
the
DWSRF
program,
a
report
on
its
internal
controls,
and
a
report
on
compliance
with
applicable
laws
and
that
SDWA
requirements
have
been
met.

d.
Reviewing
Applications
For
DWSRF
Financial
Assistance
Section
1452(
a)
of
the
SDWA
and
the
DWSRF
Final
Guidelines
outline
the
eligibilities
under
the
DWSRF
program
in
terms
of
potential
recipients,
types
of
projects
and
activities
which
may
receive
DWSRF
assistance,
and
the
types
of
financial
assistance
which
may
be
provided.
The
SDWA
provides
significant
flexibility
to
the
States
regarding
the
development
of
specific
procedures
for
reviewing
and
approving
applications
for
DWSRF
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assistance
and
for
managing
the
DWSRF
program.

Specific
reporting
requirements,
which
are
statutorily
based,
relate
only
to
the
relationship
between
the
State
as
recipient
of
the
Federal
capitalization
grant
and
the
Agency
as
the
grantor.
The
DWSRF
Management
Manual
and
other
DWSRF
program
materials
provide
limited
guidance
or
direction
to
the
States
regarding
the
development
of
application
materials
or
specific
procedures
for
the
processing
and
disposition
of
applications
for
DWSRF
assistance.

(
ii
)
Respondent
Activities
State
respondents
prepare
and
submit
the
following
in
order
to
apply
for
Federal
financial
assistance
and
as
a
condition
of
receiving
Federal
funds:
°
Intended
Use
Plan
/
Capitalization
Grant
Agreement;
°
Biennial
Report;
and
°
Most
recent
Audit;
Local
respondents
must
submit
applications
for
DWSRF
Financing
Assistance.

4.
THE
INFORMATION
COLLECTED
­­
AGENCY
ACTIVITIES,
COLLECTION,
METHODOLOGY,
AND
INFORMATION
MANAGEMENT
4
(
a)
AGENCY
ACTIVITIES
The
Agency
reviews
the
submissions
from
the
State
and
analyzes
the
data
provided
on
the
Capitalization
Grant
Agreement
/
Intended
Use
Plan
in
order
to
support
the
State's
management
of
the
program.
The
Agency
also
reviews
the
Biennial
Reports
and
the
State
audits
from
each
State
to
ensure
that
the
intended
financial
and
programmatic
objectives
of
the
program
are
being
met.

4
(
b)
COLLECTION
METHODOLOGY
AND
MANAGEMENT
The
DWSRF
Management
Manual
includes
a
model
grant
agreement
which
draws
from
the
CWSRF
Grant
Agreement.
Use
of
this
example
is
likely
to
reduce
the
information
burden
on
States
and
EPA
Regions.

Section
1452(
b)
of
the
SDWA
requires
the
States
to
prepare
a
plan
identifying
the
intended
uses
of
funds
in
the
DWSRF
program
to
meet
the
objectives
of
the
SDWA
and
further
the
goal
of
protecting
public
health.
The
State
must
prepare
the
IUP,
after
providing
for
public
review
and
comment,
and
submit
it
to
the
Regional
Administrator
as
part
of
its
Capitalization
Grant
Application.
In
the
IUP,
the
State
must
include
specific
details
on
how
it
will
use
all
funds
available,
both
those
funds
allocated
to
the
Fund
and
those
that
will
be
allocated
to
the
set­
aside
programs.
In
addition
to
uses
for
the
Fund,
Capitalization
Grant
funds
can
be
used
as
set­
asides
to:
(
1)
administer
the
DWSRF
program
and
provide
technical
assistance
to
public
water
systems
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(
4%);
(
2)
supplement
State
drinking
water
management
programs
(
10%);
(
3)
provide
technical
assistance
to
small
systems
(
2%);
and
(
4)
provide
assistance
for
source
water
protection
and
capacity
development
activities
(
15%).
A
State
may,
at
its
option,
develop
the
IUP
in
a
two
part
process
with
one
part
identifying
the
distribution
and
uses
of
the
funds
among
the
various
setasides
and
the
other
part
dealing
with
project
assistance
from
the
Fund.
The
two
part
process
would
allow
States
the
flexibility
to
submit
a
Capitalization
Grant
Application
for
a
portion
of
the
funds
before
it
completed
all
of
its
specific
funding
decisions.
In
this
situation,
a
State
would
have
to
conduct
two
rounds
of
public
review
and
comment.
One
round
addresses
the
use
of
set­
aside
funding
and
the
other
deals
with
assistance
for
projects
on
the
project
priority
list.

Under
Section
1452(
b),
the
IUP
must
contain
a
list
of
projects,
description
of
the
projects,
expected
terms
of
financial
assistance,
size
of
the
community
served,
criteria
and
methods
established
for
the
distribution
of
the
funds,
and
a
description
of
the
financial
status
of
the
Fund
and
the
short­
term
and
long­
term
goals
of
the
Fund.
The
IUP
should
provide
to
the
maximum
extent
practicable:
(
1)
priority
for
the
use
of
the
funds
to
be
given
to
projects
that
address
the
most
serious
risk
to
human
health;
(
2)
priority
for
projects
that
are
necessary
to
ensure
compliance
with
the
requirements
of
the
SDWA;
and
(
3)
priority
for
projects
that
assist
drinking
water
systems
most
in
need,
on
a
per
household
basis,
according
to
State
affordability
criteria.

