1895ss07 - Revised_Final_07-05-12

1895ss07 - Revised_Final_07-05-12.pdf

Microbial Rules (Renewal)

OMB: 2040-0205

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Final Information
Collection Request for the
Microbial Rules

TABLE OF CONTENTS
1

IDENTIFICATION OF THE INFORMATION COLLECTION........................... 1
1(a) Title and Number of the Information Collection .................................................... 1
1(b) Short Characterization ............................................................................................ 1
2
NEED FOR AND USE OF THE COLLECTION .................................................. 3
2(a) Need/Authority for the Collection .......................................................................... 3
2(b) Use/Users of the Data ............................................................................................. 9
3
NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION
CRITERIA ............................................................................................................ 10
3(a) Non-duplication .................................................................................................... 10
3(b) Public Notice Required Prior to ICR Submission to OMB .................................. 10
3(c) Consultations ........................................................................................................ 10
3(d) Effects of Less Frequent Collection ..................................................................... 12
3(e) General Guidelines ............................................................................................... 12
3(f) Confidentiality ...................................................................................................... 12
3(g) Sensitive Questions .............................................................................................. 13
4
RESPONDENTS AND INFORMATION REQUESTED ................................... 14
4(a) Respondents/NAICS Codes.................................................................................. 14
4(b) Information Requested ......................................................................................... 14
5
INFORMATION COLLECTED -- AGENCY ACTIVITIES, COLLECTION
METHODOLOGY, AND INFORMATION MANAGEMENT .......................... 43
5(a) Agency Activities ................................................................................................. 43
5(b) Collection Methodology and Management .......................................................... 46
5(c) Small Entity Flexibility ........................................................................................ 47
5(d) Collection Schedule .............................................................................................. 50
6
ESTIMATING BURDEN AND COST OF COLLECTION................................ 51
6(a) Respondent Burden............................................................................................... 52
6(b) Respondent Costs ................................................................................................. 56
6(c) Agency Burden and Costs .................................................................................... 59
6(d) Estimating Respondent Universe and Total Burden and Costs ............................ 59
6(e) Bottom Line Burden Hours and Costs.................................................................. 59
6(f) Reasons for Change in Burden ............................................................................. 61
6(g) Burden Statement ................................................................................................. 65

APPENDICES
Appendix A. Federal Register Notice Soliciting Comments on Information Collection
Requests
Appendix B. Surface Water Treatment Rule Spreadsheets
Appendix C. Total Coliform Rule Spreadsheets
Appendix D. Interim Enhanced Surface Water Treatment Rule Spreadsheets
Appendix E. Long Term 1 Enhanced Surface Water Treatment Rule Spreadsheets
Appendix F.

Long Term 2 Enhanced Surface Water Treatment Rule Spreadsheets

Appendix G. Ground Water Rule Spreadsheets
Appendix H. Aircraft Drinking Water Rule Spreadsheets

LIST OF EXHIBITS
Exhibit 1: Structure of OGWDW ICRs ................................................................................... 6
Exhibit 2: PWS Recordkeeping and Reporting Requirements .............................................. 15
Exhibit 3: Primacy Agency Recordkeeping and Reporting Requirements ............................ 22
Exhibit 4: EPA Requirements ................................................................................................ 45
Exhibit 5: Collection Schedule .............................................................................................. 50
Exhibit 6: Annual PWS Burden and Cost, May 1, 2012 – April 30, 2015 ............................ 58
Exhibit 7: Annual Air Carrier Burden and Cost, May 1, 2012 – April 30, 2015................... 58
Exhibit 8: Annual Primacy Agency Burden and Cost, May 1, 2012 – April 30, 2015 ......... 58
Exhibit 9: Bottom Line Annual Burden and Cost, May 1, 2012 – April 30, 2015 ................ 60
Exhibit 10: Summary of Changes in Annual Burden (Includes PWS and Primacy Agency
Burden) ................................................................................................................. 61
Exhibit 11: Restructuring Adjustments to the Annual Burden Inventory for the Microbial
Rules ICR (Includes PWS and Primacy Agency Burden) .................................... 62
Exhibit 12: Adjustments to PWS Burden from Previous ICR Estimates ............................... 63
Exhibit 13: Adjustments to Air Carrier Burden from Previous ICR Estimates ...................... 64
Exhibit 14: Adjustments to Primacy Agency Burden from Previous ICR Estimates ............. 64
Exhibit 15: Adjustments to Annual Burden Carried Forward from Previous ICR
Estimates (Includes PWS and Primacy Agency Burden) ..................................... 65

iii

LIST OF FIGURES
Figure 1:

Structure of OGWDW ICRs

ACRONYMS
ADWR
AMWA
ARCS
ASDWA
AWWA
BLS
CCP
CCR
CDC
CFE
CFR
CPE
CWS
CWSS
DBPR
DWSRF
EPA
ESWTR
ETT
FAA
FBRR
FTE
GWR
GWUDI
HAA5
HPC
ICR
IESWTR
IFA
LCR
LT1ESWTR
LT2ESWTR
MCL
MCLG
M-DBP
NAICS
NAWC
NCWS
NPDWRs
NRDC
NRWA
NTU
O&M
OGWDW
OMB
PN
PRA
PWS
PWSS

Aircraft Drinking Water Rule
Association of Metropolitan Water Agencies
Aircraft Reporting and Compliance System
Association of State Drinking Water Administrators
American Water Works Association
Bureau of Labor Statistics
Composite Correction Program
Consumer Confidence Report
Centers for Disease Control and Prevention
Combined Filter Effluent
Code of Federal Regulations
Comprehensive Performance Evaluation
Community Water System
Community Water Systems Survey
Disinfectants and Disinfection Byproducts Rule
Drinking Water State Revolving Fund
Environmental Protection Agency
Enhanced Surface Water Treatment Rule
Enforcement Targeting Tool
Federal Aviation Administration
Filter Backwash Recycling Rule
Full Time Equivalent
Ground Water Rule
Ground Water Under the Direct Influence of Surface Water
Haloacetic Acids
Heterotrophic Plate Count
Information Collection Request
Interim Enhanced Surface Water Treatment Rule
Individual Filter Assessment
Lead and Copper Rule
Long Term 1 Enhanced Surface Water Treatment Rule
Long Term 2 Enhanced Surface Water Treatment Rule
Maximum Contaminant Level
Maximum Contaminant Level Goal
Microbial Disinfectants and Disinfection Byproducts
North American Industry Classification System
National Association of Water Companies
Noncommunity Water System
National Primary Drinking Water Regulations
Natural Resources Defense Council
National Rural Water Association
Nephelometric Turbidity Unit
Operation and Maintenance
Office of Ground Water and Drinking Water
Office of Management and Budget
Public Notification
Paperwork Reduction Act
Public Water System
Public Water System Supervision
v

RegNeg
RIA
RFA
RTCR
SBARP
SBREFA
SCADA
SDWA
SDWIS
SER
SOC
SWAP
SWTR
TCR
TNCWS
TTHM
UIC
V&Es

Regulation Negotiation
Regulatory Impact Analysis
Regulatory Flexibility Analysis
Revised Total Coliform Rule
Small Business Advocacy Review Panel
Small Business Regulatory Enforcement Fairness Act
Supervisory Control and Data Acquisition
Safe Drinking Water Act
Safe Drinking Water Information System
Small Entity Representative
Standard Occupational Classification
Source Water Assessment Program
Surface Water Treatment Rule
Total Coliform Rule
Transient Noncommunity Water System
Total Trihalomethanes
Underground Injection Control
Variances and Exemptions

Microbial Rules ICR

July 2012

IDENTIFICATION OF THE INFORMATION COLLECTION

1(a)

Title and Number of the Information Collection
Title: Information Collection Request for the Microbial Rules

1(b)

OMB Control Number:

2040-0205

EPA Tracking Number:

1895.07

Short Characterization

The Office of Ground Water and Drinking Water (OGWDW) at the U.S. Environmental
Protection Agency (EPA or the Agency) is responsible for developing National Primary
Drinking Water Regulations (NPDWRs) as mandated by the Safe Drinking Water Act (SDWA).
section 1412 of the SDWA requires EPA to establish NPDWRs for contaminants that may
adversely impact human health. In section 1414, the Act further requires EPA to enforce these
regulations to ensure that the nation’s drinking water dependably complies with the standards
stipulated in the Code of Federal Regulations (CFR), 40 CFR part 141, subpart B.
Section 1445 of the SDWA stipulates that every drinking water supplier must conduct
monitoring, maintain records, and provide such information as is needed for EPA to implement
its monitoring and enforcement responsibilities with respect to the Act. State1 governments—in
those states that have assumed primary enforcement responsibility (primacy) for public water
systems (PWSs) under SDWA section 1413—ensure that PWSs are complying with these
monitoring requirements. As part of the Public Water System Supervision (PWSS) Program, the
OGWDW uses the Safe Drinking Water Information System (SDWIS) to record some of the data
collected as a result of NPDWR requirements. SDWIS is a database management system that
assists EPA in tracking and interpreting violations 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 October
2009 version of EPA’s Guide to Writing Information Collection Requests Under the Paperwork
Reduction Act (PRA) of 1995 (or “ICR Handbook”) prepared by EPA’s Office of Environmental
Information, Office of Information Collection, Collection Strategies Division. The ICR
Handbook provides the most current instructions for ICR preparation to ensure compliance with
the 1995 PRA amendments and the Office of Management and Budget’s (OMB’s) implementing
guidelines.

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.

Microbial Rules ICR

July 2012

This ICR examines PWS, air carrier, 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)
2)
3)
4)
5)
6)
7)
8)

Surface Water Treatment Rule (SWTR)2
Total Coliform Rule (TCR)
Interim Enhanced Surface Water Treatment Rule (IESWTR)
Filter Backwash Recycling Rule (FBRR)
Long Term 1 Enhanced Surface Water Treatment Rule (LT1ESWTR)
Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR)
Ground Water Rule (GWR)
Aircraft Drinking Water Rule (ADWR)3

This ICR estimates burden and costs for May 1, 2012, through April 30, 2015, for the
rules above. It updates the burden and cost estimates provided in the Microbial Rules ICR dated
December 2008, which expires on April 30, 2012. ADWR burden is being incorporated into this
programmatic ICR for the first time. Note that the standalone ADWR ICR is currently scheduled
to expire on February 28, 2013. However, once this Microbial Rules ICR is approved, the
standalone ADWR ICR will be cancelled. 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
12.9 million hours per year. The total annual cost associated with this ICR is estimated to be
approximately $590.5 million. The distribution of annual burden between PWSs, air carriers and
primacy agencies is approximately 10.3 million hours, 0.04 million hours, and 2.6 million hours
respectively. The distribution of annual costs between PWSs, air carriers and primacy agencies
is approximately $467.8 million, $4.0 million and $118.7 million, respectively. There is no EPA
burden or cost for this ICR4. Section 6 and Appendices B through H detail these burden and cost
calculations.
The approximate annual operation and maintenance (O&M) and capital costs are $136.2
million ($115.8 million for O&M and $20.4 million for capital). This represents the “cost
burden” as reported in the OMB inventory. Note that these costs are for PWSs and air carriers
only; primacy agencies do not have capital or O&M costs associated with the Microbial Rules.

This Microbial Rules ICR includes all SWTR components except disinfectant residual monitoring and associated
activities, which are included in the Disinfectants and Disinfection Byproducts, Chemical, and Radionuclides
(DDBP/Chem/Rads) Rules ICR (see section 4(b)(i)).
3

The burden for this rule was previously addressed in standalone ICR OMB #2040-0277. It is being incorporated
into the Microbial Rules ICR for the first time. Note that the ADWR applies only to air carriers that operate aircraft
public water systems. As discussed further in section 4, although aircraft public water systems are technically
PWSs, air carriers rather than PWSs are the respondents for the ADWR.
4

EPA directly implements the Aircraft Drinking Water Rule, but the burden and cost for these activities is
accounted for in the PWSS Program ICR under the 231.9 Regional full time equivalents (FTEs) dedicated to
drinking water protection implementation activities.
2

Microbial Rules ICR

July 2012

The total number of respondents for this ICR is 153,083; 57 of these respondents are
primacy agencies, 47 are air carriers, and the balance are existing PWSs (152,979). The total
annual number of responses for these respondents is 28.9 million (26.7 million for PWSs, 0.136
million for air carriers and 2.1 million for primacy agencies).

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)
2)
3)
4)
5)
6)
7)
8)

Surface Water Treatment Rule
Total Coliform Rule
Interim Enhanced Surface Water Treatment Rule
Filter Backwash Recycling Rule
Long Term 1 Enhanced Surface Water Treatment Rule
Long Term 2 Enhanced Surface Water Treatment Rule
Ground Water Rule
Aircraft Drinking Water Rule

As EPA publishes new regulations, EPA will amend the appropriate ICR to include the
new rules.
For a graphical depiction of the structure of the OGWDW ICRs, see Figure 1. A
complete itemization of the activities included in the three primary ICRs, as well as other
drinking water program ICRs, is included as Exhibit 1.
The information collected under this ICR is required by EPA to carry out its monitoring
and enforcement responsibilities under SDWA.
Section 1412(b) authorizes EPA to establish NPDWRs to protect public health. Further,
§1445 of the SDWA requires that PWSs collect information to assist EPA in determining
compliance:
“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

July 2012

In addition, §1401(1)(d) of the SDWA 1986 Amendments defines NPDWRs to include
“criteria and procedures to assure a supply of drinking water which dependably complies with
such maximum contaminant levels; including accepted methods for quality control and testing
procedures to insure compliance with such levels….” This section authorizes EPA to require
systems and laboratories to use Agency-approved methods and quality assurance criteria for
collecting and analyzing water samples.

