i
TABLE
OF
CONTENTS
1
IDENTIFICATION
OF
THE
INFORMATION
COLLECTION
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1
1(
a)
Title
and
Number
of
the
Information
Collection
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1
1(
b)
Short
Characterization
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1
2
NEED
FOR
AND
USE
OF
THE
COLLECTION
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3
2(
a)
Need/
Authority
for
the
Collection
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3
2(
b)
Use/
Users
of
the
Data
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9
3
NON­
DUPLICATION,
CONSULTATIONS,
AND
OTHER
COLLECTION
CRITERIA
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11
3(
a)
Non­
duplication
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11
3(
b)
Public
Notice
Required
Prior
to
ICR
Submission
to
OMB
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11
3(
c)
Consultations
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11
3(
d)
Effects
of
Less
Frequent
Collection
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13
3(
e)
General
Guidelines
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14
3(
f)
Confidentiality
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14
3(
g)
Sensitive
Questions
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14
4
RESPONDENTS
AND
INFORMATION
REQUESTED
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15
4(
a)
Respondents/
NAICS
Codes
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15
4(
b)
Information
Requested
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15
4(
b)(
i)
Data
Items
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15
4(
b)(
ii)
Respondent
Activities
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25
5
INFORMATION
COLLECTED
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AGENCY
ACTIVITIES,
COLLECTION
METHODOLOGY,
AND
INFORMATION
MANAGEMENT
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5(
a)
Agency
Activities
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33
5(
b)
Collection
Methodology
and
Management
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34
5(
c)
Small
Entity
Flexibility
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36
5(
d)
Collection
Schedule
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38
6
ESTIMATING
BURDEN
AND
COST
OF
COLLECTION
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39
6(
a)
Respondent
Burden
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6(
a)(
i)
Burden
to
Public
Water
Systems
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39
6(
a)(
ii)
Burden
to
Primacy
Agencies
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44
6(
b)
Respondent
Costs
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50
6(
b)(
i)
Cost
to
Public
Water
Systems
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50
6(
b)(
ii)
Cost
to
Primacy
Agencies
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51
6(
c)
Agency
Burden
and
Costs
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51
6(
d)
Estimating
Respondent
Universe
and
Total
Burden
and
Costs
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52
6(
e)
Bottom
Line
Burden
Hours
and
Costs
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53
6(
f)
Reasons
for
Change
in
Burden
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55
6(
f)(
i)
Burden
Changes
Approved
by
OMB
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56
ii
6(
f)(
ii)
Incorporation
of
Stand­
alone
ICRs
into
the
PWSS
Program
ICR
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56
6(
f)(
iii)
Adjustments
to
Account
for
Changes
in
the
Definition
of
a
PWS
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57
6(
f)(
iv)
Additional
Program
Adjustments
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58
6(
g)
Burden
Statement
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61
iii
APPENDICES
Appendix
A.
Federal
Register
Notice
Soliciting
Comment
on
Information
Collection
Requests
Appendix
B.
Consumer
Confidence
Rule
Spreadsheets
Appendix
C.
Capacity
Development
Spreadsheets
Appendix
D.
State
Workload
Burden
and
Costs
Spreadsheets
Appendix
E.
Public
Notification
Spreadsheets
Appendix
F.
Operator
Certification
Spreadsheets
Appendix
G.
Tribal
Operator
Certification
Spreadsheets
Appendix
H.
Constructed
Conveyance
Spreadsheets
iv
LIST
OF
EXHIBITS
Exhibit
1:
Structure
of
OGWDW
ICRs
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5
Exhibit
2:
PWS
Recordkeeping
and
Reporting
Requirements
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16
Exhibit
3:
Primacy
Agency
Recordkeeping
and
Reporting
Requirements
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19
Exhibit
4:
PWSS
Program
Requirements
for
EPA
Regions
and
Headquarters
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33
Exhibit
5:
Annual
PWS
Burden
and
Cost,
2005­
2007
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49
Exhibit
6:
Annual
State
Burden
and
Cost,
2005­
2007
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50
Exhibit
7:
Bottom
Line
Annual
Burden
and
Cost,
2005­
2007
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54
Exhibit
8:
Reasons
for
Change
in
Annual
Burden
(
Includes
both
PWS
and
Primacy
Agency
Burden)
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55
Exhibit
9:
Changes
to
the
Burden
Inventory
for
the
PWSS
Program
ICR
(
Includes
both
PWS
and
Primacy
Agency
Burden)
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56
Exhibit
10:
Incorporation
of
Stand­
Alone
ICRs
(
Includes
both
PWS
and
Primacy
Agency
Burden)
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57
Exhibit
11:
Adjustments
for
Changes
in
PWS
Definition
(
Includes
both
PWS
and
Primacy
Agency
Burden)
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57
Exhibit
12:
Adjustments
to
PWS
Burden
from
Previous
ICR
Estimates
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59
Exhibit
13:
Adjustments
to
Primacy
Agency
Burden
from
Previous
ICRs
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60
Exhibit
14:
Adjustments
to
Activities
Carried
Forward
from
Previous
ICRs
(
Includes
both
PWS
and
Primacy
Agency
Burden)
.
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61
LIST
OF
FIGURES
Figure
1:
Structure
of
OGWDW
ICRs
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4
v
ACRONYMS
BLS
Bureau
of
Labor
Statistics
CCR
Consumer
Confidence
Report
CDC
Centers
for
Disease
Control
and
Prevention
CFR
Code
of
Federal
Regulations
CWS
Community
Water
System
DBPR
Disinfectants
and
Disinfection
Byproducts
Rule
DDBP/
Chem/
Rads
Disinfectants
and
Disinfection
Byproducts,
Chemical,
and
Radionuclides
DWIG
TSA
Drinking
Water
Infrastructure
Grant
Tribal
Set
Aside
DWSRF
Drinking
Water
State
Revolving
Fund
EPA
Environmental
Protection
Agency
FBRR
Filter
Backwash
Recycling
Rule
FOIA
Freedom
of
Information
Act
FR
Federal
Register
FTE
Full
Time
Equivalent
FY
Fiscal
Year
GWR
Ground
Water
Rule
ICR
Information
Collection
Request
ICW
Information
Correction
Worksheet
IOC
Inorganic
Chemical
IESWTR
Interim
Enhanced
Surface
Water
Treatment
Rule
LCR
Lead
and
Copper
Rule
LT1ESWTR
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
LT2ESWTR
Long
Term
2
Enhanced
Surface
Water
Treatment
Rule
MCL
Maximum
Contaminant
Level
MCLG
Maximum
Contaminant
Level
Goal
MRDL
Maximum
Residual
Disinfection
Level
MRDLG
Maximum
Residual
Disinfection
Level
Goal
NAICS
North
American
Industry
Classification
System
NAWA
Native
American
Water
Association
NCWS
Noncommunity
Water
System
NDWAC
National
Drinking
Water
Advisory
Council
NPDWR
National
Primary
Drinking
Water
Regulation
NTEC
National
Tribal
Environmental
Council
NTNCWS
Nontransient
Noncommunity
Water
System
O&
M
Operation
and
Maintenance
OGWDW
Office
of
Ground
Water
and
Drinking
Water
OMB
Office
of
Management
and
Budget
PC&
B
Personnel
Compensation
and
Benefits
PN
Public
Notification
PRA
Paperwork
Reduction
Act
PWS
Public
Water
System
PWSS
Public
Water
System
Supervision
SBREFA
Small
Business
Regulatory
Enforcement
Fairness
Act
SDWA
Safe
Drinking
Water
Act
vi
SDWIS
Safe
Drinking
Water
Information
System
SIC
Standard
Industrial
Classification
SNC
Significant
Noncompliance
SOC
Synthetic
Organic
Chemical
SWAP
Source
Water
Assessment
Program
SWTR
Surface
Water
Treatment
Rule
TCR
Total
Coliform
Rule
TNCWS
Transient
Noncommunity
Water
System
TTHM
Total
Trihalomethane
VOC
Volatile
Organic
Chemical
UIC
Underground
Injection
Program
UCMR
Unregulated
Contaminant
Monitoring
Rule
V/
E
Variance
and
Exemption
PWSS
Program
ICR
August
2004
1
Throughout
this
document,
the
terms
"
state"
or
"
states"
are
used
to
refer
to
all
types
of
primacy
agencies.
There
are
currently
57
primacy
entities,
including
the
50
states,
the
District
of
Columbia,
U.
S.
territories
(
Puerto
Rico,
U.
S.
Virgin
Islands,
Guam,
American
Samoa,
and
Northern
Marianas),
and
the
Navajo
Nation.
Though
Wyoming
and
the
District
of
Columbia
do
not
have
primacy,
the
EPA
burden
for
these
activities
is
counted
as
primacy
agency
burden.

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

1
1
IDENTIFICATION
OF
THE
INFORMATION
COLLECTION
1(
a)
Title
and
Number
of
the
Information
Collection
Title:
Public
Water
System
Supervision
Program
OMB
Control
Number:
2040­
0090
EPA
Tracking
Number:
0270.42
1(
b)
Short
Characterization
The
Office
of
Ground
Water
and
Drinking
Water
(
OGWDW)
in
the
Office
of
Water
at
the
United
States
Environmental
Protection
Agency
(
EPA
or
the
Agency)
is
responsible
for
managing
the
Public
Water
System
Supervision
(
PWSS)
Program,
a
national
program
mandated
by
the
Safe
Drinking
Water
Act
(
SDWA).
Section
1412
of
the
SDWA
requires
EPA
to
establish
National
Primary
Drinking
Water
Regulations
(
NPDWRs)
for
contaminants
that
may
adversely
impact
human
health.
The
Act
further
requires
EPA
to
monitor
and
enforce
these
regulations
to
ensure
that
the
nation's
drinking
water
dependably
complies
with
the
maximum
contaminant
levels
(
MCLs)
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
PWSS
Program,
the
OGWDW
uses
the
Safe
Drinking
Water
Information
System
(
SDWIS)
2
to
record
some
of
the
data
collected
as
a
result
of
NPDWR
requirements.
SDWIS
is
a
database
management
system
that
assists
EPA
in
tracking
and
interpreting
monitoring
data
and
other
program­
related
data.
These
data
assist
EPA
in
fulfilling
its
SDWA
obligations.

This
Information
Collection
Request
(
ICR)
was
prepared
in
accordance
with
the
February
1999
version
of
EPA's
Guide
to
Writing
Information
Collection
Requests
Under
the
Paperwork
Reduction
Act
(
PRA)
of
1995
(
or
"
ICR
Handbook")
prepared
by
EPA's
Office
of
Environmental
Information,
Office
of
Information
Collection,
Collection
Strategies
Division.
The
ICR
Handbook
provides
the
most
current
instructions
for
ICR
preparation
to
ensure
compliance
with
PWSS
Program
ICR
August
2004
2
the
1995
PRA
amendments
and
Office
of
Management
and
Budget's
(
OMB's)
implementing
guidelines.

Many
information
collection
requirements
associated
with
the
SDWA
and
its
implementing
regulations
are
associated
with
rulemakings
that
address
specific
contaminants
or
groups
of
contaminants.
This
ICR
examines
PWS,
primacy
agency,
and
EPA
burden
and
costs
for
"
cross­
cutting"
recordkeeping
and
reporting
requirements
(
i.
e.,
the
burden
and
costs
for
complying
with
drinking
water
information
requirements
that
are
not
associated
with
contaminant­
specific
rulemakings).
These
activities
include
the
following
 
1)
Consumer
Confidence
Reports
(
CCRs)
2)
Primacy
Regulation
Activities
3)
Variance
and
Exemption
Rule
(
V/
E
Rule)
4)
Capacity
Development
Program
5)
General
State
Primacy
Activities
6)
Public
Notification
(
PN)
7)
Operator
Certification
and
Expense
Reimbursement
Grants
Program
8)
Tribal
Operator
Certification
Program
9)
Constructed
Conveyances
This
ICR
updates
the
burden
and
cost
estimates
provided
in
the
2001
PWSS
Program
ICR
(
dated
November
28,
2001),
which
expires
on
November
30,
2004.
The
ICR
estimates
costs
for
years
2005,
2006,
and
2007.