Under
Section
1452,
States
are
required
to
provide
assurances
in
the
Capitalization
Grant
Agreement
/
IUP
on
how
it
will
comply
with
requirements.
Some
of
the
fifteen
assurances
that
follow
require
the
State
to
simply
agree
or
certify
in
the
grant
application
that
it
will
comply
with
them.
Some
of
the
fifteen
assurances
require
the
State
to
furnish
documentation
on
the
procedures
by
which
the
State
plans
to
ensure
compliance
with
them.
The
State
must
include
this
documentation
with
its
Capitalization
Grant
Application,
except
when
noted.
The
following
fifteen
assurances
are
necessary
to
establish
a
loan
fund
that
complies
with
Federal
requirements:

1.
Section
1452(
a)(
1)(
B)
­­
State
certification
that
it
has
the
authority
to
establish
a
DWSRF
program
and
that
it
may
legally
bind
itself
to
the
terms
of
the
Capitalization
Grant
Agreement.

2.
Section
1452(
a)(
1)(
G)
­­
Assurance
that
the
State
is
eligible
to
receive
full
allotment
of
funds
by
complying
with
the
requirements
of
capacity
development
and
operator
certification
provisions.

3.
Section
1452(
g)(
3)
­­
Assurance
that
the
State
will
comply
with
State
statutes
and
regulations.

4.
Section
1452(
a)(
1)
­­
Assurance
that
the
State
has
the
technical
capability
to
operate
the
program.

5.
Section
1452(
g)(
3)
­­
Assurance
that
the
State
will
accept
capitalization
grant
funds
in
accordance
with
a
payment
schedule
and
the
State
will
receive
Federal
funds
in
ICR
for
DWSRF
Program
­
March
2003
­
Page
7
accordance
with
the
provisions
of
the
EPA
Automated
Clearing
House
or
Automated
Standard
Application
for
Payments.

6.
Section
1452(
a)(
1)(
B)
­­
Assurance
that
the
State
will
deposit
all
capitalization
grant
funds
in
the
Fund,
including
repayment
of
principal
and
interest
and
any
other
funds,
except
for
those
portions
of
the
grant
that
the
State
intends
to
use
for
set­
aside
purposes
authorized
under
the
SDWA.

7.
Section
1452(
e)
­­
Assurance
the
State
will
deposit
an
amount
at
least
equal
to
20
percent
of
the
capitalization
grant
(
State
match)
in
the
Fund
and
deposit
any
required
match
for
set­
aside
activities
in
a
non­
project
account.

8.
Section
1452(
g)(
2)
­­
Assurance
that
the
State
will
provide
a
dollar
for
dollar
match
up
to
10%
of
the
funds
the
State
uses
for
the
State
program
management
set­
aside.

9.
Section
1452(
g)(
3)
­­
Assurance
that
the
State
will
use
generally
accepted
accounting
principles.
The
State
must
agree
to
establish
fiscal
controls
and
accounting
principles,
as
promulgated
by
the
Governmental
Accounting
Standards
Board,
that
are
sufficient
to
account
for
and
report
DWSRF
program
activities.

10.
Section
1452(
f)(
1)(
C)
­­
Assurance
that
the
State
will
adopt
policies
and
procedures
to
assure
that
borrowers
have
a
dedicated
source
of
revenue
(
or
in
the
case
of
privatelyowned
systems,
assure
that
there
is
adequate
security)
of
all
loans
to
be
repaid.

11.
Section
1452(
g)(
3)(
A)
­­
Assurance
that
the
State
will
disburse
loans
as
efficiently
as
possible
and
in
an
expeditious
and
timely
manner.

12.
Section
1452(
g)(
3)(
A)
­­
Assurance
that
the
State
commit
and
expend
all
DWSRF
Fund
monies
as
efficiently
as
possible
and
to
enter
into
binding
commitments
with
recipients
of
Fund
assistance
equal
to
the
combined
amount
of
each
quarterly
grant
payment
and
match
within
one
year
of
the
grant
payment.

13.
Section
1452(
b)
­­
Assurance
that
funds
will
be
used
in
accordance
with
the
IUP.
The
State
must
agree
to
expend
DWSRF
program
funds
in
accordance
with
an
IUP
that
has
undergone
public
review
and
comment.

14.
Section
1452(
g)(
4)
­­
Assurance
that
the
State
will
provide
EPA
with
a
Biennial
Report,
which
includes
the
most
recent
audit
of
the
Fund
and
the
entire
State
allotment.

15.
Section
1452(
g)(
3)
­­
Assurance
that
the
State
will
comply
with
all
Federal
crosscutting
authorities.

State
must
also
assure
that,
as
a
condition
of
receiving
federal
financial
assistance,
they
will
ICR
for
DWSRF
Program
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March
2003
­
Page
8
comply
with
the
provisions
of
the
Single
Audit
Act
of
1996.

Section
1452
requires
the
State
to
prepare
a
Capitalization
Grant
Agreement,
which
is
the
principal
instrument
by
which
the
State
commits
to
manage
its
revolving
fund
program,
and
to
ensure
that
it
conforms
with
the
requirements
of
the
SDWA
Amendments
of
1996.
The
Capitalization
Grant
Agreement
contains,
or
incorporates
by
reference,
the
following
parts
of
the
agreement:
the
IUP;
the
application
materials;
the
payment
schedule;
required
certifications;
the
Operating
Agreement,
if
used;
and
other
documentation
required
by
the
Regional
Administrator.
In
addition
to
these
requirements,
the
Capitalization
Grant
Agreement
will
define
the
types
of
oversight
responsibilities
that
are
required
to
determine
compliance
with
Section
1452.