Microbial Rules ICR

July 2012

Microbial Rules ICR

July 2012

Exhibit 1: Structure of OGWDW ICRs
Currently covered

To be covered in the future

PWSS Program ICR (2040-0090)
Consumer Confidence Reports (CCRs)
Variances & Exemptions (V&Es)
Capacity Development Program
General State Primacy Activities
Public Notification (PN)
Operator Certification Expense Reimbursement
Grants Program
Tribal Operator Certification
Constructed Conveyances
Proficiency Testing
Microbial Rules ICR (2040-0205)
Surface Water Treatment Rule (SWTR), except
disinfectant residual monitoring and associated
Revised Total Coliform Rule (RTCR)
activities5
Total Coliform Rule (TCR)
Interim Enhanced Surface Water Treatment Rule
(IESWTR)
Filter Backwash Recycling Rule (FBRR)
Long Term 1 Enhanced Surface Water Treatment
Rule (LT1ESWTR)
Long Term 2 Enhanced Surface Water Treatment
Rule (LT2ESWTR)
Ground Water Rule (GWR)
Aircraft Drinking Water Rule (ADWR)
Disinfectants/Disinfection Byproducts, Chemical, and Radionuclides Rules ICR (2040-0204)
Stage 1 Disinfectants and Disinfection Byproducts
Rule (DBPR)
Disinfectant Residual Monitoring and associated
activities under the SWTR
Stage 2 DBPR
Chemical Phase Rules
Radionuclides Rule
Arsenic Rule
Lead and Copper Rule (LCR)
Source Water Assessment Program (SWAP) ICR (2040-0197)
SWAP
Underground Injection Control (UIC) Program ICR (2040-0042)
Underground Injection Control Program (UIC) Base
Program Activities
Class V Rule
Florida Class I Rule

Class VI Geologic Sequestration Rule– Under
current EPA ICR Number 0370.24

Disinfectant residual monitoring and associated activities are included in the DDBP/Chem/Rads Rules ICR.
6

Microbial Rules ICR

Currently covered

July 2012

To be covered in the future

Drinking Water State Revolving Fund (DWSRF) Program ICR (2040-0185)
Drinking Water State Revolving Fund Program
(DWSRF)
Drinking Water Infrastructure Needs Survey ICR (2040-0274)
2011 Needs Survey
Title VI of the Public Health Security and Bioterrorism Preparedness and Response Act of 2002:
Drinking Water Security and Safety ICR (2040-0253)
Vulnerability Assessments and Emergency
Response Plans for community water systems
(CWSs).
Unregulated Contaminant Monitoring Rule ICR (2040-0270)
Monitoring of Unregulated Contaminants
Laboratory Quality Assurance Evaluation Program for Analysis of Cryptosporidium ICR (20400246)
Proficiency Testing Program for Laboratories
Analyzing Cryptosporidium Samples



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.


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.


Interim Enhanced Surface Water Treatment Rule

SDWA was amended in August 1996, resulting in the addition of new sections that
establish new drinking water requirements. SDWA section 1412(b)(2)(C) of the 1996
7

Microbial Rules ICR

July 2012

amendments required EPA to promulgate an Interim Enhanced Surface Water Treatment Rule.
The IESWTR set the first drinking water standards to control Cryptosporidium in large systems.


Filter Backwash Recycling Rule

The 1996 SDWA amendments established new drinking water requirements for filtration.
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.


Long Term 1 Enhanced Surface Water Treatment Rule

SDWA section 1412(b)(2)(C) established a number of regulatory deadlines, including
two stages of the Enhanced Surface Water Treatment Rule (ESWTR). The LT1ESWTR is part
of the first stage of the ESWTR. The LT1ESWTR strengthens the standards previously
established under the SWTR and applies the standards set for Cryptosporidium in the IESWTR
to small systems.


Long Term 2 Enhanced Surface Water Treatment Rule

SDWA section 1412(b)(2)(C) established a number of regulatory deadlines, including
two stages of the ESWTR. The LT2ESWTR is part of the final stage of the ESWTR. The rule
requires further treatment to remove Cryptosporidium based on the amount of Cryptosporidium
present in a system’s source water.


Ground Water Rule

The 1996 SDWA amendments required the Administrator to publish a national drinking
water regulation requiring disinfection of ground water as necessary (§1412(b)(8)). The GWR
sets conditions where disinfection of ground water is considered necessary. The final GWR was
promulgated November 8, 2006.


Aircraft Drinking Water Rule

Section 1411 of the SDWA gives EPA the authority to ensure that aircraft that meet the
definition of a PWS comply with the NPDWRs:
Subject to sections 1415 and 1416, national primary drinking water regulations under
this part shall apply to each public water system in each State; except that such
regulations shall not apply to a public water system
1) which consists only of distribution and storage facilities (and does not have any
collection and treatment facilities);
2) which obtains all of its water from, but is not owned or operated by a public
water system to which such regulations apply;
3) which does not sell water to any person; and
4) which is not a carrier which conveys passengers in interstate commerce.
8

Microbial Rules ICR

July 2012

Aircraft PWSs are considered transient non-community water systems (TNCWSs); such
systems regularly serve an average of at least 25 individuals daily at least 60 days per year. As
with other PWSs, water used for human consumption onboard an aircraft must meet the
requirements of the SDWA. EPA promulgated the ADWR to tailor existing health-based
drinking water standards to the unique characteristics of aircraft.
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, air carriers and primacy agencies, which include state regulators, Indian Tribes, and,
in some instances, EPA Regional Administrators. Other users include the following:


















Staff from other EPA programs (such as Superfund, the Resource Conservation
and Recovery Act, and the Office of Enforcement and Compliance Assurance)
Federal Emergency Management Agency
Centers for Disease Control and Prevention (CDC)
Military bases
Farmers Home Administration
Department of Interior
Department of Housing and Urban Development
U.S. Army Corps of Engineers
White House Task Forces
American Water Works Association (AWWA)
Association of Metropolitan Water Agencies (AMWA)
National Rural Water Association (NRWA)
National Association of Water Companies (NAWC)
Association of State Drinking Water Administrators (ASDWA)
Natural Resources Defense Council (NRDC)
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 and compliance violations, as well as enforcement
activities. The primacy agency can also track schedules for PWSs trying to achieve compliance.
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 communicate information on
drinking water program implementation.

Microbial Rules ICR

July 2012

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) during the development of each rule discussed in this document. To the best of
EPA's knowledge, data currently required by the SDWA (and its implementing regulations
codified at 40 CFR parts 141 and 142) are not available from any other source.
3(b)

Public Notice Required Prior to ICR Submission to OMB

To comply with the 1995 Amendments to the PRA, EPA solicited public comment on
this ICR for a 60-day period before it was submitted to OMB. Specifically, EPA published a
notice in the Federal Register requesting comment on the estimated respondent burden and other
aspects of this ICR (Appendix A). EPA did not receive any comments during the 60-day
comment period.
3(c)

Consultations

Throughout the development and implementation of various microbial regulations,
OGWDW has held numerous meetings with interested stakeholders, including state and EPA
Regional personnel and PWS representatives, to identify the value and ease of collecting
information needed to fulfill SDWA obligations. As a standard regulatory development practice
to promote public involvement, EPA formally solicits public comment on proposed drinking
water rules. Before any rule is finalized, EPA logs and evaluates all written comments on
proposed rules. Additionally, EPA usually holds public meetings during which any interested
party may provide oral testimony for Agency consideration. Such meetings are typically
announced in the Federal Register notice accompanying the proposed rule.
In the initial phases of program development, or to confirm assumptions on which rules
or guidelines are based, EPA often augments formal meetings with other workshops or meetings
to gather information. The following are specific examples of meetings and other consultations
held by EPA to address the regulations contained in this ICR.






In 1985, EPA held a workshop to discuss options for regulating microbial
contaminants.
In 1985, the Federal Register presented a discussion on the need for mandatory
filtration and disinfection of surface water. This Federal Register notice also
requested public comment on the subject.
A Federal Register 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 Federal Register to request public comment
10

Microbial Rules ICR












July 2012

(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 1992, EPA instituted a formal regulation negotiation (RegNeg) process to
discuss proposed amendments to the SDWA with potentially affected parties (57
FR 53866; Nov. 13, 1992). This RegNeg Committee included representatives
from water utilities and other industries, state public health and regulatory
agencies, environmental groups, consumer groups, and EPA. The RegNeg
Committee agreed that EPA should propose three rules: Information Collection
Rule (finalized in 1996), a staged Enhanced Surface Water Treatment Rule, and a
staged Disinfectants and Disinfection Byproducts Rule.
A microbial contaminants and disinfection byproducts advisory committee,
formed under the authority of the Federal Advisory Committees Act, convened in
1997 to review the data and assumptions used to support the 1994 proposed
changes to the SWTR and data that had subsequently been collected. In July
1997, participants signed an agreement in principle, outlining the Committee’s
recommendations to EPA on the major components of the IESWTR and Stage 1
DBPR.
Between March and December 1997, the Small System Data Needs Working
Group held six meetings to discuss availability of water quality and financial data
for small systems.
Twenty-four small entity representatives (SERs) were invited to participate in a
teleconference to discuss the FBRR and LT1ESWTR on April 28, 1998. Of the
24 invited SERs, 15 participated in the teleconference.
On August 21, 1998, a Small Business Advocacy Review Panel (SBARP) met to
discuss the proposed FBRR and LT1ESWTR. Two additional meetings of the
SBARP were held between August 21 and October 19, 1998.
In September 1998, the SBARP distributed information on regulatory approaches
and costs to the SERs for review and comment.
The SBARP and SERs participated in a joint teleconference on September 25,
1998.
A Stage 2 Microbial Disinfectants and Disinfection Byproducts (M-DBP)
Advisory Committee was formed under the authority of the Federal Advisory
Committees Act. The committee represented a broad cross section of
organizations and convened 14 times between March 1999 and February 2000.
EPA held 3 meetings with representatives of small entities and one meeting with
tribal representatives to discuss LT2ESWTR.
In December 1997, EPA held a preliminary meeting on the GWR. After the
initial meeting, five meetings were held throughout the country. Early
involvement meetings were also held with state regulators. EPA also received
input from small system operators.
EPA consulted with stakeholders during development of the proposed ADWR
using a facilitated, collaborative process. Stakeholders included representatives
from air carriers, airline associations, flight attendant associations, public interest
groups, and others. EPA held a public meeting on the subject on June 1, 2005.
Stakeholder consultations were implemented during several one-on-one meetings

Microbial Rules ICR

July 2012

with Agency personnel and during 2-day collaborative workshops held in January
2006 and March 2007.
As part of the revision of the Microbial Rules ICR, in December 2011 EPA consulted
with representatives of PWSs and states regarding the accuracy of EPA’s burden estimates. The
groups consulted were NAWC, NRWA, AWWA, AMWA, and ASDWA. These groups’
comments were incorporated into this ICR to the extent possible. The end of each appendix to
the ICR contains a table summarizing EPA’s previous and revised burden estimates for the
relevant rule.
Since the regulations covered by this ICR are not new, the typical consultations,
workshops, and meetings held for proposed rules were not held immediately prior to the
development of this document.
3(d)

Effects of Less Frequent Collection

EPA has considered a wide range of alternatives for frequency of data collection. Where
possible, EPA has chosen to require the least frequent collection that remains consistent with
overall public health protection objectives. If data are collected less frequently, the primacy
agency may not identify in a timely fashion significant contaminant concentrations which might
threaten the health and safety of drinking water consumers.
For some microbial contaminant regulations, the primacy agency has discretion in
adjusting the monitoring schedules. Monitoring schedules vary based on the number of people
served by a system, contaminants likely to be found, and source of raw water supply. The
monitoring frequency design also considers that the number of people served affects exposure to
contaminants, as well as the resources available to undertake monitoring activity. Monitoring
frequencies have been carefully devised based on the following factors:







3(e)

Data quality needed for a representative sample.
Precision and accuracy needed from the representative sample.
Number of people served by the system.
Source of the supply (e.g., surface water or ground water).
Contaminants likely to be found.
Historical variability in contaminant occurrence.

General Guidelines

This ICR was prepared in accordance with the October 2009 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.
12

Microbial Rules ICR

3(g)

July 2012

Sensitive Questions
No information of a sensitive nature will be collected as a result of this ICR.

Microbial Rules ICR

RESPONDENTS AND INFORMATION REQUESTED

4(a)

Respondents/NAICS Codes

July 2012

Data associated with this ICR are collected and maintained at the PWS, air carrier, state
and federal levels. Respondents include:





Owners/operators of PWSs, who must report to the primacy agency.
All commercial air carriers that fly routes between two or more locations within
the United States and whose aircraft meet the definition of a PWS. Air carriers
report to EPA.6
Primacy agencies, which must report to EPA.

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. The NAICS codes for air carriers are 481111 and 481211, the
codes for scheduled and unscheduled air transportation industries, respectively.
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.

Note that technically aircraft are PWSs if they serve 25 or more people at least 60 days each year. However,
aircraft water systems are not included in the inventory of PWSs contained in SDWIS. Additionally, the ADWR
applies only to air carriers that own and operate aircraft water systems. Because many air carriers own or operate
more than one aircraft, there is not a one-to-one correspondence between aircraft water systems and respondents.
For these reasons, for the ADWR standalone ICR, EPA did not group aircraft water systems with PWS respondents
(NAICS code 22131). Instead, EPA determined that air carriers were the appropriate respondents. EPA has decided
to carry that designation forward as it incorporates the ADWR ICR into the Microbial Rules ICR.

Microbial Rules ICR

July 2012

Exhibit 2: PWS Recordkeeping and Reporting Requirements
Requirement
Regulatory Citation
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.
Failure to comply with any NPDWR.

40 CFR 141.31(a)
40 CFR 141.31(b) and
(c)

Frequency/Retention

At the end of the required
monitoring period
As necessary, unless state lab
performs analysis and reports
results to state
As requested by the state

Copies of records required to be
40 CFR 141.31(e)
maintained under section 141.33 and/or
copies of documents that the state is
entitled to under section 1445 of SDWA or
state law.
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
40 CFR 141.33(a)
5 years for bacteriological data;
analyses and related information.
10 years for chemical data
Records of actions taken by the PWS to
40 CFR 141.33(b)
3 years after last action taken
correct violations of NPDWRs.
related to the violation
Copies of any written reports, summaries
40 CFR 141.33(c)
10 years
or communications relating to sanitary
surveys.
Records concerning a variance or
40 CFR 141.33(d)
5 years following the expiration of
exemption granted.
the variance or exemption
SWTR (all requirements except those regarding disinfection residual monitoring)
Unfiltered Systems – Reporting
Report source water quality information to
40 CFR 141.75(a)(1)(i) Monthly
the state for each month the system serves through (ix)
water to the public.
Report to the state a summary of PWS
40 CFR 141.75(a)(3)
Annually
compliance with all watershed control
program requirements.
Report to the state on the on-site
40 CFR 141.75(a)(4)
Annually
inspection conducted during that year.
Any waterborne disease outbreak
40 CFR 141.75(a)(5)(i) As necessary, as soon as
potentially attributable to that water system
possible but not later than end of
must be reported to the state.
the next business day.
Any time turbidity exceeds 5 nephelometric 40 CFR 141.75(a)(5)(ii) As necessary, as soon as
turbidity units (NTU) the PWS must inform
practical but no later than 24
the state.
hours after learning of the
exceedance.
Filtered Systems – Reporting
Report to the state turbidity measurements 40 CFR 141.75(b)(1)(i) Monthly
and associated information for each month through (iii)
the system serves water to the public.
15

Microbial Rules ICR

July 2012

Requirement
Any time turbidity exceeds 5 NTU the PWS
must inform the state.

Regulatory Citation
40 CFR 141.75(b)(3)(ii)

Any waterborne disease outbreak
potentially attributable to that water system
must be reported to the state.
TCR
Reporting
Prepare written sample siting plan for state
review.
Notify the state if fecal coliforms or E. coli
are present.