The
total
annual
respondent
burden
associated
with
this
ICR
is
estimated
to
be
approximately
3.22
million
hours
per
year.
The
total
annual
respondent
costs
associated
with
this
ICR
is
estimated
to
be
approximately
$
116.5
million.
The
distribution
of
annual
burden
between
PWSs
and
primacy
agencies
is
approximately
2.00
million
hours
and
1.23
million
hours,
respectively.
The
distribution
of
annual
costs
between
PWSs
and
primacy
agencies
is
approximately
$
73.1
million
and
$
43.3
million,
respectively.

The
approximate
annual
operation
and
maintenance
(
O&
M)
costs
are
$
19.7
million
($
19.2
million
for
PWSs
and
$
0.5
million
for
EPA).
This
represents
the
"
cost
burden"
as
reported
in
the
OMB
inventory.
Note
that
these
costs
are
for
O&
M
only;
there
are
no
capital
costs
associated
with
the
activities
covered
by
this
ICR.

The
annual
Agency
burden
for
this
ICR
totals
0.54
million
hours,
at
a
cost
of
approximately
$
24.6
million;
0.09
million
hours
(
approximately
$
5.7
million)
is
for
Headquarters
activities
and
0.45
million
hours
(
approximately
$
18.9
million)
is
for
EPA
Regional
office
activities.

The
total
number
of
respondents
for
this
ICR
is
161,682;
57
of
these
respondents
are
primacy
agencies
and
the
balance
are
existing
or
new
PWSs
(
161,217
existing
PWSs
and
408
new
PWSs).
The
total
annual
number
of
responses
for
these
respondents
is
499,506
(
499,449
for
PWSs
and
57
for
primacy
agencies).
PWSS
Program
ICR
August
2004
3
2
NEED
FOR
AND
USE
OF
THE
COLLECTION
2(
a)
Need/
Authority
for
the
Collection
This
section
identifies
the
regulatory
or
statutory
authority
for
the
information
collection
activities
covered
in
this
ICR
and
describes
why
EPA
needs
the
information.
Section
4
of
the
ICR
contains
a
summary
of
the
PWSS
Program
recordkeeping
and
reporting
requirements
covered
by
this
ICR.

To
allow
the
public
to
better
understand
the
impact
of
the
recordkeeping
and
reporting
requirements
stemming
from
the
SDWA
and
40
CFR
Parts
141
and
142,
OGWDW
has
organized
its
ICRs
so
that
related
activities
are
addressed
in
the
same
ICR.
Specifically,
there
are
three
primary
ICRs
 
the
Microbial
Rules
ICR,
the
Disinfectants/
Disinfection
Byproducts,
Chemical
and
Radionuclides
Rules
(
DDBP/
Chem/
Rads
Rules)
ICR,
and
the
Public
Water
System
Supervision
(
PWSS)
Program
ICR.
The
Microbial
Rules
ICR
includes
rules
addressing
microbial
contaminants,
such
as
the
Total
Coliform
Rule
(
TCR),
Surface
Water
Treatment
Rule
(
SWTR),
and
the
Filter
Backwash
Recycling
Rule
(
FBRR).
The
DDBP/
Chem/
Rads
Rules
ICR
includes
rules
addressing
chemical
contaminants
such
as
the
Stage
1
Disinfectant/
Disinfection
Byproduct
Rule
(
Stage
1
DBPR),
the
Arsenic
Rule,
and
the
Lead
and
Copper
Rule
(
LCR).
The
PWSS
Program
ICR
includes
public
notification
and
rules
addressing
cross­
cutting
requirements
that
are
not
associated
with
contaminant­
specific
rule.
The
specific
regulations
and
programs
addressed
in
this
ICR
are
 
1)
Consumer
Confidence
Reports
2)
Primacy
Regulation
Activities
(
requirements
for
states
to
adopt
administrative
penalty
order
provisions,
if
so
allowed
by
their
constitutions)
3)
Variance
and
Exemption
Rule
4)
Capacity
Development
Program
5)
General
State
Primacy
Activities
6)
Public
Notification
7)
Operator
Certification
and
Expense
Reimbursement
Grants
Program
8)
Tribal
Operator
Certification
Program
9)
Constructed
Conveyances
As
EPA
publishes
new
regulations,
they
will
amend
the
appropriate
ICR
to
include
the
new
rules.
Also,
burden
associated
with
the
Laboratory
Quality
Assurance
Evaluation
Program
for
Analysis
of
Cryptosporidium
under
the
Safe
Drinking
Water
Act
will
be
included
as
a
general
State
Primacy
Activity
(
when
the
associated
lab
QA
ICR
expires
on
October
31,
2005).

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.
PWSS
Program
ICR
August
2004
4
Green
=
Activities
remain
as
in
current
ICR
Blue
=
Activities
moving
out
of
standalone
ICRs
Purple
=
Future
amendments
that
will
be
added
upon
expiration
of
the
initial
standalone
ICRs
Red
=
New
Activities
Figure
1.
Structure
of
OGWDW
ICRs
PWSS
Program
ICR
2040­
0090
DDBP/
Chem/
Rads
Rules
ICR
2040­
0204
Cap
Dev
V&
E's
Primacy
Reg
PN
CCRs
State
Primacy
Activities
Stage
1
TTHMs
Chems
LCR
'
76
Rads
'
00
Rads
IESWTR
SWTR
LT1
Lab
QA
2040­
0246
Microbial
Rules
ICR
2040­
0205
FBRR
TCR
GWR
Arsenic
Stage
2
UCMR
1
Radon
Needs
Survey
2040­
0251
DW
SRF
2040­
0185
SWAP
2040­
0197
Op
Cert
LT2
Bioterrorism
2040­
0253
Tribal
Op
Cert
UCMR
2
Class
V
Florida
Class
I
UIC
Program
Constructed
Conveyances
PWSS
Program
ICR
August
2004
3
Disinfectant
residual
monitoring
and
associated
activities
are
included
in
the
DDBP/
Chem/
Rads
Rules
ICR.

5
Exhibit
1
Structure
of
OGWDW
ICRs
Currently
covered
To
be
covered
in
the
future
PWSS
Program
ICR
(
2040­
0090)

Consumer
Confidence
Reports
(
CCRs)

Primacy
Regulation
Activities
Variances
&
Exemptions
The
Capacity
Development
Program
General
State
Primacy
Activities
Public
Notification
(
PN)

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

Surface
Water
Treatment
Rule,
except
disinfectant
residual
monitoring
and
associated
activities3
Long
Term
2
Enhanced
Surface
Water
Treatment
Rule
(
LT2ESWTR)

Total
Coliform
Rule
Ground
Water
Rule
Interim
Enhanced
Surface
Water
Treatment
Rule
(
IESWTR)

Filter
Backwash
Recycling
Rule
Long
Term
1
Enhanced
Surface
Water
Treatment
Rule
(
LT1ESWTR)

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

Stage
1
Disinfectants
and
Disinfection
Byproducts
Rule
Stage
2
DBPR
Disinfectant
Residual
Monitoring
and
Associated
Activities
under
the
SWTR
Radon
Total
Trihalomethanes
Rule
Unregulated
Contaminant
Monitoring
Rule
Chemical
Phase
Rules
2000
Radionuclides
Rule
PWSS
Program
ICR
August
2004
Currently
covered
To
be
covered
in
the
future
4
The
dates
of
the
technical
corrections
were
December
28,
1998
(
63
FR
71375),
June
29,
1999
(
64
FR
34732),
and
September
14,
1999
(
64
FR
49671).
Rule­
specific
modifications
include
the
following:
Radionuclides
Rule
(
65
FR
76707;
December
7,
2000);
Public
Notification
Rule
(
65
FR
25981;
May
4,
2000);
Stage
1
Disinfectant
and
Disinfection
Byproducts
Rule
(
63
FR
69475;
December
16,
1998),
and
Interim
Enhanced
Surface
Water
Treatment
Rule
(
63
FR
69516;
December
16,
1998).
In
addition,
as
other
drinking
water
rules
are
promulgated
violations
of
their
standards
will
also
be
required
to
be
reported
in
CCRs.

6
1976
Radionuclides
Rule
Unregulated
Contaminant
Monitoring
Rule
(
List
2)

Arsenic
Rule
Lead
and
Copper
Rule
Source
Water
Assessment
Program
(
SWAP)
ICR
(
2040­
0197)

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

UIC
Base
Program
Activities
Florida
Class
I
Rule
Class
V
Rule
Drinking
Water
State
Revolving
Fund
(
DWSRF)
Program
ICR
(
2040­
0185)

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

2003
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
CWSs
1)
Consumer
Confidence
Reports
Section
114
of
the
1996
SDWA
amends
Section
1414(
c)
of
the
Act.
The
amendments
require
community
water
systems
(
CWSs)
to
distribute
CCRs
to
their
customers
annually.
EPA
wrote
regulations
under
Subpart
O
of
40
CFR
Part
141
to
implement
this
provision.

The
initial
Federal
Register
(
FR)
notice
containing
CCR
requirements
was
published
on
August
19,
1998
(
63
FR
44512).
These
initial
requirements
have
been
modified
by
three
technical
amendments
or
other
rule­
specific
notices.
4
However,
these
amendments
are
assumed
to
have
no
affect
on
the
underlying
burden.
PWSS
Program
ICR
August
2004
7
EPA
developed
the
CCR
regulations
to
satisfy
the
SDWA
requirement,
in
consultation
with
CWSs,
environmental
groups,
public
interest
groups,
risk
communication
experts,
states,
and
other
interested
parties.

2)
Primacy
Regulation
Activities
The
1996
Amendments
to
SDWA
require
that
primacy
agencies,
unless
prohibited
by
their
constitutions,
have
the
authority
to
impose
administrative
penalties
on
PWSs
in
violation
of
the
SDWA.
EPA
is
collecting
information
from
each
state
that
wishes
to
obtain
or
retain
primacy
to
determine
whether
the
state's
administrative
penalty
provisions
meet
the
requirements
of
the
SDWA.
This
information
collection
is
authorized
under
the
SDWA
and
40
CFR
142.11(
a)(
6)
and
(
7),
as
amended
by
the
Revisions
to
State
Primacy
Requirements
to
Implement
Federal
Drinking
Water
Regulations,
and
40
CFR
142.12(
a)
and
(
c).
It
will
be
conducted
by
EPA
Regional
Offices
in
consultation
with
OGWDW,
the
Office
of
Regulatory
Enforcement,
and,
in
some
instances,
the
Office
of
General
Counsel.
Specifically,
EPA
needs
this
information
to
determine
whether
states
meet
the
administrative
penalty
authority
requirements
in
order
to
obtain
and/
or
retain
primacy
for
the
PWSS
program.

3)
Variance
&
Exemption
Rule
The
1996
SDWA
Amendments
established
criteria
under
which
PWSs,
especially
those
serving
10,000
or
fewer
people,
could
apply
for
a
variance
or
exemption.
Variances
allow
eligible
systems
to
provide
drinking
water
that
does
not
comply
with
a
National
Primary
Drinking
Water
Regulation
(
NPDWR)
on
the
condition
that
the
quality
of
the
drinking
water
is
still
protective
of
public
health.
There
are
two
types
of
variances:
General
variances
are
intended
for
systems
that
are
not
able
to
comply
with
a
NPDWR
due
to
the
quality
of
the
source
water;
small
system
variances
are
intended
for
systems
serving
3,300
persons
or
fewer
that
cannot
afford
to
comply
with
a
NPDWR
(
but
may
be
allowed
for
systems
serving
up
to
10,000
persons).
Small
system
variances
are
only
allowed
if
EPA
designates
a
Small
System
Variance
Technology.
The
information
required
of
PWSs
seeking
general
variances,
small
system
variances
or
exemptions
is
needed
to
determine
if
the
system
satisfies
SDWA
conditions
for
variances
or
exemptions.