In
order
to
lessen
the
burden
of
the
annual
Capitalization
Grant
Application
process,
the
State
and
EPA
may
develop
an
Operating
Agreement
which
covers
parts
of
the
DWSRF
program
which
are
not
expected
to
change
from
year
to
year.

Section
1452(
g)(
4)
requires
the
State
to
submit
a
Biennial
Report
to
the
Regional
Administrator
reporting
on
its
activities
in
the
program,
including
the
findings
of
its
most
recent
audit
of
the
Fund
and
the
entire
State
allotment.
The
report
should
be
submitted
according
to
the
schedule
established
in
the
grant
agreement.
The
report
will
contain
detailed
information
on
progress
toward
meeting
the
goals
and
objectives
of
the
previous
two
fiscal
years
as
stated
in
the
IUP
and
grant
agreement.
The
report
will
provide
information
on
actual
assistance
provided,
including:
loan
recipients;
loan
amounts;
loan
terms;
project
categories
of
eligible
cost;
and
similar
details
on
other
forms
of
assistance.
The
information
is
provided
in
a
format
and
a
manner
that
is
consistent
with
the
needs
of
the
EPA
Regional
Office.
The
report
will
describe
the
extent
to
which
the
existing
DWSRF
financial
operating
policies,
alone
or
in
combination
with
other
State
financial
assistance
programs,
will
provide
for
the
long­
term
fiscal
health
of
the
Fund,
attain
and
maintain
compliance
with
the
SDWA,
and
carry
out
other
provisions
specified
in
the
legislation.

The
State
must
submit
detailed
financial
statements
as
part
of
the
Biennial
Report.
At
a
minimum,
the
financial
statements
and
footnotes
required
under
GAAP
to
present
fairly
the
financial
condition
and
results
of
operation.
These
financial
statements
will
measure
and
demonstrate
the
DWSRF
program's
ability
to
maintain
its
contributed
capital.
The
financial
report
will
follow
generally
accepted
accounting
principles
and
will
follow
enterprise
fund
reporting
standards.
Financial
information
from
financial
reports
may
be
used
in
the
DWSRF
National
Information
Management
System.

In
addition,
the
State
must
address
in
its
Biennial
Report
that
it
has:

°
reviewed
all
DWSRF
program
funded
projects
and
activities
in
accordance
with
the
approved
State
Environmental
Review
Procedures;

°
deposited
its
match
on
or
before
the
date
on
which
each
grant
payment
was
made;
ICR
for
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­
March
2003
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9
°
made
binding
commitments
in
an
amount
equal
to
the
amount
of
each
grant
payment
and
accompanying
State
match
that
is
deposited
into
the
Fund
within
one
year
after
receiving
the
grant
payment;

°
managed
the
Fund
in
a
fiscally
prudent
manner
and
adopted
policies
and
processes
which
promote
the
long­
term
financial
health
of
the
Fund;

°
complied
with
Agency
grant
regulations
(
40
CFR
Part
31)
and
specific
conditions
of
the
grant;

°
complied
with
Federal
cross­
cutting
authorities
that
apply
to
the
State
as
a
Federal
grantee
and
those
which
flow
through
to
assistance
recipients;

°
provided
assistance
only
to
eligible
water
systems
and
for
eligible
purposes
under
Section
1452;
and
°
funded
only
the
highest
priority
projects
listed
on
the
IUP,
according
to
their
priority
and
readiness
to
proceed,
and
complied
with
any
procedures
for
bypassing
priority
projects
outlined
in
the
IUP.

States
are
encouraged
to
conduct
an
annual
financial
and
compliance
audit
of
the
DWSRF
program
and
its
operations.
The
State
may
designate
an
independent
auditor
of
the
State
to
carry
out
its
audit
or
may
contractually
procure
the
service.
Under
Section
1452(
g)(
4),
the
Administrator
shall
periodically
audit
all
State
loan
funds
established
by,
and
other
amounts
allotted
to,
the
States
pursuant
to
Section
1452
in
accordance
with
procedures
established
by
the
Comptroller
General.
If
needed,
a
financial
and
compliance
audit
of
the
DWSRF
program
for
a
State
will
be
conducted
by
the
Office
of
Inspector
General
(
OIG).
The
OIG
has
developed
an
audit
guide
for
SRF's,
which
should
reduce
the
burden
on
States
and
improve
the
efficiency
of
EPA
reviews.

Section
1452(
a)(
2)
and
1452(
f)
outlines
the
eligibilities
under
the
DWSRF
program
in
terms
of
potential
recipients
and
the
types
of
financial
assistance
which
the
DWSRF
may
provide.
The
DWSRF
Interim
Final
Rule
identifies
types
of
projects
and
activities
which
may
receive
DWSRF
assistance.
The
SDWA
provides
significant
flexibility
to
the
States
regarding
the
development
of
specific
procedures
for
reviewing
and
approving
applications
for
DWSRF
assistance
and
for
managing
the
DWSRF
program.