40 CFR 141.75(b)(3)(i)

Frequency/Retention
As necessary, as soon as
practical but no later than 24
hours after learning of the
exceedance.
As necessary, as soon as
possible but not later than end of
the next business day.

40 CFR 141.21(a)(1)

As necessary

40 CFR 141.21(e)(1)

As necessary, by end of the day
in which system receives results,
or if state office is closed, by end
of next business day.
As necessary, by end of next
business day.

Report to the state any exceedance of the
40 CFR 141.21(g)(1)
maximum contaminant level (MCL) for total
coliforms.
Report to the state any failure to comply
40 CFR 141.21(g)(2)
with coliform monitoring requirements.
Recordkeeping
Subject to general requirements as listed above.
IESWTR
Reporting
A PWS using alternative filtration
40 CFR 141.173(b)
technologies must demonstrate to the state
that the system achieves required
removal/inactivation.
A PWS must report combined filter effluent 40 CFR 141.175(a)(1)
(CFE) turbidity levels for each month that
through (3)
the system serves water to the public.
A PWS must report that it has conducted
40 CFR 141.175(b)
individual filter turbidity monitoring for each
month that the system serves water to the
public.
If certain measurement thresholds are
40 CFR 141.175(b)(1)
exceeded, a PWS must report individual
through (4)
filter turbidity measurements for each
month that the system serves water to the
public.
Following certain exceedances, a PWS
40 CFR 141.175(b)(1)
must report to the state the reason for the
and (2)
exceedance or that it has produced a filter
profile.
Following certain exceedances, a PWS
40 CFR 141.175(b)(3)
must report to the state that it has
conducted a filter self-assessment.
Following certain exceedances, a PWS
40 CFR 141.175(b)(4)
must submit to the state a comprehensive
performance evaluation (CPE).
If certain CFE measurement thresholds are 40 CFR 141.175(c)(1)
exceeded, systems must inform the state.
and (2)

As necessary, within 10 days
after discovering the violation.

As necessary

Monthly

As necessary

As necessary, as soon as
possible but no later than the end
of the next business day.

Microbial Rules ICR

Requirement
A PWS must submit information to the
state as part of the required consultation
process when making significant changes
to disinfection practices.
Recordkeeping
Systems must maintain the results of
individual filter turbidity monitoring.
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.
FBRR
Recordkeeping
Collect and retain on file the following
recycle flow information for review and
evaluation by the state: 1) Copy of the
recycle notification and information
previously submitted to the state; 2) List of
all recycle flows and the frequency with
which they are returned; 3) Average and
maximum backwash flow rate through the
filters and the average and maximum
duration of the filter backwash process in
minutes; 4) Typical filter run length and a
written summary of how filter run length is
determined; 5) The type of treatment
provided for the recycle flow; and 6) Data
on the physical dimensions of the
equalization and/or treatment units, typical
and maximum hydraulic loading rates, type
of treatment chemicals used and average
dose and frequency of use, and frequency
at which solids are removed, if applicable.
LT1ESWTR
Reporting
A PWS using alternative filtration
technologies must demonstrate to the state
that the system achieves required
removal/inactivation.
A PWS must report combined filter effluent
turbidity levels for each month that the
system serves water to the public.
A PWS must report that it has conducted
individual filter turbidity monitoring for each
month that the system serves water to the
public.
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.
Following certain exceedances, a PWS
must report to the state the reason for the

July 2012

Regulatory Citation
40 CFR 141.172(c)(4)

Frequency/Retention
As necessary

40 CFR 141.175(b)

3 years

40 CFR 141.172(b)(6)

As necessary

40 CFR 141.76(d)(1)
through (6), 141.33

10 years

40 CFR 141.552(a)

As necessary

40 CFR 141.570(a),
141.551

Monthly

40 CFR 141.570(b)(1),
141.560(d)

Monthly

40 CFR 141.570(b)(2),
141.560(d), 141.563(a)

As necessary

40 CFR 141.570(b)(2),
141.563(a)

As necessary

Microbial Rules ICR

July 2012

Requirement
exceedance.
Following certain exceedances, a PWS
must report to the state that it has
conducted a filter self-assessment.
Following certain exceedances, a PWS
must report to the state that a
comprehensive performance evaluation
(CPE) was triggered.
Following certain exceedances, a PWS
must submit to the state a CPE.

Regulatory Citation

Frequency/Retention

40 CFR 141.570(b)(3)

As necessary

40 CFR 141.570(b)(4)

As necessary

40 CFR 141.570(b)(5)
and 141.563(c)

As necessary within 120 days
after the CPE was triggered

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.
Recordkeeping
Records of individual filter turbidity
monitoring measurements.
Records of disinfection profiles (including
raw data and analysis).
Records of disinfection benchmarking
(including raw data and analysis).
LT2ESWTR
Reporting
Results of E. coli and Cryptosporidium
(and turbidity, if applicable) source water
monitoring.
Bin classification (or mean Cryptosporidium
level for unfiltered systems).
Use of uncovered finished water reservoirs
and a schedule for covering or disinfecting
them.
Systems installing technology must
demonstrate compliance with technology
based criteria.
Systems changing disinfection practices
must develop a disinfection profile and
benchmark for Giardia and viruses.
Sampling schedule.

40 CFR 141.570(d),
141.542

As necessary

40 CFR 141.571(a),
141.560(e)
40 CFR 141.571(b),
141.536
40 CFR 141.571(c)

At least 3 years

Recordkeeping
Records of sample results for
Cryptosporidium, E. coli and turbidity.
Systems changing technologies must
complete a disinfection profile for Giardia
and viruses.
Results of treatment monitoring associated
with microbial toolbox and with uncovered
finished water reservoirs.

Indefinitely
Indefinitely

40 CFR 141.706(a)

Monthly while monitoring is
required

40 CFR 141.710(e)(1)(e)(2), 141.712
40 CFR 141.714(b)

6 months after source water
monitoring is complete
One time, by April 1, 2008.

40 CFR 141.715

Varies

40 CFR 141.708141.709

As necessary

40 CFR 141.702

Once prior to initial monitoring
and once during second round of
monitoring

40 CFR 141.706

At least 3 years

40 CFR 141.708

At least 3 years

40 CFR 141.722

At least 3 years

Microbial Rules ICR

Requirement
Notification that systems will not conduct
source water monitoring due to having 5log treatment in place.
GWR
Reporting
A PWS conducting compliance monitoring
must notify the state any time the system
fails to meet any state-specified
requirements including, but not limited to,
minimum residual disinfectant
concentration, membrane operating criteria
or membrane integrity, and alternative
treatment operating criteria, if operation in
accordance with the criteria or
requirements is not restored within 4 hours.
After completing any corrective action, a
PWS must notify the state of completion of
the corrective action.
If a PWS with a positive TCR sample does
not conduct source water monitoring, the
system must provide documentation to the
state that it met the state criteria for
avoiding monitoring.
Recordkeeping
Records of corrective actions.
Reports of public notification.
Documentation of records of decisions and
records of invalidation of fecal indicatorpositive ground water source samples.
For consecutive systems, documentation of
notification to the wholesale system(s) of
total-coliform positive samples that are not
invalidated.
Records of the state-specified minimum
disinfectant residual.
Records of the lowest daily residual
disinfectant concentration and records of
the date and duration of any failure to
maintain the state-prescribed minimum
residual disinfectant concentration for a
period of more than 4 hours.
Records of state-specified compliance
requirements of membrane filtration and of
parameters specified by the state for stateapproved alternative treatment and records
of the date and duration of any failure to
meet the membrane operating, membrane
integrity, or alternative treatment operating
requirements for more than 4 hours.

July 2012

Regulatory Citation
40 CFR 141.722

Frequency/Retention
At least 3 years

40 CFR 141.405(a)

As soon as possible but no later
than the close of the next
business day.

40 CFR 141.405(a)

Within 30 days.

40 CFR 141.405(a)

Within 30 days

40 CFR 141.405(b)
40 CFR 141.405(b)
40 CFR 141.405(b)

At least 10 years
At least 3 years
At least 5 years

40 CFR 141.405(b)

At least 5 years

40 CFR 141.405(b)

At least 10 years

40 CFR 141.405(b)

At least 5 years

40 CFR 141.405(b)

At least 5 years

Microbial Rules ICR

Requirement
ADWR7
Reporting
Development of a sampling plan.

July 2012

Regulatory Citation

Frequency/Retention

40 CFR 141.806(a)(1)

One time, by April 19, 2011 (or
for new aircraft, during the first
quarter of operation).
One time, by April 19, 2011 (or
for new aircraft, during the first
quarter of operation).
One time, by April 19, 2011 (or
for new aircraft, during the first
quarter of operation).
One time, by April 19, 2011 (or
for new aircraft, during the first
quarter of operation).
One time, by April 19, 2011
10 days after the calendar month
in which the changes occurred.
According to the frequency
established in the sampling plan,
within 10 days after the sampling
period ends.
According to the frequency
established in the operations and
maintenance plan, within 10 days
of the end of the disinfection and
flushing period.
Within 10 days of the event.

The coliform sampling frequency listed in
the sampling plan.

40 CFR 141.806(a)(1)

Development of an operations and
maintenance plan.

40 CFR 141.806(a)(1)

Frequency for routine disinfection and
flushing, cited in the operations and
maintenance plan.
Inventory information for each aircraft.
Changes in aircraft inventory.

40 CFR 141.806(a)(1)

40 CFR 141.806(b)(1)
40 CFR 141.806(b)(2)

Coliform sampling results.

40 CFR 141.806(b)(3)

Routine disinfection and flushing events.

40 CFR 141.806(b)(3)

All events requiring notification to
passengers or crew, or non-routine
disinfection and flushing, or non-routine
sampling.
Failure to comply with the monitoring or
disinfection and flushing requirements.
Changes in disinfection and flushing and
coliform sampling frequencies.

40 CFR 141.806(b)(4)

Evidence of a self-inspection.

40 CFR 141.806(c)

Whether a deficiency detected during a
self-inspection or compliance audit has
been corrected, and a schedule if it has
not.
Recordkeeping
Records of bacteriological analyses.
Records of any disinfection and flushing.
Records of self-inspections.
Sampling plans, such plans must be
available for review by the Administrator
upon request, including during compliance
audits.

40 CFR 141.806(c)

40 CFR 141.806(b)(5)
40 CFR 141.806(b)(6)

40 CFR 141.807(a)
40 CFR 141.807(b)
40 CFR 141.807(c)
40 CFR 141.807(d)

Within 10 calendar days of
discovery of the failure.
No later than 10 days following
the calendar month in which the
change occurred.
Within 90 days of completion of
the inspection.
Within 90 days of the detection of
the deficiency.

At least 5 years
At least 5 years
At least 10 years
None specified; must be
maintained and available for
review by EPA.

Respondents for ADWR are determined differently than respondents for other rules in the ICR. See previous
footnote.

Microbial Rules ICR

July 2012

Requirement
Aircraft water system operations and
maintenance plans.

Regulatory Citation
40 CFR 141.807(e)

Copies of public notices issued to
passengers and crew.

40 CFR 141.807(f)

Frequency/Retention
None specified, must be
maintained in accordance with
Federal Aviation Administration
(FAA) requirements and made
available for review by EPA.
At least 3 years

Microbial Rules ICR

July 2012

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
40 CFR 142.15(a)(1) and
Quarterly
containing new violations by PWS and
(2)
new enforcement actions by states that
occurred during the previous quarter.
Recordkeeping
Maintain records of tests, measurements,
40 CFR 142.14(a)
Varies (not less than one year)
analyses, decisions, and determinations
performed on each PWS to determine
compliance with applicable provisions of
state primary drinking water regulations.
Retain files, which shall include for each
40 CFR 142.14(d)(2) and
12 years
PWS in the state reports of sanitary
(3)
surveys, records of any state approvals,
and records of any enforcement actions.
SWTR (all requirements except those regarding disinfection residual monitoring)
Reporting
A list identifying the name, PWS
40 CFR 142.15(c)(1)(i)(A)
As necessary
identification number and date of the
determination for each PWS that the state
has determined is not required to provide
filtration treatment.
A list identifying the name and PWS
40 CFR 142.15(c)(1)(i)(B)
As necessary
identification number of each PWS that
the state has determined has no means of
having a sample transported and
analyzed for heterotrophic plate count
(HPC) by a certified laboratory under the
requisite time and temperature conditions
and is providing adequate disinfection in
the distribution system.
Notification of any determination that a
40 CFR 142.15(c)(1)(ii)
As necessary within 60 days of
PWS is not required to provide filtration
the end of the calendar quarter.
treatment.
Recordkeeping
Records of microbiological analyses.
40 CFR 142.14(a)(1)
1 year
Records of microbiological analyses of
40 CFR 142.14(a)(2)
1 year
repeat or special samples.
Records of turbidity measurements.
40 CFR 142.14(a)(3)
1 year
Records of decisions made on a system40 CFR 142.14(a)(4)(ii)
Varies
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.

Microbial Rules ICR

Requirement
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.
Records of any decision that a violation of
the total coliform MCL was not caused by
a deficiency in treatment of the source
water.
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.
Records of any decision that a public
water system’s watershed control program
meets the requirements of 141.71(b)(2).
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.
Records of any decision that a party other
than the state is approved by the state to
conduct on-site inspections.
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.
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.
Records of any decision that automatic
shut-off of delivery of water to the
distribution system of an unfiltered PWS
would cause an unreasonable risk to
health or interfere with fire protection.

July 2012

Regulatory Citation
40 CFR
142.14(a)(4)(ii)(A)(1)
through (5),(7),(8)

Minimum Frequency/
Retention Period
40 years or until 1 year after the
decision is reversed or revised.

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

One year after the decision is
made.

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

One year after the decision is
made.

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

Until the next decision is
available and filed.

40 CFR
142.14(a)(4)(ii)(C)(4)

Until the qualification is
withdrawn.

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

Until the decision is withdrawn.

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

Until filtration treatment is
installed.

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

Until filtration treatment is
installed.

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

Until rescinded.

Microbial Rules ICR

Requirement
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.
Records of any decision that a system
using a ground water source is under the
direct influence of surface water.
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.
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.
Special Primacy Requirements
An application for approval of a state
program revision that adopts 40 CFR part
141, subpart H Filtration and Disinfection.
TCR
Reporting
Reports to the Administrator containing a
list of PWSs that the state is allowing to
monitor less frequently than once per
month for CWSs or less frequently than
once per quarter for Noncommunity Water
Systems (NCWSs).
Recordkeeping
Records of microbiological analyses.
Records of microbiological analyses of
repeat or special samples.
Records of any decision to waive the 24hour time limit for collecting repeat
samples after a total coliform-positive
routine sample.
Records of any decision to allow a system
to waive the requirement for five routine
samples the month following a total
coliform-positive sample.
Records of any decision to invalidate a
total coliform-positive sample.