4)
Capacity
Development
Program
Through
the
1996
SDWA
Amendments,
Congress
conveyed
the
importance
of
efforts
to
ensure
that
PWSs
maintain
the
technical,
managerial,
and
financial
capacity
to
comply
with
the
requirements
of
the
SDWA.
To
underscore
the
importance
of
capacity
development,
it
was
linked
to
the
Drinking
Water
State
Revolving
Fund
(
DWSRF)
through
a
withholding
of
20
percent
of
the
funds
to
which
a
state
is
otherwise
entitled
if
its
program
does
not
meet
the
requirements
of
EPA's
guidelines.

The
capacity
development
provisions
in
the
1996
SDWA
Amendments
offer
a
framework
within
which
states
and
water
systems
can
work
together
to
ensure
that
systems
are
capable
of
achieving
the
public
health
protection
objectives
set
forth
in
the
SDWA.
Section
1420(
a)
of
the
SDWA
explains
that
a
state
"
shall
receive
only
80
percent
of
the
allotment
that
the
state
is
otherwise
entitled
to
receive
under
Section
1452
(
relating
to
state
loan
funds)
unless
the
state
has
PWSS
Program
ICR
August
2004
8
obtained
the
legal
authority
or
other
means
to
ensure
that
all
new
community
water
systems
and
new
nontransient,
noncommunity
water
systems
commencing
operation
after
October
1,
1999,
demonstrate
technical,
managerial,
and
financial
capacity
with
respect
to
each
national
primary
drinking
water
regulation
in
effect,
or
likely
to
be
in
effect,
on
the
date
of
commencement
of
operations."
In
addition,
according
to
Section
1420(
c),
states
will
incur
a
graduated
withholding,
beginning
with
10
percent
in
fiscal
year
2001,
15
percent
in
fiscal
year
2002,
and
20
percent
in
all
subsequent
fiscal
years,
if
they
do
not
develop
and
implement
a
strategy
to
assist
all
PWSs
in
acquiring
and
maintaining
capacity.

5)
General
State
Primacy
Activities
To
implement
its
compliance
oversight
and
enforcement
responsibilities
under
the
SDWA,
EPA
requires
primacy
agencies
to
report
a
specified
subset
of
PWS
monitoring
and
related
information
in
SDWIS.
Additionally,
primacy
agencies
must
maintain
records
of
analysis
results
and
other
related
activities
(
e.
g.,
sanitary
survey
results).
Without
comprehensive,
up­
to­
date
information
on
drinking
water
contamination
(
as
provided
by
SDWIS),
EPA
would
not
be
able
to
ensure
"
a
supply
of
drinking
water
which
dependably
complies
with
such
maximum
contaminant
levels"
(
SDWA
Section
1401(
1)(
d)).
If
these
reporting
requirements
were
voluntary,
EPA
would
not
receive
timely,
comprehensive
data
on
contaminant
levels
and
associated
acute
and
long­
term
public
health
risks.
Specifically,
voluntary
monitoring
would
not
 
1)
Reliably
occur
with
sufficient
frequency.
2)
Follow
uniform
national
standards
on
quality
of
sampling,
collection,
and
analysis.
3)
Ensure
that
monitoring
addresses
all
contaminants
listed
in
the
regulations.

Without
the
information
collected
in
this
ICR,
EPA
would
not
be
able
to
protect
the
nation's
drinking
water.

6)
Public
Notification
Section
114
of
the
1996
SDWA
Amendments
required
the
EPA
Administrator
to
develop
and
issue
new
regulations
for
public
notification
of
PWS
failure
to
comply
with
applicable
national
drinking
water
standards.
Regulations
mandating
the
form,
manner,
frequency,
and
content
of
public
notification
are
codified
under
40
CFR
Part
141,
Subpart
Q.
Sections
1414(
c)(
2)(
C)(
ii)
and
1414(
c)(
2)(
D)(
ii)
of
the
1996
Amendments
require
that
notices
must
provide
a
clear
and
understandable
explanation
of
the
violation,
the
potential
adverse
health
effects,
steps
that
the
system
is
taking
to
correct
the
violation,
and
necessity
of
seeking
alternative
water
supplies
until
the
violation
is
corrected.

7)
Operator
Certification
and
Expense
Reimbursement
Grants
Program
Through
the
1996
SDWA
Amendments,
Congress
conveyed
the
importance
of
properly
trained
operators
in
providing
safe
drinking
water
to
the
public.
To
underscore
the
importance
of
operator
certification,
the
program
was
linked
to
the
Drinking
Water
State
Revolving
Fund
(
DWSRF)
program
through
a
withholding
of
20
percent
of
the
funds
that
a
state
is
otherwise
entitled
to
if
its
program
does
not
meet
the
requirements
of
EPA's
Guidelines.
PWSS
Program
ICR
August
2004
9
8)
Tribal
Operator
Certification
Program
The
purpose
of
the
Tribal
Drinking
Water
Operator
Certification
Program
is
to
increase
public
health
protection
by
increasing
the
training
and
certification
opportunities
for
personnel
at
drinking
water
systems
in
Indian
Country.
The
program
guidelines
establish
seven
baseline
standards
for
the
program.
The
guidelines
also
list
requirements
for
organizations
that
wish
to
obtain
EPA
approval
for
their
certification
programs.

The
SDWA
directs
EPA
to
develop
guidelines
for
certification
of
operators
of
community
and
nontransient
noncommunity
public
water
systems
and
requires
EPA
to
withhold
certain
DWSRF
monies
unless
a
state
adopts
and
implements
an
operator
certification
program
that
meets
the
guidelines.
This
statutory
requirement
does
not
apply
to
Tribes.
While
there
are
certain
EPA
regulations
under
SDWA
that
require
qualified
operators
for
public
water
systems,
whether
located
in
Indian
Country
or
not
(
see
40
CFR
141.70(
c)
and
40
CFR
141.130(
c)),
this
Tribal
Drinking
Water
Operator
Certification
Program
for
systems
in
Indian
Country
is
voluntary.
However,
this
information
collection
is
driven
by
the
grant
eligibility
requirements
originally
outlined
in
the
Drinking
Water
Infrastructure
Grant
Tribal
Set­
Aside
Program
Final
Guidelines
(
published
in
October
1998)
and
the
Draft
Final
Tribal
Operator
Certification
Program
Guidelines
(
published
in
April
2004;
69
CFR
20874).

9)
Constructed
Conveyances
In
the
1996
Amendments
to
the
SDWA,
Section
1401(
4)
broadened
the
definition
of
"
public
water
system"
to
include
systems
that
provide
water
for
human
consumption
and
deliver
the
water
via
constructed
conveyances.
Prior
to
this
change,
PWSs
included
only
piped
water
systems.
This
new
definition
affects
the
reporting
and
recordkeeping
burdens
for
both
PWSs
and
states.

2(
b)
Use/
Users
of
the
Data
The
information
described
in
the
previous
sections
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,
the
SDWA
requires
that
the
information
be
provided
to
the
public
or
the
primacy
agency.
Primary
users
of
the
data
collected
under
this
ICR
are
OGWDW,
PWS
managers,
and
primacy
agencies,
which
include
state
regulators,
Indian
Tribes,
and,
in
some
instances,
EPA
Regional
Administrators.
Other
users
include
 
°
Staff
from
other
EPA
programs
(
such
as
Superfund,
the
Resource
Conservation
and
Recovery
Act,
and
the
Office
of
Enforcement
and
Compliance
Assurance)
°
Federal
Emergency
Management
Administration
°
Centers
for
Disease
Control
and
Prevention
(
CDC)
°
Military
bases
°
Farmers
Home
Administration
°
Department
of
Interior
°
Department
of
Housing
and
Urban
Development
PWSS
Program
ICR
August
2004
10
°
U.
S.
Army
Corps
of
Engineers
°
White
House
Task
Forces
°
American
Water
Works
Association
°
Association
of
Metropolitan
Water
Agencies
°
National
Rural
Water
Association
°
National
Association
of
Water
Companies
°
Association
of
State
Drinking
Water
Administrators
°
Natural
Resources
Defense
Council
°
Consumers
Federation
of
America
°
News
Organizations
°
Native
American
Water
Association
°
Association
of
American
Indian
Affairs
°
Inter­
tribal
Environmental
Council
°
National
Tribal
Environmental
Council
°
Other
intertribal
groups
PWSS
Program
ICR
August
2004
11
3
NON­
DUPLICATION,
CONSULTATIONS,
AND
OTHER
COLLECTION
CRITERIA
3(
a)
Non­
duplication
EPA
has
made
an
effort
to
ensure
that
the
data
collection
efforts
associated
with
this
ICR
are
not
duplicated.
EPA
has
consulted
state
environmental
programs,
other
Federal
agencies
(
such
as
the
CDC),
and
regulated
entities
(
such
as
PWSs
and
their
representative
trade
associations).
To
the
best
of
EPA's
knowledge,
data
currently
required
by
the
SDWA
(
and
its
implementing
regulations
codified
at
40
CFR
Parts
141
and
142)
are
not
available
from
any
other
source.

3(
b)
Public
Notice
Required
Prior
to
ICR
Submission
to
OMB
To
comply
with
the
1995
Amendments
to
the
PRA,
EPA
solicited
public
comment
on
this
ICR
for
a
60­
day
period
before
submittion
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
received
no
comments
during
the
60­
day
comment
period.
An
additional
Federal
Register
notice
will
be
published
prior
to
submission
of
this
ICR
to
OMB.
The
public
comment
period
for
this
additional
notice
is
30
days.

3(
c)
Consultations
Throughout
the
development
and
implementation
of
the
PWSS
Program,
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.
For
example,
a
National
Drinking
Water
Advisory
Council
(
NDWAC)
working
group
advised
EPA
on
the
development
of
the
Guidance
on
Implementing
the
Capacity
Development
Provisions
of
the
Safe
Drinking
Water
Act.
The
NDWAC
Small
Systems
Working
Group
consists
of
22
members
representing
small
PWSs,
environmental
and
public
health
advocacy
groups,
state
drinking
water
programs,
public
utility
commissions,
and
other
interest
groups.
The
group
convened
on
four
occasions
between
February
and
July
1997
to
develop
recommendations
on
how
EPA
should
implement
the
capacity
development
provisions.
The
Small
Systems
Working
Group
presented
its
recommendations
to
the
full
NDWAC,
which
in
turn
presented
these
recommendations
to
EPA.
The
working
group's
recommendations
on
the
content
and
format
of
the
resulting
guidance
were
considered
and
incorporated
by
EPA.
The
draft
guidance
was
published
in
the
Federal
Register.
After
a
60­
day
public
comment
period,
comments
were
PWSS
Program
ICR
August
2004
12
received
from
approximately
50
parties.
EPA
responded
to
these
comments
and
included
the
comments
and
responses,
as
appropriate,
in
an
appendix
to
the
final
guidance.

In
developing
the
Primacy
Regulation,
EPA
consulted
with
a
primacy
workgroup
consisting
of
EPA
Headquarters
and
Regional
representatives.
The
workgroup
participated
in
conference
calls
on
June
10,
1997,
August
26,
1997,
October
6,
1997,
and
November
24,
1997.
During
these
calls,
the
workgroup
discussed
the
necessity
for
and
the
extent
of
this
collection.
As
part
of
the
CCR
Rule
regulatory
development
process,
EPA
consulted
with
NDWAC
which
itself
received
comments
from
a
working
group
on
CCRs.
In
addition,
EPA
solicited
input
regarding
the
preparation
and
distribution
of
CCRs
from
a
variety
of
sources,
including
postal
offices
and
mailing
list
providers.

Burden
for
general
state
primacy
activities
was
estimated
using
the
State
Workload
Model,
which
is
documented
in
the
Resource
Analysis
Computer
Program
for
State
Drinking
Water
Agencies,
January
1993
(
as
updated
in
2001).
This
model
was
designed
to
estimate
the
resources
needed
to
fund
state
drinking
water
programs.
It
contains
a
comprehensive
list
of
activities
required
to
operate
a
drinking
water
program,
including
estimates
of
the
number
of
systems
impacted.