Specific
reporting
requirements
which
are
statutorily
based
relate
only
to
the
relationship
between
the
State
as
recipient
of
the
Federal
capitalization
grant
and
the
Agency
as
grantor.
Similarly,
the
DWSRF
Interim
Final
Rule,
Management
Manual,
and
other
DWSRF
program
materials
do
not
provide
guidance
or
direction
to
the
States
regarding
the
development
of
application
materials
or
specific
procedures
for
the
processing
and
disposition
of
applications
for
DWSRF
assistance
to
eligible
recipients.
ICR
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March
2003
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10
Generally,
State
programs
require
that
applications
for
DWSRF
assistance
provide
the
following
information:
°
project
description;
°
project
cost
estimate;
°
estimated
construction
schedule;
°
projected
disbursement
schedule;
°
description
of
environmental
impacts;
°
estimation
of
cost
impacts
on
users;
°
identification
of
repayment
source;
°
description
of
community;
°
financial,
technical,
and
managerial
capability;
and
°
certain
projects,
certifications
and
demonstrations
regarding
compliance
with
Federal
cross­
cutting
authorities.

Because
the
DWSRF
is
a
new
program,
EPA
has
undertaken
many
activities
to
support
the
Regions
and
the
States
with
implementation.
EPA
has
provided
training
on
the
program
and
prepared
model
documents
relating
to
Intended
Use
Plans,
Capitalization
Grant
Agreements,
and
Biennial
Reports.
EPA
Regional
personnel
are
regularly
in
contact
with
their
State
counterparts
and
are
currently
working
to
determine
efficient
ways
to
communicate
needed
information
and
reduce
the
burden.

4
(
c)
SMALL
ENTITY
FLEXIBILITY
Respondents
are
the
States,
usually
within
the
State
Department
of
Health,
Environmental
Departments,
and/
or
Finance
Agencies.
Although
information
collection
activities
do
not
directly
affect
small
businesses
or
organizations
as
defined
in
the
Regulatory
Flexibility
Act,
5
U.
S.
C.
Sections
601
(
3)
and
(
4),
States
may
have
activities
that
may
require
information
from
small
businesses
or
organizations.
Local
respondents,
which
include
community
water
systems,
both
privately­
and
publicly­
owned,
and
nonprofit
non­
community
water
systems,
are
eligible
for
Fund
assistance
from
State
programs.

4
(
d)
COLLECTION
SCHEDULE
The
information
collection
activities
will
occur
primarily
at
the
program
level
through
the
State
IUP
and
the
Biennial
Report.
The
information
is
needed
annually
to
implement
Section
1452
of
the
SDWA.
The
Act
requires
the
information
to
ensure
national
accountability,
adequate
public
comment
and
review,
fiscal
integrity,
and
consistent
management
directed
to
achieve
environmental
objectives.

5.
NON­
DUPLICATION,
CONSULTATIONS,
AND
OTHER
COLLECTION
CRITERIA
ICR
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2003
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11
5
(
a)
NON­
DUPLICATION
The
information
collection
elements
are
specific
to
Section
1452,
established
under
the
SDWA
Amendments
of
1996.
The
information
in
the
IUP,
Biennial
Report,
and
the
State
Audit
is
unique
to
each
State
participating
in
the
DWSRF
program.
Therefore,
duplication
of
the
effort
is
not
experienced.
The
information
collection
activities
herein
are
based
upon
program
specific
State
sources
which
are
not
duplicated
anywhere
else.

5
(
b)
PUBLIC
NOTICE
REQUIRED
PRIOR
TO
ICR
SUBMISSION
TO
OMB
The
Federal
Register
notice
soliciting
comments
on
this
ICR
was
published
on
December
30,
2002
(
67
FR
79604).
No
comments
were
received.

5
(
c)
CONSULTATIONS
The
information
requirements
were
subjected
to
the
same
reviews
as
the
other
requirements
and
procedures
contained
in
the
DWSRF
Interim
Final
Rule.
The
DWSRF
Interim
Final
Rule
was
commented
on
by
State
officials,
representatives
of
local
government,
private
concerns
involved
with
municipal
finance,
EPA
Regional
and
Headquarters'
offices,
and
the
Office
of
Management
and
Budget.

5
(
d)
EFFECTS
OF
LESS
FREQUENT
COLLECTION
The
SDWA
requires
information
to
be
provided
annually.
EPA
is
not
requesting
the
information
more
frequently
than
the
Act
requires,
although
a
State
may
submit
information
more
frequently
if
it
wishes.

Local
respondents
are
only
required
to
apply
for
DWSRF
assistance
from
States
if
the
local
respondent
wishes
to
receive
financial
assistance.
In
view
of
likely
funding
availability
at
the
State
level,
a
limited
number
of
local
respondents
will
likely
receive
assistance
in
a
particular
year.
The
impact
on
local
respondents
is
generally
considered
limited.

5
(
e)
GENERAL
GUIDELINES
The
data
collections
covered
by
this
ICR
are
in
compliance
with
the
OMB
General
Guidelines
for
information
collections.

5
(
f)
CONFIDENTIALITY
AND
SENSITIVE
QUESTIONS
(
i
)
Confidentiality
No
confidential
data
is
collected.

(
ii
)
Sensitive
Questions
ICR
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DWSRF
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2003
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12
Financial
information,
such
as
income
tax
records
and
financial
statements,
may
be
required
from
private
water
systems
for
assessing
financial
capability
during
the
loan
application
process.
ICR
for
DWSRF
Program
­
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2003
­
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13
6.
ESTIMATING
THE
BURDEN
AND
COST
OF
THE
COLLECTION
6
(
a)
ESTIMATING
RESPONDENT
BURDEN
The
respondent
burden
estimates
are
based
on
the
incremental
effort
associated
with
the
information
collection
activity.
As
program
activity
increased
at
the
local
and
State
level,
the
burden
associated
with
the
preparation
and
review
of
local
respondent
applications
for
DWSRF
assistance
increased.