July 2012

Regulatory Citation
40 CFR
142.14(a)(4)(ii)(C)(11)

Minimum Frequency/
Retention Period
Until the decision is reversed or
revised.

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

40 years

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

40 years or until withdrawn,
whichever is earlier.

40 CFR 142.14(a)(6)

12 years

40 CFR 142.16(b)

One time

40 CFR 142.15(c)(2)

One time; update as needed.

40 CFR 142.14(a)(1)
40 CFR 142.14(a)(2)

1 year
1 year

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

5 years

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

5 years

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

5 years

Microbial Rules ICR

Requirement
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
decision must be provided to the system.
Records of any decision to reduce the
total coliform monitoring frequency for
certain NCWSs to less than once per
quarter. A copy of the reduced frequency
decision must be provided to the system.
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.
Records of any decision to waive the 24hour 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.
Records of any decision that certain
NCWSs may reduce the frequency of their
sanitary survey to less than once every
five years, along with a record of the
reduced frequency. A copy of the
reduced frequency decision must be
provided to the system.
A list of agents other than the state, if any,
approved by the state to conduct sanitary
surveys.
Records of any decision to allow a PWS
to forgo fecal coliform or E. coli testing on
a total coliform-positive sample if that
system assumes that the total coliformpositive sample is fecal coliform-positive
or E. coli-positive.
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.
Recordkeeping
Records of turbidity measurements.
Records of decisions made on a systemby-system and case-by-case basis under
provisions of part 141, subpart H, subpart
P, or subpart T.

July 2012

Regulatory Citation
40 CFR 142.14(a)(5)(ii)(A)

Minimum Frequency/
Retention Period
Retain in such a manner that a
system’s current status may be
determined.

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

Retain in such a manner that a
system’s current status may be
determined.

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

Retain in such a manner that a
system’s current status may be
determined.

40 CFR 142.14(a)(5)(ii)(D)

Retain in such a manner that a
system’s current status may be
determined.

40 CFR 142.14(a)(5)(ii)(E)

Retain in such a manner that a
system’s current status may be
determined.

40 CFR 142.14(a)(5)(ii)(F)

Retain in such a manner that a
system’s current status may be
determined.
Retain in such a manner that a
system’s current status may be
determined.

40 CFR 142.14(a)(5)(ii)(G)

40 CFR 142.15(c)(5)

Annually

40 CFR 142.14(a)(3)
40 CFR 142.14(a)(4)(ii)

1 year
As necessary

Microbial Rules ICR

Requirement

July 2012

Regulatory Citation

Records of systems consulting with the
40 CFR 142.14(a)(7)(i)
state concerning a significant modification
to their disinfection practice (including the
status of the consultation).
Records of decisions that a system using
40 CFR 142.14(a)(7)(ii)
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.
Records of systems required to conduct a 40 CFR 142.14(a)(7)(iii)
filter self-assessment, CPE or composite
correction program (CCP).
FBRR
Reporting
Subject to general requirements as listed above.
Recordkeeping
Records of any decisions made to
40 CFR
approve alternate recycle locations.
142.14(a)(4)(ii)(A)(9)
LT1ESWTR
Reporting
Subject to general requirements as listed above.
Recordkeeping
Records of turbidity measurements.
40 CFR 142.14(a)(3)
Records of decisions made on a system40 CFR 142.14(a)(4)(ii)
by-system and case-by-case basis under
provisions of part 141, subpart H, subpart
P, or subpart T.
Records of systems consulting with the
40 CFR 142.14(a)(7)(i)
state concerning a significant modification
to their disinfection practice (including the
status of the consultation).
Records of decisions that a system using
40 CFR 142.14(a)(7)(ii)
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.
Records of those systems required to
40 CFR 142.14(a)(7)(iii)
conduct a filter self-assessment, CPE or
CCP.
LT2ESWTR
Reporting
The bin classification after the initial and
40 CFR 142.15(c)(6)
after the second round of source water
monitoring for each filtered system.
Any change in treatment requirements for 40 CFR 142.15(c)(6)
these systems due to watershed
assessments during sanitary surveys.

Minimum Frequency/
Retention Period
As necessary

As necessary, kept until decision
is reversed or revised.

As necessary

40 years or until 1 year after
decision is reversed or revised.

Not less than one year.
As necessary

As necessary

After each round of monitoring.

Microbial Rules ICR

Requirement
The determination of whether the mean
Cryptosporidium level is greater than 0.01
oocysts/L both after the initial and after
the second round of source water
monitoring for each unfiltered system.
Recordkeeping
Results of Cryptosporidium and E. coli
source water monitoring.
Bin classification after the first and second
round of monitoring.
Any change in treatment requirements for
filtered systems due to watershed
assessment during sanitary surveys.
The determination of whether the mean
Cryptosporidium level is greater than 0.01
oocysts/L after the initial and after the
second round of source water monitoring
for each unfiltered system.
The treatment processes or control
measures that systems use to meet their
Cryptosporidium treatment requirements.
A list of systems required to cover or treat
the effluent of an uncovered finished
water storage facility.
GWR
Reporting
The month and year in which the most
recent sanitary survey was completed. or,
for a state that used a phased review
process, the date the last element of the
applicable eight elements was evaluated
for each ground water system.
The date the system completed the
corrective action.
All ground water systems providing at
least 4-log treatment of viruses (using
inactivation, removal, or a state-approved
combination of 4-log virus inactivation and
removal) before or at the first customer for
any ground water source(s).
Recordkeeping
Records of written notices of significant
deficiencies.
Records of corrective action plans,
schedule approvals, and state-specified
interim measures.
Records of confirmations that a significant
deficiency has been corrected or the fecal
contamination in the ground water source
has been addressed.
Records of state determinations and
records of ground water systems’
documentation for not conducting

July 2012

Regulatory Citation
40 CFR 142.15(c)(6)

Minimum Frequency/
Retention Period
As necessary

40 CFR 142.14(a)(9)

As necessary

40 CFR 142.14(a)(9)

As necessary

40 CFR 142.14(a)(9)

As necessary

40 CFR 142.14(a)(9)

As necessary

40 CFR 142.14(a)(9)

As necessary

40 CFR 142.14(a)(9)

As necessary

40 CFR 142.15(c)(7)

As necessary

40 CFR 142.15(c)(7)

As necessary

40 CFR 142.15(c)(7)

As necessary

40 CFR 142.14(d)(17)

At least 12 years

40 CFR 142.14(d)(17)

At least 12 years

40 CFR 142.14(d)(17)

At least 12 years

40 CFR 142.14(d)(17)

At least 12 years

Microbial Rules ICR

Requirement

July 2012

Regulatory Citation

triggered source water monitoring.
Records of invalidations of fecal indicator- 40 CFR 142.14(d)(17)
positive ground water source samples.
Records of state approvals of source
40 CFR 142.14(d)(17)
water monitoring plans.
Records of notices of the minimum
40 CFR 142.14(d)(17)
residual disinfections concentration (when
using chemical disinfection) needed to
achieve at least 4-log virus inactivation
before or at the first customer.
Records of notices of the state-specified
40 CFR 142.14(d)(17)
monitoring and compliance requirements
(when using membrane filtration or
alternative treatment) needed to achieve
at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved
combination of 4-log inactivation and
removal) before or at the first customer.
Records of written notices from the
40 CFR 142.14(d)(17)
ground water system that it provides at
least 4-log treatment of viruses (using
inactivation, removal, or a state-approved
combination of 4-log virus inactivation and
removal) before or at the first customer for
each ground water source.
Records of written determinations that the 40 CFR 142.14(d)(17)
ground water system may discontinue 4log treatment of viruses (using
inactivation, removal, or a state-approved
combination of 4-log inactivation and
removal).
ADWR
States do not have information collection requirements for the ADWR.

Minimum Frequency/
Retention Period
At least 12 years
At least 12 years
At least 12 years

At least 12 years

4(b)(i) Data Items
Surface Water Treatment Rule8

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

Source water coliform data for unfiltered systems.
Combined filter effluent turbidity data for filtered systems.

Includes all rule components except disinfectant residual monitoring and associated activities, which are included
in the DDBP/Chem/Rads Rules ICR (see footnote 2 for more information). All remaining SWTR requirements are
included in this Microbial Rules ICR.

Microbial Rules ICR







July 2012

Source water turbidity for unfiltered systems.
Residual disinfectant concentrations for filtered and unfiltered systems. (This
requirement is addressed under the DDBP/Chem/Rads ICR).
Annual summaries of watershed control programs for unfiltered systems.
Annual reports summarizing the results of on-site inspections for unfiltered
systems.
A report to the primacy agency within 48 hours following attribution of any
waterborne disease outbreak in filtered and unfiltered systems.

In addition, primacy agencies must submit special reports as specified in §142.15(c)(1).
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.
Total Coliform Rule

The TCR requires PWSs to collect and report presence or absence of coliform bacteria
(as total coliform) in the distribution system and data on the presence or absence of E. coli or
fecal coliform. Primacy agencies must maintain results of sanitary surveys conducted under
TCR.
In addition, primacy agencies must submit special reports as specified in §142.15(c) and
must maintain records as specified in §142.14(a)(5). These reports include lists of PWSs that
have received permission for reduced monitoring or monitoring waivers and the effective dates
of these waivers.
3)

Interim Enhanced Surface Water Treatment Rule

EPA must balance the health risks from microbial organisms (such as Giardia lamblia
and Cryptosporidium) against risks from compounds formed during water disinfection. The
IESWTR and Stage 1 Disinfectants and Disinfection Byproducts Rule (DBPR), which were
promulgated concurrently, address complex and interrelated drinking water issues. The
IESWTR requires individual filter monitoring and modifies the allowable turbidity levels
specified in the SWTR.
Under the IESWTR, PWSs must report the following:






Microbial Rules ICR





July 2012

If a comprehensive performance evaluation (CPE) is required, the system must
report that the CPE is required and the date that it was triggered.
If a CPE is required, the system must submit a copy of the completed CPE report.
When those systems that are required to develop a disinfection profile plan a
significant change in disinfection practice, they must submit the profile, along
with an analysis of how the proposed change will affect the current disinfection
benchmark to the state for review.

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 part 141, subpart H or subpart P or subpart T.
Records of those systems required to perform filter self-assessments, CPEs or
composite correction programs (CCPs).

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

Subpart H systems9 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.
Filter Backwash Recycling Rule

Under the FBRR, PWSs should already have reported the following, but they must keep
records of the reported information on file:





Recycle notification, which includes plant schematic, recycle flow and plant
flow.
List of all recycle flows and the frequency with which they are returned.
Average and maximum backwash flow rates through the filters.
Average and maximum duration of the filter backwash process.

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).

Microbial Rules ICR







July 2012

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.

Long Term 1 Enhanced Surface Water Treatment Rule

Under LT1ESWTR, PWSs must report the following:













The total number of CFE turbidity measurements that exceeded their 95th
percentile turbidity limit and the number of measurements that exceed their
maximum turbidity limit.
That they have conducted individual filter turbidity monitoring, including the
dates, filter number, and turbidities of any measurements that exceeded 1.0 NTU.
If a system exceeds 1.0 NTU in two consecutive measurements the system must
include the filter number, date, time, and reason for the exceedance at the end of
the month.
Reports of exceptions to turbidity performance for individual filters.
If a self-assessment is required, the system must report the date that it was
triggered and the date that it was completed.
If a CPE is required, the system must report that the CPE is required and the date
that it was triggered.
If a CPE is required, the system must submit a copy of the completed CPE report.
Results of optional monitoring that show total trihalomethane (TTHM) levels
<0.064 mg/L and haloacetic acid (HAA5) levels <0.048 mg/L (only if the system
wishes to forgo profiling) or report that disinfection profiling has begun.
A description of the proposed change in disinfection, the system’s disinfection
profile for Giardia lamblia (and, if necessary, viruses) and disinfection
benchmark, and an analysis of how the proposed change will affect the current
levels of disinfection.

The PWS recordkeeping requirements under the rule include:




Records of individual filter turbidity measurements.
Records of disinfection profiles.
Records of benchmarking.

Currently, states are subject to the general reporting requirements under 40 CFR 142.15.
There are no additional reporting requirements under this rule.

Microbial Rules ICR

July 2012

The additional state recordkeeping requirements under LT1ESWTR include:








PWSs must submit the following information:


Sampling schedule, including sampling location(s) and planned dates for source
water sampling (for initial and second round monitoring).

For systems that filter and serve 10,000 or more people, monitor as follows (note that the
first round of monitoring occurred during previous ICR periods; a second round of monitoring
will begin during the last year of this ICR period):



Monthly E. coli and Cryptosporidium monitoring results, to be taken over a
period of 2 years, plus two matrix spike samples for Cryptosporidium.
Monthly turbidity monitoring results (sampled concurrently with
Cryptosporidium and E. coli).

For small systems (serving fewer than 10,000 people) that filter (the first round of
monitoring occurred during previous ICR periods; a second round of monitoring will begin in the
last year of this ICR period):



Biweekly E. coli monitoring results, to be taken over a period of 1 year.
If system exceeds the Cryptosporidium monitoring trigger based on E. coli
monitoring results, then 24 Cryptosporidium samples, plus two matrix spike
samples for Cryptosporidium.

For unfiltered systems, 24 Cryptosporidium samples over a period of 2 years for large
systems and 1 or 2 years for small systems, plus two matrix spike samples for Cryptosporidium
(again, a small amount of burden will be incurred during the last year of this ICR period).
For filtered systems, sampling plans and bin classifications for the second round of
monitoring must be reported to the state. All unfiltered systems must report their mean
Cryptosporidium levels to the state. (A small amount of burden will be incurred during the last
year of this ICR period.)
32

Microbial Rules ICR

July 2012

PWSs of all sizes that propose to make a significant change to their disinfection practice
will complete disinfection profiles and benchmarks for Giardia lamblia and viruses and report
these, along with a description of the proposed change in disinfection practice and an analysis of
how the proposed change will affect the current level of disinfection (some of this burden will
occur outside the ICR period).
PWSs of all sizes that install new technology as a result of their bin classifications or
choose to disinfect the effluent from an uncovered finished water reservoir will be required to
demonstrate compliance with certain criteria for each technology.
PWSs must keep all monitoring data collected under the LT2ESWTR on file for 3 years.
These data must be available for review during sanitary surveys.
States will be required to maintain the following data:








Results of initial and reassessment source water monitoring for small systems.
Initial bin classifications for each filtered system and mean Cryptosporidium level for
each unfiltered system.
Records of toolbox treatment technologies that systems choose to meet their treatment
technique requirements, plus any changes in toolbox treatment technologies, including all
documentation necessary to demonstrate compliance with required design and
implementation criteria for receiving log credit for toolbox options.
Any changes to initial bin classifications based on watershed assessment during sanitary
surveys.
Records of technologies employed by unfiltered systems to meet virus, Giardia, and
Cryptosporidium inactivation requirements.
List of systems required to cover or treat effluent of an uncovered finished water
reservoir.