When
drafting
the
2000
PN
Rule,
EPA
solicited
from
a
variety
of
sources
input
regarding
the
preparation
and
distribution
of
public
notices.
States
were
involved
early
in
the
regulatory
development
process,
through
attendance
at
meetings
held
in
June
1997.
Representatives
of
primacy
agencies
were
included
in
the
PN
Rule
Working
Group
that
developed
the
regulatory
requirements.
Consultations
were
held
with
stakeholders,
drinking
water
primacy
agencies,
ASDWA,
and
private
firms
providing
information
dissemination
services.

The
Operator
Certification
Guidelines
are
the
result
of
a
thorough
stakeholder
consultation
process
under
which
EPA
utilized
the
combined
knowledge
and
expertise
of
two
work
groups.
The
State­
EPA
Work
Group
was
appointed
to
fulfill
EPA's
responsibility
under
section
1419(
a)
to
publish
guidelines
on
operator
certification
"
in
cooperation
with
states."
This
work
group
was
composed
of
seven
state
and
ten
EPA
representatives.
The
other
work
group,
the
Operator
Certification
Work
Group
of
the
National
Drinking
Water
Advisory
Council
(
NDWAC),
also
called
the
Partnership,
was
formed
to
provide
EPA
with
views
in
addition
to
those
of
states.
These
two
groups
met
several
times
and
provided
their
input
to
the
full
NDWAC,
which
in
turn
provided
recommendations
to
EPA.

The
draft
Guidelines
were
published
for
public
comment
in
the
Federal
Register
on
March
27,
1998.
During
the
90­
day
public
comment
period,
EPA
held
public
stakeholder
meetings
in
San
Francisco,
California;
Dallas,
Texas;
and
Washington,
DC,
to
brief
interested
parties
on
the
draft
Guidelines
and
to
accept
public
comments.
Ninety­
eight
parties
responded
to
EPA's
request
for
public
comment.
PWSS
Program
ICR
August
2004
13
In
August
1998,
both
work
groups
met
to
consider
the
public
comments
and
to
make
recommendations
for
finalizing
the
Guidelines
based
on
the
public
comments.
The
resulting
recommendations
were
forwarded
to
the
full
NDWAC
for
consideration.
In
November
1998,
the
NDWAC
formally
transmitted
its
recommendations
to
EPA.
The
Agency
made
changes
based
on
public
comment
and
on
the
recommendations
of
the
NDWAC.
These
Guidelines
set
the
minimum
baseline
standards
for
a
state
operator
certification
program
to
meet
the
provisions
of
the
1996
Amendments
to
the
SDWA.

Also
in
1998,
EPA
Headquarters
and
Regional
Offices
formed
a
workgroup
to
discuss
possible
approaches
for
developing
an
operator
certification
program
for
Indian
Country.
The
state
operator
certification
baseline
standards
were
presented
and
changes
were
made
to
reflect
special
considerations
for
a
program
in
Indian
Country.
These
modified
baseline
standards
were
presented
at
the
1998
Annual
Native
American
Water
Association
(
NAWA)
Conference,
and
comments
were
solicited.
Most
of
the
comment
received
at
the
meeting
were
positive.
The
consensus
was
that
such
a
program
would
be
useful
in
Indian
Country.

EPA
continued
with
several
additional
internal
reviews
and
presented
the
draft
program
guidelines
at
the
OGWDW
Tribal
Consultation
meeting
in
February
1999.
To
solicit
additional
comments,
EPA
presented
the
draft
program
guidelines
at
other
Tribal
meetings
such
as
the
1999
Annual
National
Tribal
Environmental
Council
(
NTEC)
Conference.
In
addition,
EPA
coordinated
with
other
Federal
agencies
and
sought
their
recommendations.
A
Notification
of
Availability
for
the
draft
guidelines
was
published
in
the
Federal
Register
on
March
30,
2000.
Copies
of
the
draft
guidelines
were
sent
for
comment
to
stakeholders
and
federally
recognized
Tribes
whose
drinking
water
programs
are
regulated
by
EPA.
All
comments
received
were
considered
as
the
final
guidelines
were
being
developed.
Due
to
various
delays
in
the
process
of
publishing
the
guidelines,
EPA
published
draft
final
guidelines
in
the
Federal
Register
on
April
19,
2004,
allowing
60
days
of
public
comment
in
order
to
ensure
that
the
public
is
aware
of
the
Tribal
Drinking
Water
Operator
Certification
Program.

3(
d)
Effects
of
Less
Frequent
Collection
EPA
has
considered
a
wide
range
of
alternatives
for
frequency
of
data
collection.
The
Primacy
Regulation
involves
only
one­
time
effort
by
the
states
who
wish
to
adopt
the
administrative
penalty
authority
necessary
in
order
to
obtain
or
retain
primacy.
The
CCR
Rule
and
Capacity
Development
Program
require
annual
reporting.
Distributing
CCRs
less
frequently
than
annually
is
not
allowed
under
the
SDWA.
Annual
reporting
of
capacity
development
information
is
essential
to
enable
EPA
to
make
withholding
determinations
on
each
fiscal
year's
funds.

For
other
information
collection
activities,
EPA
has
chosen
to
require
the
least
frequent
collection
that
remains
consistent
with
overall
public
health
preservation
objectives.
If
data
are
collected
less
frequently,
the
state
may
not
identify
in
a
timely
fashion
significant
contaminant
concentrations
which
might
threaten
the
health
and
safety
of
drinking
water
consumers.
PWSS
Program
ICR
August
2004
14
3(
e)
General
Guidelines
This
ICR
was
prepared
in
accordance
with
the
February
1999
version
of
EPA's
Guide
to
Writing
Information
Collection
Requests
Under
the
Paperwork
Reduction
Act
(
PRA)
of
1995
(
or
"
ICR
Handbook")
prepared
by
EPA's
Office
of
Environmental
Information,
Office
of
Information
Collection,
Collection
Strategies
Division.
The
ICR
Handbook
provides
the
most
current
instructions
for
ICR
preparation
to
ensure
compliance
with
the
1995
PRA
amendments
and
OMB's
implementing
guidelines.

3(
f)
Confidentiality
No
confidential
information
will
be
collected
as
a
result
of
this
ICR.

3(
g)
Sensitive
Questions
No
information
of
a
sensitive
nature
will
be
collected
as
a
result
of
this
ICR.
PWSS
Program
ICR
August
2004
15
4
RESPONDENTS
AND
INFORMATION
REQUESTED
4(
a)
Respondents/
NAICS
Codes
Data
associated
with
this
ICR
are
collected
and
maintained
at
the
PWS,
state,
and
Federal
levels.
Respondents
include
 
°
Owners/
operators
of
PWSs,
who
must
report
to
the
primacy
agency.
°
Primacy
agencies
that
must
report
to
EPA
Headquarters.
°
Regional
EPA
administrators,
who
must
send
reports
and
notices
to
PWS
owners
and
states.

The
North
American
Industry
Classification
System
(
NAICS)
code
for
PWSs
is
22131.
The
NAICS
code
for
state
agencies
that
include
drinking
water
programs
are
classified
as
92411
(
Administration
of
Air
and
Water
Resources
and
Solid
Waste
Management
Programs)
or
92312
(
Administration
of
Public
Health
Programs).
Ancillary
systems
(
i.
e.,
those
that
supplement
the
function
of
other
establishments
like
factories,
power
plants,
mobile
home
parks,
etc.)
cannot
be
categorized
in
a
single
NAICS
code.
For
ancillary
systems,
the
NAICS
code
is
that
of
the
primary
establishment
or
industry.

4(
b)
Information
Requested
4(
b)(
i)
Data
Items
Exhibits
2
and
3
summarize
the
respondent
information
collection
requirements
covered
by
the
PWSS
Program
ICR.
These
reflect
cross­
cutting
recordkeeping
and
reporting
requirements
under
the
PWSS
Program
(
i.
e.,
requirements
that
are
not
associated
with
contaminant­
specific
rules).
The
requirements
are
discussed
following
Exhibits
2
and
3.
PWSS
Program
ICR
August
2004
16
Exhibit
2
PWS
Recordkeeping
and
Reporting
Requirements
Requirement
Regulatory
Citation
Frequency/
Retention
CCRs
Mail
copies
of
CCR
to
customers.
40
CFR
141.155(
a)
Annually,
unless
waived
per
§
141.155(
g)

Announce
availability
of
CCR.
40
CFR
141.155(
b)
Annually
Submit
copy
of
CCR
to
primacy
agency.
40
CFR
141.155(
c)
Annually
Submit
copy
of
CCR
to
agencies
or
clearinghouses
identified
by
the
primacy
agency.
40
CFR
141.155(
d)
Annually,
as
required
Make
current
year's
CCR
available
to
public.
40
CFR
141.155(
e)
As
requested
Post
current
year's
CCR
on
the
Internet
(
for
systems
serving

100,000
people).
40
CFR
141.155(
f)
Annually
Publish
CCR
in
local
newspaper,
if
the
mailing
requirement
has
been
waived.
40
CFR
141.155(
g)(
1)
Annually,
except
that
systems
serving

500
can
forego
per
§
141.155(
g)(
2)

Retain
copy
of
CCR.
40
CFR
141.155(
h)
For
at
least
3
years
VARIANCES
AND
EXEMPTIONS
Retain
records
concerning
variance
or
exemption
grants.
40
CFR
141.33
Not
less
than
5
years
after
variance/
exemption
expiration
Submit
information
supporting
request
for
variance.
40
CFR
142.41
One­
time,
PWS
discretion
Submit
information
supporting
request
for
exemption.
40
CFR
142.51
One­
time,
PWS
discretion
Submit
information
supporting
request
for
small
system
variance.
40
CFR
142.306
One­
time,
PWS
discretion
Report
on
compliance
with
terms
and
conditions
of
the
small
system
variance.
40
CFR
142.307
Quarter
after
granting
CAPACITY
DEVELOPMENT
Demonstrate
capacity
(
new
CWSs
&
NTNCWSs).
N/
A
One­
time
Cooperate
with
state
to
demonstrate
continued
capacity.
N/
A
As
needed
PWSS
Program
ICR
August
2004
Requirement
Regulatory
Citation
Frequency/
Retention
17
PUBLIC
NOTIFICATION
RULE
Notify
persons
served
by
a
PWS
if
certain
violations
and
situations
occur.
1
40
CFR
141.201(
a)&(
c)
As
necessary
Notify
persons
served
within
24
hours
of
learning
of
a
violation
which
requires
Tier
1
public
notification.
40
CFR
141.202(
b)(
1)
As
necessary,
within
24
hours
Consult
with
the
primacy
agency
within
24
hours
of
learning
of
a
violation
which
requires
Tier
1
public
notification.
40
CFR
141.202(
b)(
2)
As
necessary,
within
24
hours
Comply
with
any
additional
notification
requirements
for
Tier
1.
40
CFR
141.202(
b)(
3)
As
necessary
Notify
persons
served
within
30
days
of
a
violations
that
requires
Tier
2
public
notification.
40
CFR
141.203(
b)(
1)
As
necessary,
within
30
days
Provide
repeat
notices
for
unresolved
violations
every
three
months,
unless
the
primacy
agency
determines
a
different
frequency.
40
CFR
141.203(
b)(
2)
As
necessary,
every
3
months
Consult
with
the
primacy
agency
if
a
violation
of
the
turbidity
MCL
or
SWTR/
IESWTR
TT
requirements
for
single
exceedances
of
turbidity
limits
occurs.
40
CFR
141.203(
b)(
3)
As
necessary,
within
24
hours
Notify
persons
served
within
one
year
of
learning
of
a
violation
or
situation
that
requires
Tier
3
notification.
40
CFR
141.204(
b)(
1)
As
necessary,
within
1
year
Provide
repeat
notices
annually
for
unresolved
Tier
3
violations/
situations.
40
CFR
141.204(
b)(
1)
As
necessary,
annually
Notify
new
customers
of
ongoing
violations/
situations
prior
to
or
at
the
time
service
begins.
1
40
CFR
141.206
As
necessary
Notify
persons
served
of
the
availability
of
the
results
of
unregulated
contaminant
monitoring.
40
CFR
141.207
As
necessary,
within
12
months
of
receiving
results
Provide
special
notice
to
persons
served
for
an
exceedance
of
the
fluoride
secondary
MCL
(
SMCL).
40
CFR
141.208
As
necessary,
within
12
months
of
exceedance
Provide
repeat
notice
of
a
fluoride
SMCL
exceedance,
if
unresolved.
40
CFR
141.208
As
necessary,
annually
Notify
persons
served
by
NCWSs
if
the
40
CFR
141.209
As
necessary,
within
24
hours
PWSS
Program
ICR
August
2004
Requirement
Regulatory
Citation
Frequency/
Retention
18
primacy
agency
grants
permission
to
exceed
the
nitrate
MCL.