The
respondents
may
use
DWSRF
administrative
monies
to
pay
the
costs
of
the
annual
State
audit.
Section
1452
(
g)
(
2)
of
the
SDWA
allows
each
State
to
set­
aside
up
to
4%
of
the
funds
allotted
to
it
to
cover
the
reasonable
costs
of
administering
the
DWSRF
program.

The
estimation
of
the
State
respondents'
burden
for
the
four
information
collections
are
shown
below:

a.
Intended
Use
Plan
/
Capitalization
Grant
Agreement
EPA
estimates
that
each
State
will
spend
an
average
of
400
hours
per
year
to
prepare
the
IUP
and
Capitalization
Grant
Agreement
for
submission
to
EPA.
Information
on
setasides
and
disadvantaged
community
assistance,
environmental
indicators,
core
measurements,
and
work
plans
can
be
found
in
the
IUP
and
can
be
used
for
input
into
the
DWSRF
National
Information
Management
System.
Table
1
represents
the
total
national
burden
from
the
IUP
/
Capitalization
Grant
Agreement
for
50
states
and
Puerto
Rico.

Table
1:
IUP
/
Capitalization
Grant
Agreement
National
Burden
Hours
Year
Number
of
States
(
A)
Preparation
Hours
(
B)
Burden
Hours
(
A
x
B)

2003
51
400
20,400
2004
51
400
20,400
2005
51
400
20,400
b.
Biennial
Report
EPA
estimates
that,
over
the
three
year
period
covered
by
this
ICR,
each
State
will
spend
an
average
of
275
hours
per
year
to
compile
each
Biennial
Report.
The
Report
is
required
every
two
years.
This
ICR
assumes
that
the
Report
will
be
submitted
in
2004
by
all
states.
The
Biennial
Report
includes
similar
information
elements
found
on
the
IUP
and
for
input
into
the
DWSRF
National
Information
Management
System.
Table
2
shows
the
total
national
burden
from
the
Biennial
Report.
ICR
for
DWSRF
Program
­
March
2003
­
Page
14
Table
2:
Biennial
Report
National
Burden
Hours
Year
Number
of
States
(
A)
Preparation
Hours
(
B)
Burden
Hours
(
A
x
B)

2003
No
report
required
­­
­­

2004
51
275
14,025
2005
No
report
required
­­
­­

c.
State
Audit
The
estimated
average
burden
for
each
State
audit
was
80
hours
per
year.
States
are
required
to
comply
with
the
provisions
of
the
Single
Audit
Act.
This
estimate
reflects
the
extra
increment
of
effort
required
of
the
States
for
this
program
in
meeting
the
Federal
requirements.
State's
may
build
upon
audit
work
done
under
the
Single
Audit
Act
to
complete
the
separate
audit
required
for
this
program.
Financial
information
from
State
audits
can
be
used
for
input
into
the
DWSRF
National
Information
Management
System.
Table
3
shows
the
total
national
burden
from
the
State
Audit.

Table
3:
State
Audit
National
Burden
Hours
Year
Number
of
States
(
A)
Preparation
Hours
(
B)
Burden
Hours
(
A
x
B)

2003
51
80
4,080
2004
51
80
4,080
2005
51
80
4,080
d.
Assistance
For
Application
Preparation
and
Review
States
have
responsibility
for
reviewing
and
approving
local
applications
for
assistance
from
the
DWSRF
program.
EPA
estimates
that
the
States
will
spend
an
average
of
40
hours
in
reviewing
and
approving
each
assistance
application.
Table
4
represents
the
total
national
State
burden
in
processing
DWSRF
assistance
applications.

Table
4:
Application
Review
National
Burden
Hours
Year
#
of
States
(
a)
Applications
(
b)
Preparation
Hours
(
c)
Burden
Hours
(
a
x
b
x
c)

2003
51
27
40
55,080
2004
51
27
40
55,080
2005
51
27
40
55,080
ICR
for
DWSRF
Program
­
March
2003
­
Page
15
States
develop
specific
procedures
and
reporting
and
application
materials
for
DWSRF
assistance
applicants.
EPA
estimates
that
local
respondents
(
including
Indian
Tribes
and
Alaska
Native
Villages)
will
spend
an
average
of
80
hours
in
collecting
information
and
preparing
each
DWSRF
assistance
application.
Table
5
represents
the
total
national
local
respondent
burden
in
preparing
DWSRF
assistance
applications.

Table
5:
Application
Preparation
Local
Respondent
Burden
Hours
Year
Number
of
Local
Respondents
(
A)
Preparation
Hours
(
B)
Burden
Hours
(
A
x
B)

2003
1,377
80
110,160
2004
1,377
80
110,160
2005
1,377
80
110,160
SUMMARY
OF
RESPONDENT
BURDEN
HOURS
Table
6
summaries
the
State
burden
hours
for
the
four
individual
information
collection
activities.
Average
burden
hours
per
State
and
total
hours
for
all
States
for
the
three
years
covered
by
this
ICR
are
provided
for
each
activity.