States must report the following to EPA:




Initial bin classification for each filtered system and any changes in bin
classifications. Mean Cryptosporidium level for each unfiltered system. (This
activity was completed during the previous ICR period; however, similar
activities for the second round of monitoring will begin during the last year of this
ICR period.)
Any finding that a system is not meeting its required Cryptosporidium treatment
level.
Ground Water Rule

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

Failure to meet any state-specified requirements including minimum residual
disinfectant concentration, membrane operating criteria or membrane integrity,

Microbial Rules ICR




July 2012

and alternative treatment operating criteria, if operation in accordance with the
criteria or requirements is not restored within 4 hours.
Completion of corrective action (within 30 days of completion).
Documentation to the state within 30 days of a total coliform-positive sample that
a PWS met the state criteria that exempt the system from source water monitoring
requirements.

PWSs must keep records of the following (40 CFR 141.405(b)):






Documentation of corrective actions.
Documentation of notice to the public.
Documentation of records of decisions and records of invalidation of fecal
indicator-positive ground water source samples.
For consecutive systems, documentation of notification to the wholesale system(s)
of total-coliform positive samples that are not invalidated.
For systems, including wholesale systems, that are required to perform
compliance monitoring, the additional requirements include the following:
o Records of the state-specified minimum disinfectant residual.
o Records of the lowest daily residual disinfectant concentration and records of
the date and duration of any failure to maintain the state-prescribed minimum
residual disinfectant concentration for a period of more than 4 hours.
o Records of state-specified compliance requirements for membrane filtration
and of parameters specified by the state for state-approved alternative
treatment, and records of the date and duration of any failure to meet the
membrane operating, membrane integrity, or alternative treatment operating
requirements for more than 4 hours.

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



Records of written notices of significant deficiencies.
Records of corrective action plans, schedule approvals and state-specified interim
measures.
Records of confirmations that a significant deficiency has been corrected or the
fecal contamination in the ground water source has been addressed.
Records of state determinations and records of ground water systems’
documentation for not conducting triggered source water monitoring.
Records of invalidations of fecal indicator-positive ground water source samples.
Records of state approvals of source water monitoring plans.
Records of notices of the minimum residual disinfectant concentration (when
using chemical disinfection) needed to achieve at least 4-log virus inactivation
before or at the first customer.
Records of notices of the state-specified monitoring and compliance requirements
(when using membrane filtration or alternative treatment) needed to achieve at
least 4-log treatment of viruses (using inactivation, removal, or a state-approved
combination of 4-log inactivation and removal) before or at the first customer.

Microbial Rules ICR



July 2012

Records of written notices from the ground water system that it provides at least
4-log treatment of viruses (using inactivation, removal, or a state-approved
combination of 4-log virus inactivation and removal) before or at the first
customer for each ground water source.
Records of written determinations that the ground water system may discontinue
4-log treatment of viruses (using inactivation, removal, or a state-approved
combination of 4-log inactivation and removal).

Additionally, the state must report the following (40 CFR 142.15):





The month and year in which the most recent sanitary survey was completed or,
for a state that used a phased review process, the date the last element of the
applicable eight elements was evaluated for each ground water system.
The date the system completed the corrective action.
All ground water systems providing at least 4-log treatment of viruses (using
inactivation, removal, or a state-approved combination of 4-log virus inactivation
and removal) before or at the first customer for any ground water source(s).
Aircraft Drinking Water Rule

Air carriers are required to maintain records for the following activities and submit the
following items to EPA:









Information on total coliform sampling frequency and disinfection and flushing
frequency.
Water system inventory and any subsequent changes.
Monitoring results for total coliform bacteria samples taken as part of routine,
repeat, and post-disinfection follow-up sampling.
Analytical results for E. coli, required when total coliform results are positive.
Evidence of self-inspection of water system components completed every 5 years,
including an indication that deficiencies have been corrected and if not corrected,
a description of the deficiency, an explanation of why it has not been corrected,
and a schedule for correction.
Notification of all events requiring public notice and corrective action.
Failure to comply with the monitoring and disinfection and flushing procedures.

Air carriers are also required to maintain the following documents10:


An O&M plan for the aircraft PWS was required to be developed and included in
the aircraft O&M program required by FAA, and must be made available for EPA
review upon request.

Burden to develop O&M plans and coliform sampling plans for existing aircraft was accounted for under the
standalone ADWR ICR and is not included again under the Microbial Rules ICR as it is a one-time activity.
Additionally, the number of aircraft acquired post-ADWR promulgation is assumed to be a very small percentage of
the existing ADWR inventory; therefore the burden to develop new O&M and coliform sampling plans for aircraft
acquired post-ADWR promulgation is assumed to be negligible.

Microbial Rules ICR




July 2012

Air carriers were also required to develop a coliform sampling plan as part of their
O&M plan, which must be available for EPA review upon request.
O&M plans and coliform sampling plans must also be developed for any new
aircraft the air carrier acquires through purchases, ownership transfers, or any
other means. These plans must be made available for EPA review upon request.

4(b)(ii) Respondent Activities
PWSs and primacy agencies must complete the activities described in the sections below.
Public Water Systems
In general, each PWS is involved in the following collection activities:





Gathering information.
Processing, compiling and reviewing the information collected.
Submitting reports and other documents.
Recording and maintaining the information.

For this ICR, these activities are necessary to complete monitoring, reporting and
recordkeeping requirements associated with microbial contaminant-related regulations.
1)

Surface Water Treatment Rule

Requirements for reporting under the SWTR are separated into those for systems that use
filtration treatment and those for systems that do not use filtration treatment. The reporting
requirements for these types of PWSs are summarized in the paragraphs below.
Unfiltered Systems









Monitor and report information on the results of source water monitoring for total
or fecal coliform and turbidity.
Submit this information each month that the system is in operation.
Summarize fecal or total coliform monitoring by including the number of total or
fecal coliform samples collected; the values obtained for each measurement; the
number of results less than 20/100 milliliters (mL) for fecal coliform or less than
100/100 mL for total coliform during the month; the cumulative number of fecal
or total coliform results obtained since the start of the six consecutive month
compliance period; and the percent of samples less than the respective
performance standard for the six-month compliance period.
Summarize turbidity information to include the maximum turbidity value
obtained each month; the value and date of each measurement that exceeded five
NTUs; and the date the occurrence was reported to the state.
Monitor and report disinfectant residual levels (this requirement is addressed
under the DBP/Chem/Rads ICR).
Submit annual reports on watershed control programs and onsite inspections.
36

Microbial Rules ICR

July 2012

Filtered Systems




Monitor and report to the state on a monthly basis information regarding CFE
turbidity. Turbidity reporting requirements vary according to the filtration
technology used.
Monitor and report disinfectant residual levels (this requirement is addressed
under the DBP/Chem/Rads ICR).
Total Coliform Rule

PWSs must conduct the following activities to comply with the TCR:





Collect water samples at specified intervals, as defined in the federal or state
regulations.
Collect monitoring data on the presence of total coliform bacteria in the
distribution system.
Collect data on the presence or absence of E. coli or fecal coliform, following a
positive routine total coliform sample.
Report laboratory results and violations to the state at frequencies required by
federal and state regulations.
Interim Enhanced Surface Water Treatment Rule

The IESWTR only applies to systems serving at least 10,000 people using surface water
or ground water under the direct influence of surface water (GWUDI); these PWSs are required
to do the following:






Conduct continuous monitoring of individual filter turbidity for each filter in the
system.
Report individual filter turbidity monitoring results to the state at frequencies
specified in the federal regulations.
Report exceptions to the state in cases where the monitoring shows exceedances
of specific turbidity levels.
Perform a filter profile and/or filter assessment, or obtain a CPE if warranted.
Provide a CPE report to the state if necessary.
Filter Backwash Recycling Rule

The rule requires all PWSs to collect and retain on file recycle flow information for
review and evaluation by the state beginning June 8, 2004 (40 CFR 141.76(d)).

Microbial Rules ICR

July 2012

Long Term 1 Enhanced Surface Water Treatment Rule

Under the LT1ESWTR, PWSs are required to do the following:









Conduct continuous monitoring of individual filter turbidity for each filter in the
system.
Record individual filter turbidimeter readings at the specified intervals.
Report individual filter turbidity monitoring results to the state at frequencies
specified in the federal regulations.
Report exceptions to the primacy agency in cases where the monitoring shows
exceedances of specific turbidity levels.
Perform a filter profile and filter assessment, or arrange for a CPE if warranted.
Provide a CPE report to the state, if necessary.
Develop a disinfection benchmark, if necessary.
Consult with the state before making significant changes to disinfection practices.
Long Term 2 Enhanced Surface Water Treatment Rule

Under the LT2ESWTR systems are required to do the following:







Monitor source water for E. coli and Cryptosporidium and calculate a treatment
bin classification based on monitoring results. This requirement applies to filtered
systems only. Systems serving at least 10,000 people are also required to monitor
source water turbidity; the burden for turbidity monitoring is assumed to be
negligible. Initial monitoring and bin classification were completed during the
previous ICR period, but a second round of monitoring will begin in the last year
of this ICR period. Filtered systems serving less than 10,000 people may monitor
for E. coli as a trigger instead. These systems will only sample for
Cryptosporidium if their E. coli results exceed certain levels.
Monitor source water for Cryptosporidium only and calculate treatment
requirements based on monitoring results. This requirement applies to unfiltered
systems only.
Install additional treatment if monitoring results trigger a system into a bin
classification requiring additional treatment for Cryptosporidium and report on
compliance with the requirements for the treatment installed.
Prepare disinfection benchmarking reports for Giardia and viruses if disinfection
is changed.
Keep all monitoring data on file for 3 years.

Microbial Rules ICR

July 2012

Ground Water Rule
Under the GWR, systems are required to do the following:






Undergo a sanitary survey, compiling records and accompanying the state or third
party conducting the survey.
Conduct triggered source water monitoring if the system tests positive for total
coliform in the distribution system under TCR, for systems not providing 4-log
treatment of viruses. Under triggered monitoring requirements (40 CFR 141.402)
a system must collect at least one source water sample and have that sample tested
for a fecal indicator (E. coli, enterococci, or coliphage) specified by the state. If a
system detects the state-specified fecal indicator at its source, then the system
must take five additional samples within 24 hours unless the state determines that
corrective action must be taken immediately.
Conduct source water assessment monitoring for fecal indicators if required to do
so by the state.
Comply with treatment technique requirements and any associated reporting
requirements if the state identifies a significant deficiency during a sanitary
survey or the system has confirmed fecal contamination of its source water.
Monitor disinfectant residual for compliance, for systems providing disinfection
to achieve 4-log inactivation of viruses.
Maintain records of GWR information listed in section 4(b)(i).
Aircraft Drinking Water Rule

Air carriers will need to undertake the following activities in order to meet reporting
requirements under the ADWR:












Report the development of a new sampling plan; submit new monitoring and
disinfection and flushing frequency information for new purchases or transfers of
ownership of aircraft; and maintain sampling plans.
Report changes in aircraft water system inventory within 10 days after the end of
the month in which they occurred.
Take routine and repeat coliform samples, including preparing for shipping and
sending off for analysis.
Take post-disinfection follow-up coliform samples following corrective action,
including preparing for shipping and sending off for analysis.
Submit routine, repeat, and post-disinfection sampling results to EPA.
Record routine, repeat, and post-disinfection coliform sampling activities.
Record disinfection and flushing activities conducted as part of routine activity or
corrective action.
Prepare and provide public notification to passengers and crew as needed, and
report to EPA that public notification occurred.
Conduct a comprehensive self-inspection of aircraft water system components at
least every 5 years.
Submit evidence of self-inspection to EPA, including report of deficiencies
corrected and unresolved deficiencies and their correction schedule.
39

Microbial Rules ICR

July 2012

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.
Report systems not in compliance with drinking water requirements.
Maintain state approval of plans and specifications, enforcement activities, and
variances and exemptions (V&Es) for each PWS.

By conducting these activities, primacy agencies are able to evaluate PWS performance
and to identify PWS needs and problem areas. They also identify enforcement targets and
systems requiring remedial action. In addition, states serve as respondents when reporting
compliance data to the federal government. Some of these activities are covered in the PWSS
Program ICR as general primacy activities. Therefore, only microbial contaminant-specific
recordkeeping activities have been included in this Microbial Rules ICR.
1)

Surface Water Treatment Rule

The SWTR states that primacy agencies must conduct the following:





Collect and maintain information submitted by PWSs.
Record which systems using surface water are required to provide filtration and
which are not. These records must be kept indefinitely.
Submit a special report to the EPA Administrator listing PWSs that are not
required to filter.
Retain the results of microbiological contaminant analyses of source water
samples in the same manner as other microbiological contaminant analytical
results.

Microbial Rules ICR

July 2012

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
MCL (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.
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:






Reviewing individual filter turbidity monitoring data.
Conducting CPEs for PWSs.
Conducting sanitary surveys.
Consulting with PWSs on changes in disinfection practice.
Conducting follow-up inspections.
Filter Backwash Recycling Rule

For the FBRR, primacy agencies incur a recordkeeping requirement for maintaining data
submitted by conventional and direct filtration PWSs that recycle. Primacy agencies must also
maintain written approval for all PWSs with alternate recycle locations.
5)

Long Term 1 Enhanced Surface Water Treatment Rule

Primacy agencies have the responsibility for ensuring the implementation of the
LT1ESWTR (40 CFR 142.16). EPA anticipates that states will be involved in the following
activities:





Consulting with PWSs on changes in disinfection practice.
Conducting CPEs for PWSs (if requested).
Conducting follow-up inspections.
Compliance tracking for turbidity

Microbial Rules ICR

July 2012

Long Term 2 Enhanced Surface Water Treatment Rule

Primacy agencies have the responsibility for ensuring the implementation of the
LT2ESWTR. This will include the following activities (some of these activities will occur
during future ICR periods):










Maintaining and updating the data management system.
Reviewing small system sampling schedules and sampling locations.
Maintaining E. coli and Cryptosporidium monitoring data from small systems.
Responding to systems’ inquiries.
Reviewing and approving bin classifications.
Reviewing disinfection profiles and benchmarks.
Reviewing and, in some cases, approving processes to meet bin treatment
requirements.
Reporting the information required in section 4(b)(i).
Keeping records of the information in section 4(b)(i).
Ground Water Rule

States will need to perform the following tasks:



Perform sanitary surveys, and reporting and recordkeeping requirements
associated with performing sanitary surveys.
Tracking and filing monitoring results and reviewing any additional reporting.
Aircraft Drinking Water Rule

EPA is the primacy agency for the ADWR; EPA activities under this rule are
described in section 5(a) of this document.