Submit
a
copy
of
each
notice
provided
(
Tiers
1,
2,
and
3
and
any
repeat
notices)
and
a
certification
that
all
PN
requirements
were
met.
40
CFR
141.31(
d)
and
141.201(
c)(
3)
As
necessary,
within
10
days
after
completing
notification
requirements
Retain
copies
of
all
notices
and
certifications.
40
CFR
141.33(
e)
3
years
OPERATOR
CERTIFICATION
&
EXPENSE
REIMBURSEMENT
GRANTS
PROGRAM
Acquire
certified
operator(
s)
per
state
requirements.
N/
A
As
necessary
Maintain
and
renew
operator
certification(
s).
N/
A
As
necessary
TRIBAL
OPERATOR
CERTIFICATION
PROGRAM
Acquire
certified
tribal
water
system
operator(
s)
per
state
requirements.
N/
A
As
necessary
Apply
for
"
grandparent"
certificate.
N/
A
One
time,
if
eligible
CONSTRUCTED
CONVEYANCE
Conduct
a
house­
by­
house
survey
of
water
use
practices
and
document
efforts
to
ascertain
water
uses.
SDWA
1401(
4)(
B)(
i)
On­
going
Apply
for
Other
Residential
Uses
Exclusion.
One
time,
if
eligible
Apply
for
Alternative
Water
Exclusion.
One
time,
if
eligible
Apply
for
Treatment
Exclusion.
One
time,
if
eligible
Apply
for
Certain
Piped
Irrigation
Districts
Exclusion
SDWA
1401(
4)(
B)(
ii)
One
time,
if
eligible
1
Content
requirements
for
notices
are
described
in
40
CFR
141.205,
141.207,
and
141.208.
PWSS
Program
ICR
August
2004
19
Exhibit
3
Primacy
Agency
Recordkeeping
and
Reporting
Requirements
Requirement
Regulatory
Citation
Report
Frequency/
Minimum
Retention
CCRs
Make
CCRs
available
to
public.
40
CFR
142.16(
f)(
2)
As
requested
Retain
copies
of
CCRs
and
certifications
that
CCRs
were
distributed.
40
CFR
142.16(
f)(
3)
CCRs:
5
years
Certifications:
1
year
Report
violations
of
CCR
provisions.
40
CFR
142.16(
f)(
4)
Quarterly
VARIANCES
AND
EXEMPTIONS
Issue
variances
and
exemptions
(
for
other
than
small
system
variances).
40
CFR
142.20
At
primacy
agency
discretion
Consider
system
V/
E
requests
(
for
other
than
small
system
variances).
40
CFR
142.21
Within
90
days
of
request
Review
V/
E
requests
previously
granted.
40
CFR
142.22
Within
18
months
of
new
standards
Notify
EPA
of
new
variances
or
exemptions
granted.
40
CFR
142.15(
a)(
3)
Quarterly
Summarize
the
status
of
variances
or
exemptions
currently
in
effect.
40
CFR
142.15(
b)(
2)
Annually
Propose
small
system
variances
and
provide
supporting
information
and
responses
to
comments.
40
CFR
142.311
&
142.312
When
state
proposes
to
grant
a
small
system
variance
Following
EPA's
notification
of
objections
and
proposed
modifications
to
proposed
small
system
variances,
respond
to
EPA.
40
CFR
142.311
Before
state
grants
a
small
community
variance
to
a
PWS
serving
3,300
or
fewer
people
Re­
propose
small
system
variances.
40
CFR
142.312
Before
the
state
grants
a
small
community
variance
to
a
PWS
serving
more
than
3,300
and
fewer
than
10,000
people
Review
each
small
system
variance
to
determine
if
the
PWS
continues
to
meet
eligibility
criteria.
40
CFR
142.307
Not
less
than
5
years
Notice
of
public
meeting
on
proposed
small
system
variances,
with
supporting
information.
40
CFR
142.308
At
least
30
days
prior
to
public
meeting
PWSS
Program
ICR
August
2004
Requirement
Regulatory
Citation
Report
Frequency/
Minimum
Retention
20
CAPACITY
DEVELOPMENT
Submit
evidence
to
EPA
that
state
has
established
and
continues
to
implement
a
Capacity
Development
Program.
N/
A
Annually
Submit
report
to
Governor
on
the
status
of
the
Capacity
Development
Program.
N/
A
Every
three
years
Submit
list
of
systems
that
are
historical
significant
non­
compliers
and,
to
the
extent
practicable,
the
reason(
s)
for
noncompliance.
N/
A
Every
three
years
GENERAL
STATE
PRIMACY
ACTIVITIES
Retain
state
records
for
public
inspection.
40
CFR
142.14
Varies
Retain
quarterly
SDWIS
reports
to
EPA,
make
them
available
for
public
inspection.
40
CFR
142.15(
d)
Upon
completion
and
submittal
by
state
Report
any
new
violation
data
or
enforcement
actions.
40
CFR
142.15(
a)(
1)­(
2)
Quarterly
Report
any
new
data
related
to
SDWIS
elements
or
any
revisions
to
existing
data.
40
CFR
142.15(
b)(
1)
Annually
Submit
information
required
for
review
of
state
programs,
including
review
of
monitoring
determinations.
40
CFR
142.17­
142.18
Annually,
as
requested
Request
primacy
treatment
for
a
state
or
tribal
primacy
(
for
Indian
tribes).
40
CFR
142.76
One­
time
Submit
initial
application
for
primacy.
40
CFR
142.11
One­
time
Submit
statutory
and
regulatory
provisions
authorizing
administrative
penalties
or
demonstrate
that
authority
does
not
exist.
40
CFR
142.11(
a)(
6)
One­
time
Submit
revised
primacy
application.
40
CFR
142.12
As
needed
PUBLIC
NOTIFICATION
Primacy
agencies
may
exercise
flexibility
in
the
following
areas
as
long
as
they
establish
enforceable
procedures:

Requiring
PWSs
to
notify
persons
served
for
violations
or
situations
other
than
those
requiring
notice
under
the
PN
rule.
Allowing
PWSs
to
limit
distribution
of
a
notice
to
the
portion
of
the
40
CFR
142.16(
a)
If
necessary
PWSS
Program
ICR
August
2004
Requirement
Regulatory
Citation
Report
Frequency/
Minimum
Retention
21
distribution
system
that
is
out
of
compliance.
Elevating
violations/
situations
from
Tiers
2
or
3
to
Tier
1.
Requiring
additional
notification
for
Tier
1
as
a
result
of
the
24­
hour
consultation.
Requiring
or
permitting
a
different
form
of
delivery
than
is
required
in
the
PN
rule
for
Tiers
1,
2,
or
3.
Elevating
monitoring/
testing
procedure
violations
from
Tier
3
to
Tier
2.
Granting
extensions
for
distribution
of
Tier
2
notices.
Allowing
less
frequent
repeat
notification
for
Tier
2.
Consulting
with
PWS
within
24
hours
for
exceedance
of
turbidity
limits.
Determining
the
need
for
multilingual
content
in
a
notice.

Consult
with
PWSs
within
24
hours
for
Tier
1
violations/
situations.
40
CFR
141.202(
b)(
2)
As
necessary,
within
24
hours
Consult
with
PWSs
within
24
hours
for
exceedances
of
turbidity
MCL
or
violations
of
turbidity
single
exceedance
limits.
40
CFR
141.203(
b)(
3)
As
necessary,
within
24
hours
May
give
the
required
public
notice
on
behalf
of
the
PWS.
40
CFR
141.210
If
necessary
Report
violations
of
the
PN
Rule
to
EPA.
40
CFR
142.15(
a)(
1)
Quarterly
Retain
copies
of
certification
and
notices
submitted
by
PWSs.
Also
keep
records
of
determinations
of
alternative
requirements
made
under
40
CFR
142.16.
40
CFR
142.14(
f)
3
years
OPERATOR
CERTIFICATION
&
EXPENSE
REIMBURSEMENT
GRANTS
PROGRAM
Submit
a
report
to
EPA
describing
ongoing
implementation
activities
of
the
state's
operator
certification
program.
N/
A
Annually
Submit
to
EPA
a
new
AG
certification
and
a
copy
of
the
state's
regulations
(
if
the
state
makes
changes
to
its
operator
certification
program)
N/
A
As
necessary
Submit
to
EPA
a
report
describing
ongoing
implementation
activities
of
the
state's
Expense
Reimbursement
Grant
N/
A
Annually,
as
necessary
PWSS
Program
ICR
August
2004
Requirement
Regulatory
Citation
Report
Frequency/
Minimum
Retention
22
TRIBAL
OPERATOR
CERTIFICATION
PROGRAM
Primacy
agencies
are
not
affected
by
the
Tribal
Operator
Certification
Program
CONSTRUCTED
CONVEYANCE
Review
data
to
determine
if
a
constructed
conveyance
should
be
considered
a
PWS.
SDWA
1401(
4)
As
necessary
Review
applications
and
make
determinations
about
Other
Residential
Uses
Exclusions.
SDWA
1401(
4)(
B)(
i)
As
necessary
Review
applications
and
make
determinations
about
Alternative
Water
Exclusions.

Review
applications
and
make
determinations
about
Treatment
Exclusions.

Review
applications
and
make
determinations
about
Certain
Piped
Irrigation
Districts
Exclusions.
SDWA
1401(
B)(
ii)
As
necessary
1)
Consumer
Confidence
Reports
CCRs
must
identify
the
source
of
the
water
delivered
by
the
CWS,
describe
whether
it
is
ground
water
or
surface
water,
and
provide
the
common
name
and
location
of
bodies
of
water
used
as
sources.
Reports
also
must
define
the
terms
"
Maximum
Contaminant
Level
(
MCL),"
"
Maximum
Contaminant
Level
Goal
(
MCLG),"
"
Maximum
Residual
Disinfectant
Level
(
MRDL),"
"
Maximum
Residual
Disinfectant
Level
Goal
(
MRDLG),"
"
variance,"
and
"
exemption."
Reports
must
contain
a
table
providing
data
on
contaminant
levels
detected
as
well
as
the
MCLG
and
MCL
for
these
contaminants.
If
contaminants
are
detected
above
the
MCL
or
MRDL,
health
effects
information
must
also
be
provided.
Reports
must
indicate
any
violations
of
the
NPDWRs,
including
monitoring
and
reporting,
treatment
techniques,
public
notification,
recordkeeping,
special
monitoring
requirements,
and
the
terms
of
a
variance,
exemption,
or
administrative
or
judicial
order.
Reports
must
explain
any
granted
variance
or
exemption.
Reports
must
contain
a
brief
explanation
regarding
contaminants
that
may
be
found
in
drinking
water.
Reports
must
also
display
relevant
health
information
concerning
drinking
water
and
potential
risks
from
possible
contaminants.