Table
6:
Summary
of
State
Burden
Hours
(
FY
2003
­
FY
2005)

ICR
Hours
per
State
Hours
for
All
States
Intended
Use
Plan
/
Capitalization
Grant
Agreement
1,200
61,200
Biennial
Report
275
14,025
State
Audit
240
12,240
Application
Review
3,240
165,240
Total
Burden
Hours
(
FY2003
­
FY2005)
4,955
252,705
Table
7
illustrates
burden
hours
for
local
respondents
in
preparing
applications.
A
total
of
4,131
local
respondents
will
spend
80
hours
per
application
during
the
three
years.

Table
7:
Summary
of
Local
Respondent
Burden
Hours
(
FY
2003
­
FY
2005)

ICR
Local
Respondents
Hours
per
Local
Respondent
Hours
for
All
Local
Respondents
Application
Preparation
4,131
80
330,480
ICR
for
DWSRF
Program
­
March
2003
­
Page
16
6
(
b)
ESTIMATING
RESPONDENT
COSTS
a.
Costs
To
State
Respondents
The
average
annual
State
costs
for
the
three­
year
period
is
estimated
to
be
$
3,227,885.

Since
these
State
costs
are
grant
eligible,
they
can
be
paid
for
out
of
the
DWSRF
program.
Under
Section
1452
(
g)(
2),
monies
can
be
set
aside
and
used
for
any
reasonable
costs
related
to
administering
the
Fund,
provided
the
amount
does
not
exceed
4%
of
the
State's
allotment.
Reasonable
costs
under
this
section,
can
include
reasonable
costs
expended
to
establish
a
State
loan
fund
and
to
provide
technical
assistance
to
public
water
systems
within
the
State.

Under
Section
1443(
a),
an
additional
10%
of
the
State's
allotment
may
be
used,
in
part,
for:
(
1)
supervising
public
water
system
programs;
(
2)
administering
or
providing
technical
assistance
through
source
water
protection
programs;
(
3)
developing
and
implementing
a
capacity
development
strategy
under
Section
1420
(
c);
and
(
4)
developing
an
operator
certification
program
for
purposes
of
meeting
the
requirements
of
Section
1419.

The
following
tabless
(
Table
8.1
­
8.3)
contain
estimates
of
burden
costs
for
the
four
individual
activities
involving
information
collections.
The
State
salary
cost
of
$
38.32
per
hour
was
calculated
by
using
$
33.32
per
hour
to
cover
personnel
plus
an
additional
data
processing
cost
of
$
5.00
per
hour.
The
hourly
rate
for
white­
collar
professional
personnel
was
derived
from
the
Bureau
of
Labor
Statistics
2001
data
for
Employer
Costs
for
Employee
Compensation
for
State
and
Local
Government.

Table
8.1:
FY
2003
State
Burden
Costs
Fiscal
year
2003
ICR
#
of
States
(
a)
Hours
(
b)
Cost
/
Hour
(
c)
Cost
(
a
x
b
x
c)

IUP
/
CGA
­­
Initial
Plan
­­
Revised
Plan
51
51
332
68
$
38.32
$
38.32
$
648,834
$
132,894
Biennial
Report
­­
­­
­­
­­

State
Audit
51
80
$
38.32
$
156,346
Application
Review
51
1,080
$
38.32
$
2,110,666
Total
Fiscal
Year
2003
State
Cost
$
3,048,739
ICR
for
DWSRF
Program
­
March
2003
­
Page
17
Table
8.2:
FY
2004
State
Burden
Costs
Fiscal
year
2004
ICR
#
of
States
(
a)
Hours
(
b)
Cost
/
Hour
(
c)
Cost
(
a
x
b
x
c)

IUP
/
CGA
­­
Initial
Plan
­­
Revised
Plan
51
51
332
68
$
38.32
$
38.32
$
648,834
$
132,894
Biennial
Report
51
275
$
38.32
$
537,438
State
Audit
51
80
$
38.32
$
156,346
Application
Review
51
1,080
$
38.32
$
2,110,666
Total
Fiscal
Year
2004
State
Cost
$
3,586,177
Table
8.3:
FY
2005
State
Burden
Costs
Fiscal
year
2005
ICR
#
of
States
(
a)
Hours
(
b)
Cost
/
Hour
(
c)
Cost
(
a
x
b
x
c)

IUP
/
CGA
­­
Initial
Plan
­­
Revised
Plan
51
51
332
68
$
38.32
$
38.32
$
648,834
$
132,894
Biennial
Repot
­­
­­
­­
­­

State
Audit
51
80
$
38.32
$
156,346
Application
Review
51
1,080
$
38.32
$
2,110,666
Total
Fiscal
Year
2005
State
Cost
$
3,048,739
SUMMARY
OF
STATE
COSTS
Total
State
Costs
(
FY
2003
­
FY
2005)
$
9,683,656
Average
Annual
State
Cost
Over
3­
Year
Period
$
3,227,885
ICR
for
DWSRF
Program
­
March
2003
­
Page
18
b.
Costs
To
Local
Respondents
Local
respondents
(
including
Indian
Tribes
and
Alaska
Native
Villages)
may
incur
costs
in
identifying
and
evaluating
their
drinking
water
quality
problems.
Local
respondents
may
need
to
absorb
costs
related
to
the
development
and
evaluation
of
alternative
planning
and
engineering
approaches
for
solving
their
water
quality
problems.
These
planning
and
design
costs
may
be
eligible
for
DWSRF
assistance
at
a
State's
option.
For
the
purposes
of
this
information
collection,
only
the
direct
costs
associated
with
the
preparation
of
the
application
for
DWSRF
financial
assistance
are
reported.