Microbial Rules ICR

July 2012

5
INFORMATION COLLECTED -- AGENCY ACTIVITIES,
COLLECTION METHODOLOGY, AND INFORMATION
MANAGEMENT
5(a)

Agency Activities

As part of its oversight 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 also acts as the enforcement authority for the ADWR. Because aircraft fly in
interstate commerce, no single state can have primacy over an aircraft PWS, as described in 40
CFR 142.3(b). Therefore, EPA oversees ADWR compliance. The Agency will be responsible
for collecting the information generated as air carriers comply with the rule. EPA activities
include the following:









Train EPA staff.
Provide technical assistance to air carriers.
Review sampling frequency and disinfection and flushing frequency information.
Review routine, repeat, and post-disinfection monitoring results.
Review information on public notification events.
Review aircraft water system inventory changes.
Review certifications and reports of air carrier self-inspections.
Conduct onsite compliance audits, as needed.

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 in the first paragraph of this
section. The 231.9 regional full time equivalents (FTEs) covered under the PWSS Program ICR
include the EPA ADWR burden.
In addition to these activities, the Agency assumes the activities performed by the state
for those states, territories and tribes that do not have primacy. Specifically, the Agency will be
involved in the following activities related to microbial contaminant regulations:








Training PWS and consultant staff.
Analyzing and reviewing PWS data.
Making compliance determinations concerning PWSs.
Conducting CPEs and sanitary surveys.
Meeting with PWSs about changes in recycling practices.
Compliance tracking.
Recordkeeping.

Microbial Rules ICR

July 2012

Burden and costs for these activities are accounted for under the primacy agency burden
(see section 6). EPA Regional offices also conduct general primacy activities for states,
territories and tribes that do not have primacy. This burden is addressed in the PWSS ICR and is
included in the general primacy burden for primacy agencies.

Microbial Rules ICR

July 2012

Exhibit 4
EPA Requirements
Requirement
Regulatory Citation
General Requirements (apply to all regulations)
For states and other entities for which the
40 CFR 142.14 and 142.15
Agency maintains primacy, the Agency must
maintain the records and perform the reporting
activities required of states. (This burden is
addressed under primacy agency burden.)
Review state request for approval of a program
40 CFR 142.12(d)(3)
revision and notify state of determination
regarding request.
SWTR
Publish a notice of any proposed
40 CFR 142.80(b)
comprehensive review of state decisions to
determine if PWSs must provide filtration.
Notify each state affected by the results of a
40 CFR 142.80(c)
comprehensive review.
Make the results of comprehensive reviews
40 CFR 142.80(c)
available to the public.
Notify the state if periodic reviews or other
40 CFR 142.81(a)
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.
Notify the state that a public hearing will be held 40 CFR 142.81(b)
on the notice provisions.
Publish a notice of the public hearing in the
40 CFR 142.81(c)
Federal Register and in a newspaper of general
circulation in the involved state.
TCR
Subject to general requirements as listed above.
IESWTR
Subject to general requirements as listed above
FBRR
Subject to general requirements as listed above.
LT1ESWTR
Subject to general requirements as listed above.
Publish a notice of any proposed
40 CFR 142.80(b)
comprehensive review of state decisions to
determine if PWSs must provide filtration.
Notify each state affected by the results of a
40 CFR 142.80(c)
comprehensive review.
Make the results of comprehensive reviews
40 CFR 142.80(c)
available to the public.
Notify the state if periodic reviews or other
40 CFR 142.81(a)
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.

Frequency
As necessary

One time, as
necessary

As necessary

As reviews are
completed
As reviews are
completed
As necessary

As necessary
As necessary

As necessary

As reviews are
completed
As reviews are
completed
As necessary

Microbial Rules ICR

July 2012

Requirement
Regulatory Citation
Frequency
Notify the state that a public hearing will be held 40 CFR 142.81(b)
As necessary
on the notice provisions.
Publish a notice of the public hearing in the
40 CFR 142.81(c)
As necessary
Federal Register and in a newspaper of general
circulation in the involved state.
LT2ESWTR
Subject to general requirements as listed above.
Approving laboratories
40 CFR 141.705
As necessary
Collecting and managing sampling location
40 CFR 141.702(a),
As necessary
descriptions, sampling schedules, and
141.703(f), 141.706(b)
monitoring data submitted by medium and large
systems.
GWR
Subject to general requirements as listed above.
ADWR
No specific EPA requirements are stated in the ADWR; however, EPA will conduct the oversight
activities described previously for the ADWR.

5(b)

Collection Methodology and Management

Primacy agencies must report data to EPA on a quarterly basis. These data include any
new data and revisions or corrections to existing data. This information is maintained in
SDWIS, which contains the following:





Inventory data for each PWS.
Violations.
Enforcement actions and some follow-up activity.
Variances and exemptions.

Primacy agencies transmit SDWIS data to EPA both manually and electronically. In the
District of Columbia, Wyoming, and Indian Lands (except for the Navajo Nation, which has
primacy), results of system samples are sent directly to the EPA Region. Virtually all SDWIS
data are reported electronically by the primacy agency.
SDWIS data support a number of rule implementation and program management
activities, which include the following:


Using data pulled from SDWIS on a quarterly basis, the Office of Enforcement
and Compliance Assurance uses the Enforcement Targeting Tool (ETT) to
generate a list of PWSs that are considered “priority systems” for enforcement.
These data provide senior management with information on trends in drinking
water enforcement.

Microbial Rules ICR



July 2012

Supporting PWSS program file reviews. EPA undertakes a comparison of
SDWIS data to primacy agency data—the primary purposes of which are to assess
the quality of data and recommend any necessary changes in collection or
reporting methodologies.
Promoting consistent national program implementation. The process of file
reviews provides insights into the primacy agency’s interpretation of regulations.
Such information supports fair and consistent SDWA implementation and
enforcement.

In addition to SDWIS, EPA has developed and maintains the web-based Aircraft
Reporting and Compliance System (ARCS) for air carriers complying with the ADWR. Air
carriers must report all compliance data to ARCS unless they receive permission to use another
reporting method. The burden for developing this system was addressed in the standalone ICR
for the ADWR.
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 previously described collection of SDWIS data.
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.11





A small business is any business that is independently owned and operated and
not dominant in its field as defined by the Small Business Administration
regulations under section 3 of the Small Business Act.
A small organization is any non-profit enterprise that is independently owned and
operated and not dominant in its field.
A small governmental jurisdiction is the government of a city, county, town,
township, village, school district or special district that has a population of fewer
than 50,000. This definition may also include Indian Tribes.

The major requirement under SBREFA is a regulatory flexibility analysis (RFA) of all
rules that have a “significant economic impact on a substantial number of small entities.” Since
this ICR is not currently associated with new rules, it is not currently subject to the SBREFA.
Throughout the 1992–1993 negotiated rulemaking process for the Stage 1 DBPR and the
IESWTR and the July 1994 proposals for these rules, a small PWS was defined as a system
serving fewer than 10,000 people. This definition reflects the original 1979 standard for
TTHMs, which applied only to systems serving at least 10,000 people. The definition thus
recognizes that the baseline conditions from which systems serving fewer than 10,000 people
11

These definitions were taken from §601 of the Regulatory Flexibility Act.

Microbial Rules ICR

July 2012

would approach disinfection byproduct control and simultaneous control of microbial pathogens
would be different than those for systems serving 10,000 or more people. Subsequent to the
1994 proposals, EPA defined a “small business” (for purposes of RFAs in drinking water
regulations) as a PWS serving 10,000 or fewer people. This definition is consistent with the
approach used herein and in the 1996 Congressional amendments to SDWA.
EPA has made significant efforts to minimize the burden for all respondents, particularly
for small entities. In setting 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 CWSs, the number of samples ranges from a minimum of one sample per month for systems
serving fewer than 1,000 people to 480 samples per month for those serving 3,960,001 or more
people. This requirement is codified at 40 CFR 141.21(a). Generally, quarterly monitoring must
be conducted at noncommunity water systems (NCWSs) using ground water only 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 certified
that this rule would not have a significant impact on a substantial number of small systems. As a
result, an RFA was not required.

Microbial Rules ICR

July 2012

Long Term 1 Enhanced Surface Water Treatment Rule

The LT1ESWTR applies only to subpart H systems serving less than 10,000 people.
Therefore, the rule will have an effect on small entities. After considering the economic impacts
of the rule on small entities, EPA certified that this action would not have a significant economic
impact on a substantial number of small entities. The Agency determined that less than one
percent of small entities will experience an impact of one percent or more of their annual
revenues or expenditures. No affected small governmental jurisdictions are expected to incur
annual costs exceeding three percent of their annual revenue. Accordingly, an RFA was not
required.
6)

Long Term 2 Enhanced Surface Water Treatment Rule

The LT2ESWTR allows small systems to monitor for E. coli instead of
Cryptosporidium. The analysis for E. coli is much less expensive than Cryptosporidium. Small
systems are only required to monitor for Cryptosporidium if E. coli concentrations are above a
trigger value. In addition, systems with at least 2 years worth of historical Cryptosporidium data
may use that data instead of performing new monitoring.
7)

Ground Water Rule

The GWR was developed in consultation with the Small Business Advocacy Review
Panel. Several of the panel’s recommendations were incorporated into the rule. These
recommendations include:



Risk targeted approach – only those systems most at risk are required to monitor
or provide corrections.
Using coliform monitoring instead of more expensive viral monitoring – the rule
requires preliminary monitoring for coliform. Only if coliform monitoring is
positive is monitoring for other organisms required.
Aircraft Drinking Water Rule

EPA has chosen to apply the same requirements to air carriers of all sizes. EPA has
developed the ADWR to provide flexibility to all air carriers including small entities or small
businesses. For example, where a maintenance frequency is not specified by the water tank
manufacturer, air carriers can choose the combination of monitoring and disinfection and
flushing that accommodates existing routine aircraft maintenance schedules. The ADWR allows
air carriers with positive total coliform samples 72 hours to implement disinfection and flushing
as corrective action or the alternative of 24 hours to collect repeat samples. It also allows them
additional time before corrective action is required if they prevent public access to the water by
physically shutting off or disconnecting the water system or preventing the flow of water through
the taps. The rule also permits air carriers to take only one routine sample (instead of two) for
certain aircraft with a removable/portable water tank that is drained every day of passenger
service, where the aircraft has only one tap.

Microbial Rules ICR

5(d)

July 2012

Collection Schedule

The collection schedules for each rule are summarized below. Additional information
may be obtained by consulting the individual rules for specific collection schedules.
Exhibit 5
Collection Schedule
Rule

Collection Commencement Year

SWTR

1991/1993 (depending on filtration status)

TCR

1991 – coliform monitoring
1994 – sanitary surveys for CWSs, 1999 for
NCWSs
2002 – turbidity monitoring
2002/2004 - sanitary surveys (depending on size
and source type)
2004 – recordkeeping
2005 – turbidity monitoring
2006 – Cryptosporidium and E. coli monitoring first
round (depends on system size; all sampling
completed by 2011)
2010 – disinfection profiling (depends on system
size)
2012 – reporting for compliance with new
technologies
2015 – second round of Cryptosporidium and E.
coli monitoring
2009 – sanitary survey, triggered monitoring,
corrective action plans, compliance monitoring
April 2011 – inventory data, sampling and O&M
plan information
October 2011 – coliform sampling data, dates
routine disinfection and flushing are performed

IESWTR

FBRR
LT1ESWTR
LT2ESWTR

GWR
ADWR

Microbial Rules ICR

July 2012

ESTIMATING BURDEN AND COST OF COLLECTION

This section estimates the burden and cost to PWSs, air carriers and primacy agencies for
complying with drinking water information requirements associated with microbial contaminant
rulemakings. These include the following:
Surface Water Treatment Rule12
Total Coliform Rule
Interim Enhanced Surface Water Treatment Rule
Filter Backwash Recycling Rule
Long Term 1 Enhanced Surface Water Treatment Rule
Long Term 2 Enhanced Surface Water Treatment Rule
Ground Water Rule
Aircraft Drinking Water Rule

1)
2)
3)
4)
5)
6)
7)
8)

This ICR updates the annual burdens and costs associated with these rulemakings for the
three-year ICR period of May 1, 2012, through April 30, 2015. 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 welldocumented changes in some data. To provide a comparable basis on which to calculate the
requirements addressed by the Microbial Rules ICR, and to address inconsistencies, EPA applied
uniform assumptions to all rules where applicable. The categories of assumptions are listed
below.






Labor rates—for PWSs, a 2010 labor rate of $20.24 was obtained from the
Bureau of Labor Statistics (BLS). An overhead rate of 60 percent was applied,
resulting in an hourly rate of $32.38. For states, a 2010 labor rate of $27.37 was
obtained from the BLS. An overhead rate of 60 percent was applied, resulting in
an hourly rate of $43.79.
PWS inventory figures from the most recent frozen SDWIS database pull
(October 2010).
Number of entry points—data from the 2006 Community Water Systems Survey
(CWSS).
Number of plants—data from the 2006 CWSS.

In addition, EPA has revised some of the estimates of burden for particular activities (e.g.,
sampling, developing reports) to reflect consultations with representatives of PWSs and states
(see section 3(c)).
12

Includes all rule components except disinfectant residual monitoring and associated activities, which are included
in the DDBP/Chem/Rads Rules ICR.

Microbial Rules ICR

6(a)

July 2012

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

The annual PWS burden for May 1, 2012, through April 30, 2015, is estimated to be
approximately 10.3 million hours. Exhibit 6 (after section 6(b)) shows the breakdown of the
annual burden hours on a rule-specific basis. The annual air carrier burden for the same time
period is 0.035 million hours (see Exhibit 7). Wherever possible, activity-level burden
assumptions were carried forward from previous ICRs or were updated to reflect consultation
results. However, if updated data were available (e.g., system inventories), the most recent data
were used in burden calculations. Appendices B through H show the assumptions and detailed
burden calculations for each rule. The following further describes the bases for the burden
estimates for each rule.
1)

Surface Water Treatment Rule

Activities associated with the SWTR account for 1.78 million annual burden hours per
year. The assumptions used to calculate the SWTR burden are based largely on assumptions
carried forward from the 2008 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 Rule ICR. For unfiltered systems, burden estimates
include raw water sampling for coliform, on-site inspections, watershed management and raw
water turbidity monitoring. The burden for filtered systems includes only finished water
turbidity monitoring. Section 6(f) describes the reasons for changes between the burden reported
in the 2008 Microbial Rules ICR and this ICR. Detailed burden and cost calculations for the
SWTR are provided in Appendix B.
2)

Total Coliform Rule

Activities associated with the TCR account for a burden of 3.51 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 2008 Microbial Rules ICR. Section 6(f) describes the
reasons for changes between the burden reported in the 2008 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.