2)
Primacy
Regulation
Activities
As
part
of
the
primacy
review
process,
states
must
submit,
either
in
written
form
or
electronically,
copies
of
their
relevant
laws
and
regulations.
States
that
believe
their
constitutions
PWSS
Program
ICR
August
2004
23
prohibit
administrative
penalty
provisions
must
submit
copies
of
their
constitutions
and
interpretations
of
the
prohibitions
from
their
Attorneys
General.
EPA's
review
will
likely
also
include
a
request
for
a
State
Attorney
General
to
provide
an
interpretation
of
the
state's
authority.
Additionally,
each
state
must
also
submit
an
explanation
of
why
its
chosen
level
of
administrative
penalty
authority
for
PWSs
serving
a
population
of
10,000
individuals
or
fewer
is
adequate
to
ensure
compliance.
Furthermore,
under
40
CFR
142.11(
a)(
7)(
ii),
as
amended
by
the
Revisions
to
State
Primacy
Requirements
to
Implement
Federal
Drinking
Water
Regulations,
and
40
CFR
142.12(
c),
EPA
may
request,
if
necessary,
supplemental
information
from
any
state.

3)
Variance
&
Exemption
Rule
To
obtain
a
variance
or
exemption,
systems
must
submit
a
request
for
the
variance
or
exemption
that
contains
supporting
information.
Systems
that
are
granted
a
variance
or
exemption
must
also
provide
public
notice
within
one
year
after
operating
under
the
variance
or
exemption.

4)
Capacity
Development
Program
Under
SDWA
§
1420,
states
are
required
to
submit
the
following
information
to
EPA
 
°
An
annual
report
that
describes
ongoing
implementation
activities
for
both
the
new
systems'
programs
(
SDWA
1420(
a))
and
the
existing
systems'
strategies
(
SDWA
1420(
c)).
°
A
triennial
report
to
the
Governor
on
the
status
of
the
capacity
development
program
(
EPA
receives
a
courtesy
copy
of
each
state
report).
°
A
triennial
list
of
systems
that
are
historical
significant
non­
compliers
and,
to
the
extent
practicable,
the
reason(
s)
for
noncompliance.

5)
General
State
Primacy
Activities
Under
142.17,
EPA
may
request
information
from
a
state
in
order
to
determine
compliance
of
the
state
with
requirements
of
40
CFR
142
Subpart
B.
Information
requested
may
include
state
determinations
made
under
Section
142.19
and
records
kept
by
states
in
accordance
with
Section
142.14.
Section
142.14(
a)
stipulates,
"
Each
state
which
has
primary
enforcement
responsibility
shall
maintain
records
of
tests,
measurements,
analyses,
decisions,
and
determinations
performed
on
each
public
water
system
to
determine
compliance
with
applicable
provisions
of
state
primary
drinking
water
regulations."
Further,
Section
141.14(
g)
states,
"
Records
required
to
be
kept
under
this
section
shall
be
made
available
to
the
Regional
Administrator
upon
request."

To
implement
its
compliance
oversight
and
enforcement
responsibilities
under
the
SDWA,
EPA
requires
primacy
agencies
to
report
a
specified
subset
of
PWS
monitoring
information
in
SDWIS.
EPA
works
with
states
and
other
drinking
water
organizations
to
obtain
the
information
necessary
to
determine
the
resources
available
now,
needed
currently,
and
needed
in
the
future
to
implement
the
PWSS
program
and
other
SDWA
provisions.
Information
may
include
estimates
of
time
allotted
to
certain
general
state
functions
(
such
as
enforcement
and
data
management)
and
rule­
specific
activities
(
e.
g.,
conduct
of
sanitary
surveys).
Additionally,
primacy
agencies
must
maintain
records
of
analysis
results
and
other
related
activities
(
e.
g.,
sanitary
survey
results).
PWSS
Program
ICR
August
2004
24
6)
Public
Notification
Regulations
under
40
CFR
Part
141,
Subpart
Q
contain
requirements
for
public
notification.
Under
the
regulations,
systems
must
notify
all
system
users
of
any
violation
of
drinking
water
regulations.
The
means
of
notification
and
the
time
frame
allowed
for
notification
are
based
on
a
three
tier
system.
Tier
1
violations
are
those
which
risk
serious
health
effects
from
short
term
exposure.
Systems
have
24
hours
to
notify
the
public
of
Tier
1
violations.
Tier
2
violations
are
any
violations
that
pose
a
health
risk
that
are
not
Tier
1
violations.
Systems
have
30
days
to
notify
the
public
of
Tier
2
violations.
Tier
3
violations
are
any
violations
not
covered
under
the
first
two
tiers,
they
include
monitoring
and
reporting
violations,
exceeding
the
fluoride
secondary
standard,
operating
under
a
variance,
and
announcing
the
availability
of
unregulated
contaminant
monitoring
results.
Tier
3
public
notification
must
take
place
within
a
year
of
the
violation
and
may
be
included
in
the
system's
CCR.
Systems
must
consult
with
primacy
agencies
within
24
hours
of
a
turbidity
violation
to
determine
if
the
violation
is
Tier
1
or
Tier
2.
Primacy
agencies
must
consult
with
any
systems
with
Tier
1
violations
within
24
hours
of
the
violation.
They
may
also
decide
to
elevate
certain
Tier
2
or
Tier
3
violations.
Primacy
agencies
must
report
all
violations
to
EPA
and
keep
records
for
three
years
after
the
violation.

7)
Operator
Certification
and
Expense
Reimbursement
Grants
Program
To
satisfy
§
1419
of
SDWA
(
regarding
EPA's
Operator
Certification
Guidelines),
states
are
required
to
submit
the
following
information
to
EPA
 
°
An
annual
report
that
describes
ongoing
implementation
activities
of
a
state's
operator
certification
program.

°
A
new
Attorney
General
certification
and
a
copy
of
the
state's
regulations
if
a
state
makes
changes
to
its
operator
certification
program.

°
An
annual
report
that
describes
ongoing
implementation
activities
of
a
state's
Expense
Reimbursement
Grant.

8)
Tribal
Operator
Certification
Program
Although
this
program
is
voluntary,
previously
established
Drinking
Water
Infrastructure
Grant
Tribal
Set
Aside
(
DWIG
TSA)
Final
Guidelines
(
October
1998)
state
that
after
EPA
has
developed
a
Tribal
Drinking
Water
Operator
Certification
Program
for
operators
of
systems
in
Indian
Country,
"
any
system
to
be
assisted
with
TSA
funds
must
be
operated
by
an
adequately
trained
and
certified
operator"
in
order
for
a
tribe
to
receive
a
grant
for
that
system.
In
addition,
"
EPA
Regional
offices
will
not
make
grant
awards
to
any
systems
that
do
not
meet
this
condition."

The
program
guidelines
establish
seven
baseline
standards
for
the
program
and
list
the
certification
program
requirements
that
must
be
met
for
organizations
that
certify
operators
of
drinking
water
systems
in
Indian
Country
to
receive
approval
from
EPA.
In
addition,
the
program
PWSS
Program
ICR
August
2004
25
guidelines
establish
a
consistent
method
that
EPA
will
use
to
assess,
track,
and
address
certification
and
training
needs
in
Indian
Country.

Any
current
certification
provider
or
organization
interested
in
establishing
an
operator
certification
program
for
operators
of
water
systems
in
Indian
Country
may
submit
programs
to
EPA
for
review
and
approval.
EPA
will
be
responsible
for
implementing
this
voluntary
Tribal
Drinking
Water
Operator
Certification
Program
in
Indian
Country
and
for
tracking
the
number
of
federally
regulated
water
systems
with
certified
operators.
Certification
providers
will
be
responsible
for
tracking
training
taken
and
operator
status
and
for
reporting
this
information
to
EPA.

9)
Constructed
Conveyances
In
order
to
comply
with
the
1996
SDWA
Amendments,
systems
and
states
must
work
together
to
determine
if
the
system
meets
the
new
definition
of
"
public
water
system."
In
addition,
Section
1401(
4)(
B)
of
the
1996
SDWA
Amendments
provides
several
exemption
options.
If
a
system
is
eligible
for
one
of
these
exemptions,
the
system
must
submit
an
application
to
the
state.
The
state
must
then
review
the
exemption
applications
and
make
determinations.

4(
b)(
ii)
Respondent
Activities
PWSs
and
primacy
agencies
must
complete
the
activities
described
in
the
sections
below.

Public
Water
Systems
1)
Consumer
Confidence
Reports
For
CCRs,
CWSs
must
conduct
the
following
activities
 
°
Compile
the
report.
°
Mail
one
report
to
each
customer.
°
For
consumers
who
do
not
receive
water
bills,
publish
a
notice
in
the
newspaper
indicating
how
a
consumer
may
obtain
a
copy
of
a
CCR.
°
Submit
one
copy
of
the
completed
report
to
the
primacy
agency
annually
and
retain
one
copy
of
the
report.
°
Certify
to
the
primacy
agency
that
the
report
has
been
distributed
to
customers
and
that
the
information
is
correct.
°
Publish
the
report
in
a
local
newspaper
rather
than
mail
it,
if
the
State
Governor
allows
CWSs
serving
10,000
or
fewer
people
to
do
so.
°
Post
an
annual
notice
for
customers
rather
than
publishing
or
mailing
a
report,
if
the
State
Governor
allows
CWSs
serving
fewer
than
500
people
to
do
so.
°
Post
the
report
to
a
publicly
accessible
Internet
site,
for
CWSs
serving
100,000
or
more
people.
PWSS
Program
ICR
August
2004
26
2)
Primacy
Regulation
Activities
There
are
no
PWS
activities
associated
with
the
PWSS
Program
Primacy
Regulation.

3)
Variance
&
Exemption
Rule
A
PWS
that
elects
to
apply
for
a
variance
or
exemption
must
either
perform
the
following
activities
or
assist
the
state
in
performing
these
activities
 
°
Apply
for
the
variance
or
exemption
and
submit
any
information
that
the
state
requires.
A
PWS,
often
with
assistance
from
the
state,
will
provide
information
demonstrating
that
it
is
eligible
for
a
variance
or
exemption.
For
small
system
variances,
systems
must
demonstrate
that
it
cannot
afford
to
comply
with
the
NPDWR
for
which
the
small
system
variance
is
sought,
that
its
source
water
meets
the
quality
standards
for
installation
of
the
small
system
variance
technology,
that
it
is
financially
and
technically
capable
of
installing,
operating,
and
maintaining
the
applicable
small
system
variance
technology,
and
that
the
terms
and
conditions
of
the
small
system
variance
would
ensure
adequate
protection
of
human
health.
°
Work
with
the
state
to
hold
a
public
hearing
on
the
proposed
variance
or
exemption
provide
public
notice
within
one
year
after
operating
under
the
variance
or
exemption.
°
Write
and
submit
a
quarterly
report
on
compliance
with
the
terms
and
conditions
of
the
small
system
variance.

4)
Capacity
Development
Program
Under
the
Capacity
Development
Program
for
new
systems,
all
CWSs
and
NTNCWSs
must
demonstrate
adequate
capacity
and
comply
with
all
state
capacity
development
requirements.
All
PWS
are
asked
to
cooperate
with
the
state's
strategy
for
existing
systems.
This
includes
achieving,
maintaining,
and
improving
capacity.

5)
General
State
Primacy
Activities
There
are
no
PWS
activities
associated
with
the
General
State
Primacy
Activities.

6)
Public
Notification
To
comply
with
the
PN
regulations,
PWSs
must
complete
the
following
activities
 
°
Prepare
the
notice
(
§
§
141.201,
141.205,
141.206,
141.207,
and
141.208).
°
Distribute
the
notice
to
all
persons
served
within
the
applicable
time
frame
(
§
§
141.202,141.203,
and
141.204).
°
If
the
violation
or
situation
requires
public
notification
within
24
hours,
consult
with
primacy
agency
within
the
24­
hour
period
to
determine
subsequent
actions
(
§
141.202(
b)(
2)).
Consultation
is
also
required
for
exceedances
of
the
maximum
allowable
turbidity
level
(
§
141.203(
b)(
3)).
PWSS
Program
ICR
August
2004
27
°
If
a
violation
is
unresolved,
prepare
an
updated
notice
for
repeat
distribution
(
§
§
141.205,
141.206,
141.207,
and
141.208).
°
Distribute
the
updated
notice
(
§
§
141.202,141.203,
and
141.204).
°
Take
any
additional
actions
required
by
the
primacy
agency
(
§
§
141.201
and
141.202).
°
Submit
certification
to
the
primacy
agency
along
with
copies
of
all
public
notifications
that
were
distributed.