During
the
period
of
this
information
collection
activity,
the
number
of
local
respondents
which
will
receive
DWSRF
financial
assistance
is
expected
to
remain
relatively
constant
in
the
DWSRF
program.
The
number
of
local
respondents
in
each
State
will
vary
significantly
depending
on
the
funding
available,
the
types
of
projects
to
be
assisted,
the
average
cost/
size
of
the
projects,
and
other
factors.
The
Agency
estimates
that
the
number
of
local
respondents
to
receive
DWSRF
assistance
during
the
period
of
this
information
collection
to
be
27
per
State
in
per
year.
Table
9
illustrates
the
burden
costs
of
application
preparation
for
local
respondents.
The
hourly
rate
of
$
33.32
for
white­
collar
professional
personnel
was
derived
from
the
Bureau
of
Labor
Statistics
2001
data
for
Employer
Costs
for
Employee
Compensation
for
State
and
Local
Government.

Only
local
respondents
which
desire
financial
assistance
from
the
DWSRF
will
prepare
applications.
Therefore,
this
information
collection
will
pertain
only
to
a
limited
number
of
local
respondents.
The
specific
requirements
and
complexity
of
application
materials
varies
widely
among
the
States
which
are
responsible
for
DWSRF
program
implementation
and
management.
The
Agency
estimates
that
on
average,
local
respondents
will
spend
approximately
80
hours
in
completing
each
DWSRF
assistance
application.

Table
9:
Local
Respondents
Burden
Costs
(
FY
2003
­
FY
2005)

ICR
­
Application
Preparation
Year
#
of
Local
Respondents
(
a)
Hours
(
b)
Cost
/
Hour
(
c)
Cost
(
a
x
b
x
c)

2003
1,377
80
$
33.32
$
3,670,531
2004
1,377
80
$
33.32
$
3,670,531
2005
1,377
80
$
33.32
$
3,670,531
Total
Local
Respondent
Costs
(
FY
2003
­
FY
2005)
$
11,011,59
4
Average
Annual
Cost
Over
3­
Year
Period
$
3,670,531
ICR
for
DWSRF
Program
­
March
2003
­
Page
19
6
(
c)
Estimating
Agency
Burden
and
Cost
Estimation
of
the
direct
cost
to
EPA
to
implement
the
DWSRF
program
covers
negotiation
and
analysis
of
the
IUP,
Capitalization
Grant
Agreement,
Grant
Application,
and
State
performance
and
compliance
through
the
Biennial
Report
and
the
State
Audit.

The
estimates,
in
Table
10.1
­
10.3,
reflect
Agency
workload
over
the
3­
year
period
covered
by
this
information
collection.
The
estimate
of
EPA
costs
is
based
on
average
hourly
expenditures,
including
Regional
and
Headquarters
personnel
compensation
and
benefits.
The
estimates
were
based
on
participation
by
all
States
in
the
DWSRF
program.

The
estimated
average
hourly
cost
of
$
43.55
for
EPA
Headquarters
and
Regional
personnel
is
based
on
the
GS
12/
05
level.
The
hourly
estimates
were
calculated
by
dividing
the
annual
compensation
of
$
56,619,
from
the
2002
GS
pay
schedule,
by
2,080
hours
in
the
Federal
work
year.
The
hourly
rates
were
then
multiplied
by
the
standard
government
benefits
multiplication
factor
of
1.6.

The
average
annual
Federal
cost
of
$
1,906,401
over
the
3­
year
period
was
estimated
as
follows:

Table
10.1:
FY
2003
EPA
Burden
Costs
Fiscal
Year
2003
ICR
Hours
Cost
/
Hour
Agency
Cost
EPA
HQ
Review
of
IUP
and
Agreement
Materials
(
15
hours
per
State
submission)
765
$
43.55
$
33,316
EPA
Regional
Review
of
IUP
and
Agreement
Materials
(
350
hours
per
State
submission)
17,85
0
$
43.55
$
777,368
EPA
HQ
Oversight
Review
of
Audit
Reports
(
25
hours
per
State
submission)
1,275
$
43.55
$
55,526
EPA
Regional
Oversight
Review
of
Audit
Reports
(
445
hours
per
State
submission)
22,69
5
$
43.55
$
988,367
Total
Fiscal
Year
2003
Federal
Cost
$
1,854,577
ICR
for
DWSRF
Program
­
March
2003
­
Page
20
Table
10.2:
FY
2004
EPA
Burden
Costs
Fiscal
Year
2004
ICR
Hours
Cost
/
Hour
Agency
Cost
EPA
HQ
Review
of
IUP
and
Agreement
Materials
(
15
hours
per
State
submission)
765
$
43.55
$
33,316
EPA
Regional
Review
of
IUP
and
Agreement
Materials
(
350
hours
per
State
submission)
17,85
0
$
43.55
$
777,368
EPA
HQ
Oversight
Review
of
Audit
&
Biennial
Reports
(
40
hours
per
State
submission)
2,040
$
43.55
$
88,842
EPA
Regional
Oversight
Review
of
Audit
&
Biennial
Reports
(
500
hours
per
State
submission)
25,50
0
$
43.55
$
1,110,525
Total
Fiscal
Year
2004
Federal
Cost
$
2,010,050
Table
10.3:
FY
2005
EPA
Burden
Costs
Fiscal
Year
2005
ICR
Hours
Cost
/
Hour
Agency
Cost
EPA
HQ
Review
of
IUP
and
Agreement
Materials
(
15
hours
per
State
submission)
765
$
43.55
$
33,316
EPA
Regional
Review
of
IUP
and
Agreement
Materials
(
350
hours
per
State
submission)
17,85
0
$
43.55
$
777,368
EPA
HQ
Oversight
Review
of
Audit
Reports
(
25
hours
per
State
submission)
1,275
$
43.55
$
55,526
EPA
Regional
Oversight
Review
of
Audit
Reports
(
445
hours
per
State
submission)
22,69
5
$
43.55
$
988,367
Total
Fiscal
Year
2005
Federal
Cost
$
1,854,577
SUMMARY
OF
AGENCY
COSTS
Total
Agency
Costs
(
FY
2003
­
FY
2005)
$
5,719,204
Average
Annual
Cost
Over
3­
Year
Period
$
1,906,401
ICR
for
DWSRF
Program
­
March
2003
­
Page
21
6
(
d)
BOTTOM
LINE
BURDEN
HOURS
AND
COSTS
/
BURDEN
TABLES
(
i
)
Respondent
Burden
(
FY
2003
­
FY
2005)
Total
State
Burden
Hours:
252,705
Total
State
Costs:
$
9,683,656
Annual
State
Burden
Hours:
84,235
Annual
State
Costs:
$
3,227,885
Total
Local
Respondent
Burden
Hours:
330,480
Total
Local
Respondent
Costs:
$
11,011,594
Annual
Local
Respondent
Burden
Hours:
110,160
Annual
Local
Respondent
Costs:
$
3,670,531
Total
Respondent
(
State
&
Local)
Burden
Hours:
583,185
Total
Respondent
(
State
&
Local)
Costs:
$
20,695,249
Annual
Respondent
(
State
&
Local)
Burden
Hours:
194,395
Annual
Respondent
(
State
&
Local)
Costs:
$
6,898,416
(
ii
)
The
Agency
Burden
(
FY
2003
­
FY
2005)
Annual
Headquarters
Burden
Hours:
2,295
Annual
Headquarters
Costs:
$
99,947
Annual
Regional
Burden
Hours:
41,480
Annual
Regional
Costs:
$
1,806,454
(
iii
)
Variations
In
The
Annual
Bottom
Line
There
Are
No
Significant
Variations
In
The
Annual
Bottom
Line.

6
(
e)
REASONS
FOR
CHANGE
IN
BURDEN
The
net
increase
in
total
respondent
burden
hours
from
the
previous
ICR
is
attributed
to
the
increase
in
the
estimated
number
of
respondents
participating
in
the
DWSRF
program
and
a
decrease
in
the
estimated
burden
hours
for
the
Biennial
Report
preparation.
The
Report
is
required
every
two
years.
The
previous
ICR
assumed
that
the
Biennial
Report
will
be
submitted
in
2001
and
2003.
Accordingly,
this
ICR
assumes
that
the
Report
will
be
submitted
in
2004.

The
previous
ICR
estimated
the
average
annual
number
of
respondents
to
be
1,377,
while
this
ICR
estimates
the
average
number
of
respondents
to
be
1,428
per
year.
The
increase
in
the
number
of
respondents
reflect
the
stabilizing
of
activities
in
the
DWSRF
program.
The
previous
ICR
included
lower
estimates
for
the
earlier
years
to
compensate
for
the
program's
early
start­
up
phase.

6
(
f)
BURDEN
STATEMENT
ICR
for
DWSRF
Program
­
March
2003
­
Page
22
The
public
reporting
and
recordkeeping
burden
for
this
collection
of
information
is
estimated
to
average
1,652
hours
per
state
and
80
hours
per
local
respondent
(
including
Indian
Tribes
and
Alaska
Native
Tribes)
annually.
Burden
means
the
total
time,
effort,
or
financial
resources
expended
by
persons
to
generate,
maintain,
retain,
or
disclose
or
provide
information
to
or
for
a
Federal
agency.
This
includes
the
time
needed
to
review
instructions;
develop,
acquire,
install,
and
utilize
technology
and
systems
for
the
purposes
of
collecting,
validating,
and
verifying
information,
processing
and
maintaining
information,
and
disclosing
and
providing
information;
adjust
the
existing
ways
to
comply
with
any
previously
applicable
instructions
and
requirements;
train
personnel
to
be
able
to
respond
to
a
collection
of
information;
search
data
sources;
complete
and
review
the
collection
of
information;
and
transmit
or
otherwise
disclose
the
information.
An
agency
may
not
conduct
or
sponsor,
and
a
person
is
not
required
to
respond
to,
a
collection
of
information
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
2002­
0059,
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
Reading
Room
is
(
202)
566­
1744,
and
the
telephone
number
for
the
Water
Docket
is
(
202)
566­
2426.
An
electronic
version
of
the
public
docket
is
available
through
EPA
Dockets
(
EDOCKET)
at
http://
www.
epa.
gov/
edocket.
Use
EDOCKET
to
submit
or
view
public
comments,
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
2002­
0059)
and
OMB
control
number
(
2040­
0185)
in
any
correspondence.