Microbial Rules ICR

July 2012

Interim Enhanced Surface Water Treatment Rule

Activities associated with IESWTR account for a burden of 4.28 million hours per year.
Included in this burden are individual filter turbidity monitoring, turbidity exceptions reporting,
and conducting individual filter assessments (IFAs). The assumptions used to calculate the
IESWTR burden are based largely on the assumptions carried forward from the 2008 Microbial
Rules ICR. Reasons for changes in burden between the 2008 Microbial Rules ICR and this ICR
are summarized in section 6(f). Detailed information about assumptions, burden, and
calculations are provided in Appendix D.
4)

Filter Backwash Recycling Rule

No burden is estimated for PWSs for this rule. Currently, the rule requires PWSs to
maintain records on recycle flow. The burden associated with this recordkeeping is assumed to
be negligible.
5)

Long Term 1 Enhanced Surface Water Treatment Rule

Activities associated with the LT1ESWTR account for a burden of 0.14 million hours per
year. The burden estimates for PWSs include turbidity exceptions reporting and turbidity
monitoring. The assumptions used to calculate the LT1ESWTR burden are based largely on the
assumptions carried forward from the 2008 Microbial Rules ICR. Reasons for changes in burden
between the 2008 Microbial Rules ICR and this ICR are summarized in section 6(f). Detailed
information about assumptions, burden, and calculations are provided in Appendix E.
6)

Long Term 2 Enhanced Surface Water Treatment Rule

Activities associated with the LT2ESWTR account for a burden of 0.043 million hours
per year. The burden estimates include reporting associated with demonstrating compliance with
installed treatment. PWS burden estimates also account for some of the burden associated with
developing disinfection profiles and benchmarks. The initial round of monitoring for E. coli
and/or Cryptosporidium was completed during the previous ICR period. However, the second
round of monitoring will begin during the last year of this ICR period; only large systems will
incur burden for this activity during this ICR period. In addition, the burden estimates for PWSs
include completion of a sampling plan for those systems conducting monitoring.
Appendix F summarizes the assumptions used to calculate the LT2ESWTR burden and
provides the detailed burden and cost calculations.

Microbial Rules ICR

July 2012

Ground Water Rule

Activities associated with the GWR account for a burden of 0.58 million hours per year.
For ground water systems providing 4-log treatment of viruses, the burden estimates include
compliance monitoring to demonstrate treatment effectiveness and associated reporting,
including reports of disinfection failure. In addition, burden estimates for developing corrective
action plans are included. For ground water systems that do not provide 4-log treatment of
viruses, PWS burden estimates also account for burden associated with conducting triggered
source water monitoring if the system tests positive for total coliform in the distribution system
under the TCR, including the burden for initially notifying the state that the system provides
disinfection. PWS burden also includes the burden associated with sanitary surveys.
Appendix G summarizes the assumptions used to calculate the GWR burden and provides
the detailed burden and cost calculations.
8)

Aircraft Drinking Water Rule

Activities associated with the ADWR account for an air carrier burden of 0.035 million
hours per year. The assumptions used to calculate the ADWR burden are based largely on
assumptions carried forward from the standalone ADWR ICR for the final rule. Air carrier
burden includes sampling, reporting associated with sampling and O&M activities, selfinspection, and public notice.
ADWR burden is being incorporated into this programmatic ICR for the first time. Note
that the standalone ADWR ICR is currently scheduled to expire on February 28, 2013. However,
once this Microbial Rules ICR is approved, the standalone ADWR ICR will be cancelled.
Appendix H summarizes the assumptions used to calculate the ADWR burden and provides the
detailed burden and cost calculations.

6(a)(ii) Burden to Primacy Agencies
The annual burden for primacy agencies for May 1, 2012, through April 30, 2015 is
estimated to be approximately 2.56 million hours. Exhibit 8 (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 0.27 million hours. All of this
burden is associated with review of finished water turbidity monitoring results. Estimates for
primacy agency burden for the SWTR are based on assumptions carried forward from the 2008
Microbial Rules ICR. Detailed calculations for burden and cost are shown in Appendix B.

Microbial Rules ICR

July 2012

Total Coliform Rule

For primacy agencies, the annual burden associated with the TCR is estimated to be
approximately 0.46 million hours. This reflects burden to monitor TCR-related activities such as
reviewing routine coliform reports, E. coli and fecal coliform reports, and additional routine
sampling reports. The burden for sanitary surveys for ground water systems is now addressed
under the GWR (see Appendix G). Sanitary survey burden for surface water systems is included
under IESWTR. Estimates for primacy agency burden for the TCR are based on assumptions
carried forward from the 2008 Microbial Rules ICR. Appendix C shows detailed burden and
cost calculations.
3)

Interim Enhanced Surface Water Treatment Rule

Primacy agencies are expected to expend 0.95 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 2008 Microbial Rules ICR. The burden
includes estimates for review of turbidity monitoring results and exceptions reports.
Additionally, states conduct CPEs as necessary and sanitary surveys for all surface water
systems. Detailed cost and burden calculations are included in Appendix D.
4)

Filter Backwash Recycling Rule

No burden is estimated for states for this rule. The burden associated with the
recordkeeping requirements in this rule is assumed to be negligible.
5)

Long Term 1 Enhanced Surface Water Treatment Rule

The annual state burden for the LT1ESWTR is expected to be 0.12 million hours. The
assumptions used to calculate the LT1ESWTR burden are based largely on assumptions carried
forward from the 2008 Microbial Rules ICR. The burden includes estimates for compliance
tracking and recordkeeping of turbidity monitoring for small systems, and review of turbidity
monitoring and turbidity exceptions reports. Additionally, states conduct turbidity exceptions
reporting, which includes CPEs and annual exception reports for systems serving 10,000 people
or fewer. Detailed calculations for burden and cost are shown in Appendix E.
6)

Long Term 2 Enhanced Surface Water Treatment Rule

The annual state burden for the LT2ESWTR is expected to be 0.029 million hours. The
assumptions used to calculate the LT2ESWTR burden are based largely on assumptions carried
forward from the 2008 Microbial Rules ICR. State burden includes reviewing monitoring results
and assisting with and reviewing bin classifications. States will also review disinfection profiles
and benchmarks for systems that significantly change their disinfection practices.
Appendix F summarizes the assumptions used to calculate the LT2ESWTR burden and
provides the detailed burden and cost calculations.

Microbial Rules ICR

July 2012

Ground Water Rule

The annual state burden for the GWR is expected to be 0.74 million hours. The
assumptions used to calculate the GWR burden are based largely on assumptions carried forward
from the GWR ICR. The burden includes that associated with performing sanitary surveys, as
well as burden to review initial compliance monitoring notification and compliance monitoring
reports submitted by PWSs. In addition, states will ensure PWSs are complying with treatment
technique requirements and any associated reporting requirements. For ground water systems
that do not provide 4-log treatment of viruses, state burden estimates also account for review of
triggered source water monitoring results. Lastly, the burden includes annual administrative
activities such as recordkeeping, staff training, and technical assistance to PWSs. Appendix G
summarizes the assumptions used to calculate the GWR burden and provides the detailed burden
and cost calculations.
8)

Aircraft Drinking Water Rule

Note that EPA is the primacy agency for the ADWR, as EPA has direct oversight for that
rule. This burden is captured in the 231.9 regional EPA FTEs in the PWSS Program ICR.

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 $467.8 million, which consists of $334.7 million in labor costs,
$112.8 million in operation and maintenance (O&M) costs, and $20.4 million in capital costs.
Exhibit 7 shows the annual costs for air carriers over the three-year ICR period. Annual
costs are estimated at approximately $4.0 million, which consists of $0.92 million in labor costs,
$3.0 million in O&M costs, and $0.003 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 for PWSs is the rate quoted by the
Bureau of Labor Statistics for Standard Occupational Classification (SOC) Code 51-8031,
“Local Government—Water and Liquid Waste Treatment Plant and System Operators.” The
quoted rate was $20.24 in 2010 dollars (see http://stats.bls.gov/oes/current/oes518031.htm). In
addition, 60 percent overhead was assumed, bringing the loaded, inflated rate to $32.38 in 2010
dollars. For air carriers, four labor rates are used and are all loaded by 50 percent. All rates are
from the Bureau of Labor Statistics in 2010 dollars (see Appendix H for SOC codes for each
occupation). The first labor rate is for “Transportation, Storage, and Distribution Managers” at a
loaded rate of $62.00. The second labor rate is for “Cleaners of Vehicles and Equipment” at a
loaded rate of $15.94. Labor rates for “Transportation Inspectors” and “Inspectors, Testers,
Sorters, Samplers, and Weighers” were also used at loaded rates of $45.12 and $25.44,
respectively.

Microbial Rules ICR

July 2012

In addition to the labor costs, there are O&M costs associated with the SWTR, TCR,
IESWTR, LT1ESWTR, LT2ESWTR, GWR and ADWR. For the SWTR, these O&M costs
reflect non-labor costs associated with coliform analyses (unfiltered systems) and turbidity
analyses (unfiltered and filtered systems). Coliform analysis O&M costs are based on analysis
costs as listed in the ADWR Economic Analysis. Turbidity analysis O&M costs are based on
vendor quotes regarding calibration materials needed to perform turbidity analyses. TCR O&M
costs reflect non-labor costs associated with coliform and E. coli analysis. IESWTR O&M costs
reflect non-labor costs associated with turbidity analysis for individual filters. For the IESWTR,
turbidity analysis costs are based on O&M cost equations for operating an integrated supervisory
control and data acquisition (SCADA) system. These cost equations are carried forward from
the IESWTR Regulatory Impact Analysis (RIA). LT1ESWTR O&M costs also reflect non-labor
costs associated with turbidity analysis for individual filters. LT2ESWTR O&M costs reflect
non-labor costs associated with Cryptosporidium and E. coli laboratory analysis. GWR O&M
costs reflect non-labor costs associated with compliance (disinfection) monitoring (maintenance
costs, monthly reagents, charts and recorder pens).
The SWTR, IESWTR and LT1ESWTR also include capital costs for turbidity monitoring
equipment. For these rules, capital costs are estimated based on vendor estimates and costing
equations for in-line and bench-top turbidimeters, or SCADA systems needed to comply with
turbidity monitoring requirements. Capital costs are distributed evenly across the replacement
period for turbidity analysis equipment (estimated to be 7 years). The GWR includes capital
costs for chlorine monitoring equipment (chlorine analyzer, power cord and chart recorder). The
ADWR includes a capital cost for refrigerators purchased by air carriers, which is distributed
evenly across the replacement period for the equipment (estimated to be 10 years).
Further detail on the O&M and capital costs for the SWTR, TCR, IESWTR,
LT1ESWTR, LT2ESWTR, GWR and ADWR can be found in Appendices B, C, D, E, F, G and
H, respectively.
6(b)(ii) Cost to Primacy Agencies
Exhibit 8 shows that the annual costs to primacy agencies are estimated at approximately
$118.7 million. All costs incurred by primacy agencies are labor costs. Labor costs are based on
the number of burden hours times the average hourly wage rate, including overhead. Labor rates
in 2010 dollars are used and are loaded with a 60 percent overhead factor. A loaded labor rate of
$43.79 per hour in 2010 dollars was used for state labor. The labor costs are based on the BLS
SOC Code 19-2041, “State Government - Environmental Scientists and Specialists, Including
Health,” an average FTE cost of $ $91,087, including overhead, which equates to approximately
$43.79 per hour.13 In addition, another labor rate was used for states conducting sanitary surveys
and reviewing compliance monitoring results for the GWR. Loaded, this rate comes to $58.86
per hour.
There are no O&M or capital costs for primacy agencies under this ICR.

According to the ICR Handbook, an employee works an average of 2,080 hours in one year.

Microbial Rules ICR

July 2012

Exhibit 6
Annual PWS Burden and Cost
May 1, 2012 – April 30, 2015
Cost

Activity

Annual Burden
Hours

Annual Labor
Cost ($K)

Annual
Capital Cost
($K)

Annual O&M
Cost ($K)

Total Annual
Cost ($K)

Annual Responses

SWTR

1,783,619

$57,761

$4,414

$2,206

$64,381

18,039,574

TCR

3,508,253

$113,611

$81,818

N/A

$195,429

3,668,442

IESWTR

4,280,585

$138,622

$16,938

$15,823

$171,383

3,781,397

LT1ESWTR

138,391

$4,482

$2,894

$2,266

$9,642

321,982

LT2ESWTR

43,039

$1,394

$619

N/A

$2,012

8,626

581,601

$18,834

$6,076

$88

$24,998

897,601

10,335,489

$334,704

$112,759

$20,383

$467,846

26,717,624

GWR
TOTAL

Note: Detail may not add exactly to totals due to rounding.

Exhibit 7
Annual Air Carrier Burden and Cost
May 1, 2012 – April 30, 2015
Cost

Activity

Annual Burden
Hours

Annual Labor
Cost ($K)

Annual
Capital Cost
($K)

Annual O&M
Cost ($K)

Total Annual
Cost ($K)

Annual Responses

ADWR

35,087

$923

$3,049

$3,975

136,225

TOTAL

35,087

$923

$3,049

$3,975

136,225

Total Annual
Cost ($K)

Annual Responses

Exhibit 8
Annual Primacy Agency Burden and Cost
May 1, 2012 – April 30, 2015
Cost

Activity

Annual Burden
Hours

Annual Labor
Cost ($K)

Annual
Annual O&M Capital Cost
Cost ($K)
($K)

SWTR

266,889

$11,688

N/A

$11,688

76,108

TCR

458,937

$20,098

N/A

$20,098

1,835,748

IESWTR

947,908

$41,511

70,619

LT1ESWTR

119,237

$5,222

67,045

LT2ESWTR
GWR
TOTAL

28,642

$1,254

N/A

$1,254

307

738,226

$38,914

N/A

$38,914

33,714

2,559,838

$118,686

N/A

$118,686

2,083,540

Note: Detail may not add exactly to totals due to rounding.

Microbial Rules ICR

6(c)

July 2012

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, except for EPA’s oversight of air carriers for the ADWR. EPA’s
burden under the ADWR is shown for informational purposes in Appendix H; however, this
burden is not included in the total burden for the ADWR. As explained above and in section
5(a), EPA ADWR burden is accounted for in the PWSS Program ICR.
6(d)

Estimating Respondent Universe and Total Burden and Costs

Respondents for this ICR include PWSs, air carriers and primacy agencies. This ICR
estimates that the number of PWS respondents is 152,97914 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. The number of air carrier respondents is 47. Note that air carriers are respondents
for the ADWR only.
In addition to the PWS and air carrier respondents, this ICR assumes 57 primacy agencies
(50 states plus the District of Columbia, U.S. territories, and Indian Nations)15. Therefore, the
total number of respondents is 153,083. The total costs and burden for these respondents are
summarized in Exhibits 6, 7, and 8.
6(e)

Bottom Line Burden Hours and Costs

The bottom line burden hours and costs for this ICR are presented in Exhibit 9. The total
annual respondent burden associated with this ICR, which includes burden for PWSs, air carriers
and primacy agencies, is estimated to be approximately 12.9 million hours. The corresponding
total annual respondent costs are estimated to be $590.5 million. The annual capital and O&M
costs are approximately $136.2 million.