7)
Operator
Certification
and
Expense
Reimbursement
Grants
Program
Systems
are
required
to
comply
with
the
state
requirements
for
operator
certification.
Systems
must
 
°
Acquire
certified
operator(
s)
holding
a
valid
certification
equal
to
or
greater
than
the
classification
of
the
system.
°
Maintain/
renew
certification(
s)
as
needed.

8)
Tribal
Operator
Certification
Program
For
this
new,
voluntary
Tribal
Operator
Certification
Program,
tribal
water
systems
are
expected
to
have
a
certified
operator
available.
To
become
certified,
a
tribal
water
system
operator
must
pass
an
exam
and
have
the
appropriate
education
and/
or
experience.
EPA
subsidizes
the
training
and
certification
of
operators
in
Indian
Country.

Tribal
water
systems,
whose
existing
operator
cannot
meet
all
of
the
certification
requirements
but
has
demonstrated
the
ability
to
operate
that
system,
may
apply
to
the
appropriate
EPA
Regional
office
to
receive
a
"
grandparent"
certificate.
Such
a
certificate
allows
the
existing
operator
to
continuing
operating
the
current
system
only.

9)
Constructed
Conveyances
In
order
to
adhere
to
the
broadened
definition
of
"
public
water
system"
introduced
by
the
1996
SDWA
Amendments,
PWS
may
complete
the
following
activities
 
°
Conduct
a
house­
by­
house
survey
of
water
use
practices
and
document
efforts
to
ascertain
water
uses.
°
Apply
for
an
Other
Residential
Uses
Exclusion.
°
Apply
for
an
Alternative
Water
Exclusion.
°
Apply
for
a
Treatment
Exclusion.
°
Apply
for
Certain
Piped
Irrigation
Districts
Exclusion
PWSS
Program
ICR
August
2004
28
Primacy
Agencies
1)
Consumer
Confidence
Reports
As
part
of
the
CCR
Rule,
primacy
agencies
must
 
°
Review
and
retain
reports
and
certifications
from
CWSs.
°
Assist
in
preparation
of
reports.
°
Report
compliance
to
EPA.

2)
Primacy
Regulation
Activities
Under
the
PWSS
Primacy
Regulation,
Attorneys
General
in
states
that
prohibit
administrative
penalties
may
 
°
Receive
a
call
from
the
State
Drinking
Water
Program
describing
the
information
that
EPA
requires.
°
Read
the
relevant
Federal
regulations.
°
Find
the
relevant
portion
of
the
state
constitution.
°
Prepare
a
written
interpretation
of
the
constitutional
prohibition.
°
Transmit
the
interpretation
and
a
copy
of
the
relevant
portion
of
the
state
constitution
to
EPA.

In
states
whose
constitutions
allow
administrative
penalties,
personnel
from
the
State
Drinking
Water
Program
may
 
°
Read
the
relevant
Federal
regulations.
°
Find
the
appropriate
section(
s)
of
the
state's
laws
and/
or
regulations.
°
Contact
the
State
Attorney
General
to
request
assistance
in
the
collection.
°
Prepare,
or
assist
in
preparing,
a
justification
of
why
the
state's
administrative
penalty
authority
for
systems
serving
a
population
of
10,000
or
fewer
individuals
is
adequate
to
ensure
compliance.
°
Transmit
the
information
to
EPA.

In
states
whose
constitutions
allow
administrative
penalties,
the
State
Attorney
General,
may
 
°
Receive
a
call
from
the
State
Drinking
Water
Program
describing
the
information
that
is
being
collected
and
the
need
for
a
certification
that
the
state
laws
and
regulations
were
duly
adopted
and
are
enforceable.
°
Read
the
relevant
Federal
regulations.
°
Provide
the
certification
that
the
state
laws
and
regulations
were
duly
adopted
and
are
enforceable.
°
Provide
the
interpretation
of
the
state's
laws
and/
or
regulations
if
they
use
language
that
significantly
differs
from
that
used
in
the
SDWA.
PWSS
Program
ICR
August
2004
29
°
Prepare,
or
assist
in
preparing,
a
justification
of
why
the
state's
administrative
penalty
authority
for
systems
serving
a
population
of
10,000
or
fewer
individuals
is
adequate
to
ensure
compliance.
°
Transmit
the
information.

If
additional
information
is
needed,
personnel
from
the
State
Drinking
Water
Program
may
 
°
Receive
a
call
or
letter
from
EPA
requesting
additional
information.
The
official
at
the
Drinking
Water
Program
may
then
contact
the
State
Attorney
General
to
request
assistance
in
gathering
this
information.
°
Gather
the
requested
information.
°
Transmit
the
information
to
EPA.

If
additional
information
is
needed,
the
State
Attorney
General
may
 
°
Receive
a
call
or
a
letter
from
the
State
Drinking
Water
Program
describing
the
information
that
is
being
collected.
°
Gather
the
requested
information.
°
Transmit
the
information.

3)
Variance
&
Exemption
Rule
In
addition
to
helping
PWSs
meet
application
requirements,
states
must
 
°
Provide
EPA
with
the
proposed
small
system
variance,
supporting
information,
and
responses
to
public
comments.
°
Respond
to
EPA's
objections
to
a
proposed
small
system
variance
for
a
PWS
serving
3,300
or
fewer
persons,
if
the
state
chooses
to
pursue
the
variance.
°
Revise
a
proposed
small
systems
variance
as
necessary
to
reflect
EPA's
comments
on
variance
requests
for
systems
that
serve
more
than
3,300
people
and
fewer
than
10,000
people,
if
the
state
chooses
to
pursue
the
variance.
°
Submit
a
quarterly
report
on
any
violations
of
any
increments
of
progress
or
any
other
violated
term
or
condition
of
a
small
system
variance.
°
Conduct
a
public
meeting
on
a
small
system
variance
request
to
be
proposed,
provide
notice
of
the
public
meeting,
and
provide
supporting
information
to
the
public.
°
Respond
to
significant
public
comments
on
the
proposed
variance
request.
°
Retain
records
associated
with
a
granted
variance
or
exemption
not
less
than
five
years
after
its
expiration.
PWSS
Program
ICR
August
2004
30
4)
Capacity
Development
Program
States
must
 
°
Submit
an
annual
report
that
describes
ongoing
implementation
activities
for
both
the
new
systems'
programs
(
SDWA
1420(
a))
and
the
existing
systems'
strategies
(
SDWA
1420(
c))
°
Submit
a
triennial
report
to
the
Governor
on
the
status
of
the
capacity
development
program
(
EPA
receives
a
courtesy
copy
of
each
state
report).
°
Submit
a
triennial
List
of
Systems
that
are
historical
significant
non­
compliers.
To
the
extent
possible,
include
the
reason(
s)
for
noncompliance.

5)
General
State
Primacy
Activities
As
part
of
their
general
primacy
activities,
primacy
agencies
must
 
°
Prepare
grant
packages
requesting
funding
to
operate
the
program
in
a
state.
°
Maintain
state
drinking
water
data
systems.
°
Review
monthly
violations
reports
to
monitor
compliance.
°
Maintain
records
submitted
by
PWSs
regarding
results
of
analytical
tests
and
other
milestones,
such
as
treatment
decisions.
°
Take
timely
and
appropriate
enforcement
actions.
°
Review
PWS
projects
regarding
design,
construction,
and
treatment
modifications.
°
Conduct
routine
inspections
to
supplement
information
collected
during
sanitary
surveys.

This
ICR
assumes
that
no
applications
for
primacy
will
be
submitted
during
the
next
three
years.
However,
since
a
new
primacy
application
is
a
possibility,
the
following
discussion
of
possible
implications
is
provided.
To
obtain
primacy,
the
applicant
must
 
°
Adopt
drinking
water
regulations
that
are
no
less
stringent
than
the
NPDWRs
currently
in
effect.
An
agency
may
also
be
granted
primacy
for
new
or
revised
EPA
regulations
if
they
demonstrate
that
their
approved
program
has
been
updated
to
include
regulations
no
less
stringent
than
those
new
or
revised
EPA
regulations.
°
Adopt
adequate
procedures
for
enforcement
of
these
regulations.
°
Report
these
procedures
according
to
EPA's
requirements.
°
Permit
variances
and
exemptions
under
conditions
no
less
stringent
than
those
specified
by
the
regulations.
°
Adopt
and
implement
an
adequate
plan
for
providing
safe
drinking
water
under
emergency
circumstances.

The
regulations
allow
Indian
tribes
to
be
granted
primacy,
although
no
primacy
applications
are
expected
from
tribes
during
the
next
three
years.
In
order
for
an
Indian
tribe
to
receive
primacy,
they
must
first
apply
for
and
receive
designation
as
a
"
state."
The
tribe
may
then
apply
for
a
developmental
grant
to
assist
it
in
preparing
the
necessary
infrastructure
(
e.
g.,
regulations).
Once
the
regulations
are
in
place,
the
tribe
may
apply
for
primacy.
PWSS
Program
ICR
August
2004
31
Under
the
Indian
Primacy
Rule
promulgated
September
26,
1988,
Indian
tribes
that
wish
to
apply
for
and
be
designated
as
a
"
state"
must
 
°
Submit
evidence
that
the
tribe
is
recognized
by
the
Secretary
of
the
Interior.
°
Certify
that
it
is
currently
"
carrying
out
substantial
governmental
duties
and
powers"
over
a
defined
area.
The
statement
must
describe
the
governmental
functions
currently
performed
by
the
tribal
governing
body,
including,
but
not
limited
to,
the
exercise
of
police
power,
taxation,
and
the
exercise
of
the
power
of
eminent
domain.
Copies
of
applicable
tribal
documents
must
also
be
provided.
°
Prepare
and
submit
a
map
or
legal
description
of
the
area
over
which
the
Indian
tribe
asserts
jurisdiction
for
the
purposes
of
the
proposed
program.
°
Provide
copies
of
applicable
tribal
codes,
ordinances,
etc.
°
Describe
the
Indian
tribe's
capability
to
administer
such
a
program.

6)
Public
Notification
The
PN
Rule
requires
primacy
agencies
to
consult
with
the
violating
PWS
to
determine
appropriate
followup
actions.
Additionally,
the
primacy
agencies
must
receive
and
review
PN
certifications
submitted
by
PWSs.
Primacy
agencies
must
submit
quarterly
reports
of
PN
Rule
violations
to
EPA.

Primacy
agencies
may
give
notice
on
behalf
of
a
PWS
(
§
141.210).
However,
no
data
is
available
for
estimating
the
burden
incurred
by
this
practice.
For
the
purposes
of
this
ICR,
the
burden
for
preparing
and
distributing
public
notification
is
assumed
to
be
incurred
by
the
PWS.

7)
Operator
Certification
and
Expense
Reimbursement
Grants
Program
The
activities
required
of
states
to
comply
with
the
program
are
 
°
Submit
an
annual
report
that
describes
ongoing
implementation
activities
of
a
state's
operator
certification
program.
°
Submit
a
new
Attorney
General
certification
and
a
copy
of
the
state's
regulations
if
a
state
makes
changes
to
its
operator
certification
program.
°
Submit
an
annual
report
that
describes
ongoing
implementation
activities
of
a
state's
Expense
Reimbursement
Grant.