Source: SDWIS/FED Data from October 2010.
For several of these entities, primacy activities are actually implemented by EPA Regional offices. However, as a
simplifying assumption, they are included with the states for respondent calculations under this ICR.

Microbial Rules ICR

July 2012

Exhibit 9
Bottom Line Annual Burden and Cost
May 1, 2012 – April 30, 2015
Annual Number of Respondents

153,083

(=)

152,979 (+) Existing PWSs
47 (+) Existing Air Carriers
57
Total Annual Responses

28,937,389

Primacy agencies
(=)

26,717,624 (+) PWS responses (see Exhibit 6)
136,225 (+) Air Carrier responses (see Exhibit 7)
2,083,540
Number of Responses per
Respondent

Primacy agency responses (see Exhibit 8)

189.0

(=)

28,937,389

(/)

153,083
Total Annual Respondent Hours

12,930,414

Total annual responses from above
Total number of respondents from above

(=)

10,335,489 (+) PWS hours (see Exhibit 6)
35,087 (+) Air Carrier hours (see Exhibit 7)
2,559,838

Primacy agency hours (see Exhibit 8)

0.45

(=)

12,930,414

(/)

Hours per Response

28,937,389
Annual O&M and Capital Cost
1

($K)

$136,194

Total annual respondent hours from above
Total annual responses from above

(=)

$112,759 (+) Total PWS O&M costs (see Exhibit 6)
$20,383 (+) Total PWS capital costs (see Exhibit 6)
$3,049 (+) Total Air Carrier O&M costs (see Exhibit 7)
$3
Total Air Carrier capital costs (see Exhibit 7)

Total Annual Respondent Cost ($K)

$590,507

(=)
$467,846 (+) For PWSs (see Exhibit 6)
$3,975 (+) For Air Carriers (see Exhibit 7)
$118,686

Total Annual Hours (resp. plus
Agency)
Total Annual Cost ($K) (resp. plus
Agency)

For primacy agencies (see Exhibit 8)

12,930,414 (=)
12,930,414 (+) Total annual respondent hours from above
0
Total EPA hours
$590,507 (=)
$590,507 (+) Total annual respondent cost from above
$0
Total EPA cost

Note: Detail may not add exactly to totals due to rounding.
1

No Primacy Agency capital or O&M costs are incurred, see Exhibit 8.

Microbial Rules ICR

6(f)

July 2012

Reasons for Change in Burden

This section presents the change in burden and explains the reasons for the change in
burden. The discussion is divided into two parts:


Section 6(f)(i) summarizes the burden adjustments made (by addition of new
rules) since the 2008 Microbial Rules ICR (see Exhibit 11).



Section 6(f)(ii) summarizes burden adjustments to each rule since the 2008
Microbial Rules ICR (see Exhibits 12 through 14).

Exhibit 10 summarizes how each of these changes affects the overall burden inventory
for the Microbial Rules ICR.
Exhibit 10
Summary of Changes in Annual Burden
(Includes PWS, Air Carrier and Primacy Agency Burden)
Type of Change

Burden Estimated in the 2008
Microbial Rules ICR
Restructuring
Adjustments–see Section
6(f)(i)
Other Adjustments to
Burden–see Section 6(f)(ii)

Burden (hours)

Running Total

10,669,916

Comment
This burden serves as the baseline for
the 2012 Microbial Rules ICR.

Burden for ADWR is now included in
this ICR.
17,583

10,687,499

2,242,915

12,930,414

Burden for which EPA seeks approval in
this ICR.

Note: Detail may not add exactly to totals due to rounding.

6(f)(i) Restructuring Adjustments
Restructuring adjustments have been made to consolidate the burden for the regulation
being incorporated into the Microbial Rules ICR. These adjustments are discussed below and
summarized in Exhibit 11.


Burden associated with the ADWR. The final ADWR was promulgated October
19, 2009. ADWR burden is being incorporated into this programmatic ICR for
the first time. Note that the standalone ADWR ICR is currently scheduled to
expire on February 28, 2013. However, once this Microbial Rules ICR is
approved, the standalone ADWR ICR will be cancelled.

Microbial Rules ICR

July 2012

Exhibit 11
Restructuring Adjustments to the Annual Burden
Inventory for the Microbial Rules ICR
(Includes PWS, Air Carrier and Primacy Agency Burden)
Action

Annual Burden Hours

Brief Explanation

10,669,916

Inventory for the 2008 Microbial Rules ICR carried forward as the
baseline for 2012 Microbial Rules ICR (includes PWS, State, and EPA
burden). Current opening inventory for the 2012 Microbial Rules ICR.

Add

17,583

This represents the current ADWR burden inventory. This inventory is
being moved from the ADWR ICR (OMB 2040–0277) into the 2012
Microbial Rules ICR.

Total

10,687,499

Microbial Rules ICR inventory based on current burden inventories.

N/A

Note: Detail may not add exactly to totals due to rounding.

6(f)(ii) Other Burden Adjustments
Changes in calculated burden are a result of updating relevant baseline information for
each rule with the most current and accurate information available (e.g., PWS inventories) and
updating to 2010 labor rates. Where appropriate, estimated violation, waiver, and other
associated rates have also been updated to reflect current information on rule compliance.
Burden also may have changed as a result of consultation with water industry representatives and
due to changes in rule requirements.
Additional changes were made to the burden for the SWTR. The number of systems
incurring burden for combined filter effluent turbidity monitoring was modified from the 2008
ICR to include all filtered surface water systems that do not purchase water, in order to be
consistent with the rule. The SWTR requires all surface water systems that provide filtration to
monitor representative samples of filtered water. When the standalone ICRs for the IESWTR
and LT1ESWTR were consolidated into the Microbial Rules ICR, systems that provide
conventional or direct filtration (the majority of filtered systems) were mistakenly excluded.
Other burden adjustments were made for the GWR. The sanitary survey burden was updated to
include the full rather than incremental burden of conducting surveys.

Exhibits 12-14 summarize reasons for these changes and quantify the changes by rule.
Burden adjustments associated with PWS activities resulted in a burden increase of 1,813,482
hours and are detailed in Exhibit 12. Burden adjustments associated with air carrier activities
resulted in a burden increase of 17,504 hours and are detailed in Exhibit 13. Burden adjustments
for primacy agencies result in an increase of 411,929 hours per year, as shown in Exhibit 14.

Microbial Rules ICR

July 2012

Exhibit 12
Adjustments to PWS Burden from Previous ICR Estimates

Activity

SWTR

Previous
Annual
Burden
Estimate
(hours) 20082011

776,724

2012-2015
Annual
Burden
Estimate

1,783,619

Change in
Burden

1,006,895

Reason for Change in Burden
The change in burden is attributable to the use of
updated system inventories and plant per system ratios,
as well as a change in the universe of systems addressed
in the rule. The number of systems incurring burden for
turbidity monitoring was changed to include all filtered
surface water systems that do not purchase water.
Previously, systems with conventional or direct
filtration were excluded.

TCR

3,464,341

3,508,253

43,912

IESWTR

3,875,847

4,280,585

404,738

The change in burden results from updated system
inventories. Additionally, coliform violation rates used
to estimate repeat and additional monitoring burden
have been updated based on SDWIS data from the
FY10Q03 frozen database.
The change in burden is attributable to the use of
updated system inventories, plant per system ratios, and
percentages of systems using conventional and direct
filtration.
Existing PWSs should have completed requirements
associated with changing the recycle return location no
later than 2006. New PWSs will design their plants to
meet the return location requirements. The burden going
forward is expected to be negligible.

FBRR

LT1ESWTR

162,290

138,391

(23,899)

LT2ESWTR

66,406

43,039

(23,367)

176,399
8,522,007

581,601
10,335,489

405,202
1,813,482

GWR
TOTAL

The change in burden results from updated system
inventories.
The change in burden results from updated system
inventories and plant per system ratios, and it reflects
the change in rule requirements. Systems completed
monitoring activities in the previous ICR period and
will begin technology reporting in this ICR period.
Additionally, E. coli system sample analysis burden was
increased in response to consultations.
The change in burden results from updated system
inventories and plant per system ratios. Also, the
previous ICR only included 2 years of GWR burden, as
the GWR burden was only incorporated into the
Microbial Rules ICR following the expiration of the
standalone ICR. During this ICR period, systems will
continue to add 4-log disinfection and conduct
compliance monitoring to comply with the GWR. The
number of systems conducting compliance monitoring
increases each year post-GWR promulgation as more
systems install 4-log disinfection. Therefore, the
number of systems conducting compliance monitoring
during this ICR period is higher than during the last ICR
period. Lastly, sanitary survey burden was updated to
include the full rather than incremental burden of
conducting surveys.
Adjusted PWS Burden.

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

Microbial Rules ICR

July 2012

Exhibit 13
Adjustments to Air Carrier Burden from Previous ICR Estimates

Activity

Previous Annual
Burden Estimate
(hours) 2008-2011

Annual
Burden
Estimate

ADWR

17,583

35,087

TOTAL

17,583

35,087

Change in
Burden

Reason for Change in Burden

This represents the current ADWR annual air carrier burden
estimate. This burden is being moved from the ADWR ICR
(OMB 2040-0277) into the 2012 Microbial Rules ICR. The 20122015 burden estimate reflects changes in rule requirements. Air
carriers have completed implementation and will begin
monitoring, disinfection and flushing, self-inspections, and
17,504 public notice activities in this ICR period.
17,504 Adjusted Air Carrier Burden

Exhibit 14
Adjustments to Primacy Agency Burden from Previous ICR Estimates

Activity

Previous
Annual
Burden
Estimate
(hours) 20082011

2012-2015
Annual
Burden
Estimate

Change in
Burden

SWTR

183,216

266,889

83,673

TCR

591,019

458,937

(132,082)

IESWTR

897,456

947,908

50,452

LT1ESWTR

141,732

119,237

(22,495)

LT2ESWTR

43,844

28,642

(15,202)

290,642
2,147,909

738,226
2,559,838

447,584
411,929

FBRR

GWR
TOTAL

Reason for Change in Burden
The change in burden is attributable to the use of updated
system inventories and plant per system ratios, as well as a
change in the universe of systems addressed in the rule. (The
state burden is based on the system burden).
The change in burden results from updated system
inventories. (The state burden is based on the number of
systems complying with the rule). Additionally, sanitary
survey burden has been moved and is now addressed under
the GWR.
The change in burden is attributable to the use of updated
system inventories, plant per system ratios, and percentages
of systems using conventional and direct filtration. (The state
burden is based on the number of systems complying with the
rule).
States have completed the review and recordkeeping
associated with the FBRR. The burden going forward is
expected to be negligible.
The change in burden results from updated system
inventories. (The state burden is based on the system burden).
The change in burden results from updated system inventories
and plant per system ratios, and it reflects the change in rule
requirements. Systems completed monitoring activities in the
previous ICR period and will begin technology reporting in
this ICR period, and states will be overseeing this activity.
The change in burden results from updated system inventories
and plant per system ratios (state burden for some rule
components is based on the number of systems complying
with the rule). Also, the previous ICR included only 2 years
of GWR burden, as the GWR burden was only incorporated
into the Microbial Rules ICR following the expiration of the
standalone ICR. Lastly, sanitary survey burden was updated
to include the full rather than incremental burden of
conducting surveys.
Adjusted Primacy Agency Burden

Note: Detail may not add exactly to totals due to rounding.

Microbial Rules ICR

July 2012

Exhibit 15 shows the effects of these adjustments on the bottom line burden. Adding
1,813,482 hours to account for adjustments to PWS burden, adding 17,504 hours to account for
adjustments to air carrier burden and adding 411,929 hours to account for adjustments to
primacy agency burden yields 12,930,414 hours.
Exhibit 15
Adjustments to Annual Burden Carried Forward from Previous ICR Estimates
(Includes PWS, Air Carrier and Primacy Agency Burden)
Action

Annual Burden Hours

None

10,687,499

Add

1,813,482

Add

17,504

Brief Explanation
2008 Microbial Rules ICR inventory based on current burden inventories
(see Exhibit 11).
Adjustment to the PWS burden carried forward from previous ICRs (see
Exhibit 12).
Adjustment to Air Carrier burden carried forward from standalone ICR
(see Exhibit 13)

Add

411,929

Adjustment to the primacy agency burden carried forward from previous
ICRs (see Exhibit 14).

Total

12,930,414

Hours requested in 2012 Microbial Rules ICR (see Exhibit 10).

Note: Detail may not add exactly to totals due to rounding.

6(g)

Burden Statement

The public reporting burden for collections included in this ICR is detailed in Exhibit 15
above. The annual respondent burden is estimated to average approximately 12.93 million
hours, of which 10.34 million hours are attributable to PWSs, 0.035 million hours to air carriers
and 2.56 million hours to primacy agencies (numbers may not add due to rounding). These
estimates include time for gathering information as well as developing and maintaining records.
Burden means the total time, effort, or financial resources expended by people to
generate, maintain, retain, disclose, or provide information to or for a federal agency. This
includes the time needed to review instructions; develop, acquire, install, and utilize technology,
and systems for the purposes of collecting, validating, and verifying information; processing and
maintaining information and disclosing and providing information; adjust the existing ways to
comply with any previously applicable instructions and requirements; train personnel to be able
to respond to a collection of information; search data sources; complete and review the collection
of information; and transmit or otherwise disclose the information. An agency may not conduct
or sponsor, and a person is not required to respond to, a request for information collection unless
it displays a currently valid OMB control number. The OMB control numbers for EPA’s
regulations are listed in 40 CFR part 9 and 48 CFR part 15.
To comment on the Agency’s need for this information, the accuracy of the provided
burden estimates, and any suggested methods for minimizing respondent burden, including the
use of automated collection techniques, EPA has established a public docket for this ICR under
Docket ID Number EPA-HQ-OW-2011-0442, which is available for online viewing at
www.regulations.gov, or in person viewing at the Water Docket in the EPA Docket Center
(EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA
65

Microbial Rules ICR

July 2012

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) 5661744, and the telephone number for the Water Docket is (202) 566-2426. An electronic version
of the public docket is available at www.regulations.gov. This site can be used to submit or view
public comments, to access the index listing of the contents of the public docket, and to access
those documents in the public docket that are available electronically. When in the system,
select “search,” then key in the Docket ID Number identified above. Comments can also be sent
to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725
17th Street, NW, Washington, DC 20503, Attention: Desk Officer for EPA. Please include the
EPA Docket ID Number (EPA-HQ-OW-2011-0442) and the OMB Control Number 2040-0205
in any correspondence.

File Type	application/pdf
File Title	Microsoft Word - Microbials ICR_Text_07-06-12_Master.docx
Author	clare.stankwitz
File Modified	2012-07-25
File Created	2012-07-05