8)
Tribal
Operator
Certification
Program
Primacy
agencies
are
not
affected
by
the
Tribal
Operator
Certification
Program.
PWSS
Program
ICR
August
2004
32
9)
Constructed
Conveyances
To
comply
with
the
broadened
definition
of
"
public
water
system"
introduced
by
the
1996
SDWA
Amendments,
states
may
complete
the
following
activities
 
°
Review
data
to
determine
if
a
constructed
conveyance
should
be
considered
a
PWS.
°
Review
applications
for
Other
Residential
Uses
Exclusions
and
make
determinations
about
the
exemption
applications.
°
Review
applications
for
Alternative
Water
Exclusions
and
make
determinations
about
the
exemption
applications.
°
Review
applications
for
Treatment
Exclusions
and
make
determinations
about
the
exemption
applications.
°
Review
applications
for
Certain
Piped
Irrigation
Districts
Exclusions
and
make
determinations
about
the
exemption
applications.
PWSS
Program
ICR
August
2004
33
5
INFORMATION
COLLECTED
­­
AGENCY
ACTIVITIES,
COLLECTION
METHODOLOGY,
AND
INFORMATION
MANAGEMENT
5(
a)
Agency
Activities
As
part
of
its
supervisory
responsibility
for
the
PWSS
Program,
EPA
maintains
SDWIS
and
evaluates
the
data
in
SDWIS
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
the
state
and
EPA
Regional
programs,
provides
technical
assistance,
and
develops
policies
designed
to
ensure
consistent
program
implementation.
EPA
officials
serve
as
respondents
when
testifying
to
Congress
on
the
PWSS
Program
or
in
the
courts
for
enforcement
actions.
EPA's
recordkeeping
requirements
are
outlined
in
Exhibit
4
below.

Exhibit
4
PWSS
Program
Requirements
for
EPA
Regions
and
Headquarters
Requirement
CFR
Citation
Report
Frequency/
Minimum
Retention
Inform
primacy
agency
of
PWS
noncompliance
with
any
NPDWRs
in
40
CFR
141
or
with
any
requirement
under
SDWA
Sections
1415
and
1416.
40
CFR
142.30,
142.15
Quarterly
Inform
primacy
agency
of
substantial
abuse
of
discretion
in
granting
variances
and
exemptions.
40
CFR
142.23
As
needed
Provide
notice
of
public
hearing
for
states
abusing
right
to
grant
variances
and
exemptions.
40
CFR
142.23
As
needed
Notify
primacy
agencies
of
failure
to
prescribe
schedules
in
accordance
with
SDWA.
40
CFR
142.23
As
needed
Notify
primacy
agencies
of
repeal
of
notice
or
promulgation
of
any
revisions
to
schedules
or
revocation
of
schedules
proposed
in
notice.
40
CFR
142.23
Within
180
days
of
first
notice
given
to
the
state;
revised
schedule
or
revocation
takes
effect
90
days
after
state
is
notified.

Notify
primacy
agencies
of
objection
and
proposed
modifications
to
small
system
variances
proposed
by
states
for
PWSs
serving
3,300
or
fewer
people.
40
CFR
142.311
Within
90
days
of
receiving
proposal
Notify
primacy
agencies
of
deficiencies
in
state
program
for
granting
small
system
variances.
40
CFR
142.313
As
needed
PWSS
Program
ICR
August
2004
Requirement
CFR
Citation
Report
Frequency/
Minimum
Retention
34
Notify
PWSs
of
noncompliance
with
any
NPDWRs
in
40
CFR
141
or
with
any
requirement
under
SDWA
Sections
1415
and
1416.
40
CFR
142.30,
142.15
Quarterly
Provide
PWSs
with
copies
of
Federal
Register
notice
about
PWS
failure
to
comply.
40
CFR
142.23
Within
30
days
of
notice
Notify
PWSs
of
denial
or
grant
of
variance
(
for
PWSs
in
non­
primacy
states).
40
CFR
142.42
Within
90
days
of
request
Notify
PWSs
of
denial
or
grant
of
exemption
(
for
PWSs
in
non­
primacy
states).
40
CFR
142.52
Within
90
days
of
request
Notify
PWSs
of
denial
or
grant
of
small
system
variance
(
for
PWSs
in
non­
primacy
states).
40
CFR
142.311,
142.312
Within
90
days
of
request
Provide
notice
to
PWSs
in
non­
primacy
states
that
are
no
longer
eligible
for
small
system
variances.
40
CFR
142.307
As
needed
Provide
public
notice
of
public
meeting
on
proposed
small
system
variances
(
in
non­
primacy
states),
with
supporting
information.
40
CFR
142.308
At
least
30
days
prior
to
public
meeting
Respond
to
significant
public
comments.
40
CFR
142.308
Before
proposal
Notify
public
of
proposed
small
system
variance
(
in
non­
primacy
states),
with
supporting
information.
40
CFR
142.309
No
later
than
15
days
after
receiving
small
system
variance
proposal.

Make
DWSRF
grant
withholding
decisions
with
regard
to
States'
Capacity
Development
Programs.
35
CFR
35.3515(
b)
i
35
CFR
35.3515(
b)
ii
Annually
Make
DWSRF
grant
withholding
decisions
with
regards
to
States'
Operator
Certification
Programs.
35
CFR
35.3515(
b)
iii
Annually
Provide
state
and
PWS
assistance
and
training
with
regard
to
recordkeeping
and
reporting
requirements
covered
in
this
ICR.
N/
A
As
needed
5(
b)
Collection
Methodology
and
Management
Primacy
agencies
must
report
data
quarterly
to
EPA.
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
PWSS
Program
ICR
August
2004
35
Primacy
agencies
transmit
SDWIS
data
to
EPA
both
manually
and
electronically.
In
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.

Each
quarter,
EPA
Regions
must
provide
Headquarters
with
information
on
the
status
of
SNCs.
Headquarters
then
generates
a
list
of
SNCs
and
transmits
it
to
the
EPA
Regions,
which
in
turn
send
it
to
the
states.
Using
this
report,
states
report
the
current
status
of
the
SNCs
to
the
EPA
Regions,
which
in
turn
report
back
to
Headquarters.
This
information
is
provided
to
the
Office
of
Enforcement
and
Compliance
Assurance,
as
part
of
the
Reporting
for
Enforcement
and
Compliance
Assurance
Priorities.
These
data
provide
senior
management
with
information
on
trends
in
drinking
water
enforcement.

EPA
Regions
also
undertake
extensive
data
verification
of
SDWIS
inventory,
violation,
and
enforcement
data.
The
methodology
for
data
verification
includes
review
of
a
statistically
valid
random
sample
of
PWS
inventory,
violation,
enforcement,
milestone,
and
sample
data.
EPA
Regional
staff
conduct
an
on­
site
verification
of
each
sample
system's
data
at
the
offices
of
the
primacy
agency.
Then
the
EPA
Regions
compare
the
recorded
compliance
determined
by
the
data
verification
process
with
the
information
reported
to
SDWIS
and
prepare
reports
summarizing
the
differences.
The
report
summarizes
the
state's
compliance
determination
procedures,
data
verification
process,
observations,
and
any
recommendations
for
improving
program
management.

The
primary
purposes
of
the
data
verification
program
are
to
assess
the
accuracy
and
quality
of
data
collected
and
reported
by
the
states
and
to
recommend
any
necessary
changes
in
collection
or
reporting.
In
addition,
the
process
of
verification
provides
insights
into
the
primacy
agency's
program
implementation.
During
data
verification,
the
EPA
Regional
Office
is
able
to
gain
greater
understanding
of
how
the
primacy
agencies
interpret
and
implement
regulations.
For
example,
EPA
Regional
Offices
can
perform
the
following
activities
 
°
Evaluate
procedures
used
to
manage
the
program.
°
Critique
implementation
methods
used
for
follow­
up
activity,
in
cases
of
violation.
°
Verify
the
flow
of
information
through
the
state
to
ensure
that
the
data
reflect
actual
state
experience.
°
Observe
how
the
program
is
implemented
in
various
primacy
agencies.

The
data
verification
process
also
enables
EPA
Regional
Offices
to
educate
states
about
the
SDWA
regulations
and
to
standardize
interpretations
and
implementation
procedures.
For
example,
a
state's
definition
of
compliance
with
the
Federal
regulations
may
differ
from
the
official
definition.
These
discrepancies
become
evident
during
the
data
verification
process
and
can
be
corrected
by
EPA
Regional
and
state
staff.
Thus,
the
data
verification
process
plays
a
crucial
role
in
standardizing
state
implementation
and
enforcement
of
the
SDWA.
PWSS
Program
ICR
August
2004
5These
definitions
were
taken
from
Section
601
of
the
Regulatory
Flexibility
Act.

36
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.
5
A
small
business
is
any
business
that
is
independently
owned
and
operated
and
not
dominant
in
its
field
as
defined
by
the
Small
Business
Administration
regulations
under
Section
3
of
the
Small
Business
Act.

A
small
organization
is
any
non­
profit
enterprise
that
is
independently
owned
and
operated
and
not
dominant
in
its
field.

A
small
governmental
jurisdiction
is
the
government
of
a
city,
county,
town,
township,
village,
school
district
or
special
district
that
has
a
population
of
fewer
than
50,000.
This
definition
may
also
include
Indian
Tribes.

The
major
requirement
under
SBREFA
is
a
regulatory
flexibility
analysis
of
all
rules
that
have
a
"
significant
economic
impact
on
a
substantial
number
of
small
entities."
This
ICR
is
not
associated
with
new
rules.
Therefore,
this
ICR
is
not
subject
to
the
SBREFA.

However,
EPA
has
made
significant
efforts
to
minimize
the
burden
for
all
respondents,
particularly
for
small
entities.
In
setting
both
maximum
contaminant
levels
and
monitoring
requirements,
EPA
has
been
able
to
minimize
burden
for
small
entities
as
detailed
below.

1)
Consumer
Confidence
Reports
EPA's
regulations
allow
systems
serving
fewer
than
10,000
people
to
publish
a
newspaper
notice
in
lieu
of
sending
reports
to
customers.
Under
40
CFR
141.155(
g)(
2),
CWSs
serving
500
or
fewer
people
may
forego
the
notice­
publishing
requirement,
provided
they
give
notice
at
least
annually
to
their
customers
by
mail,
door­
to­
door
delivery,
or
posting
in
an
appropriate
location
that
the
CCR
is
available
upon
request.
In
addition,
only
very
large
systems
(
those
serving
more
than
100,000
people)
must
provide
CCR
information
on
the
Internet.

2)
Primacy
Regulation
Activities
There
are
no
PWS
activities
associated
with
the
PWSS
Program
Primacy
Regulation.

3)
Variance
&
Exemption
Rule
The
V/
E
Rule
includes
procedures
and
conditions
under
which
the
primacy
agency
(
or
the
EPA
Administrator
in
non­
primacy
states)
may
issue
variances
or
exemptions
to
public
water
PWSS
Program
ICR
August
2004
37
systems.
The
V/
E
Rule
is
intended
to
provide
regulatory
relief,
while
still
protecting
public
health.
Specifically,
it
permits
primacy
agencies
to
issue
variances
to
PWSs
that
cannot
comply
with
the
national
primary
drinking
water
standards
due
to
source
water
quality
or
affordability.
These
variances
generally
allow
a
system
to
provide
drinking
water
that
may
be
above
the
MCL
if
the
drinking
water
quality
is
still
protective
of
public
health.
Duration
of
small
system
variances
generally
coincides
with
the
life
of
the
technology.
Exemptions
are
intended
to
allow
a
small
system
with
compelling
circumstances
additional
time
to
comply
with
applicable
SDWA
requirements.
An
exemption
is
generally
limited
to
three
years
after
the
initial
compliance
date
stated
in
the
regulations.

4)
Capacity
Development
Program
EPA's
guidelines
provide
states
with
maximum
flexibility
in
developing
and
implementing
the
capacity
development
program.
As
mentioned
above,
EPA
published
a
document
entitled,
Small
System
Regulatory
Requirements
Under
the
Safe
Drinking
Water
Act
Amendments
of
1996,
which,
among
other
things,
explains
the
requirements
of
the
Capacity
Development
Program.
In
addition,
EPA
published
a
Handbook
for
Capacity
Development:
Developing
Water
System
Capacity
Under
the
Safe
Drinking
Water
Act
Amendments
of
1996
and
is
working
on
several
other
tools
to
help
small
systems
comply.

5)
General
State
Primacy
Activities
There
are
no
PWS
activities
associated
with
the
General
State
Primacy
Activities.

6)
Public
Notification
EPA
allows,
systems
serving
fewer
than
10,000
persons
several
options
for
delivering
public
notices,
such
as
hand
delivery
and
posting
in
a
prominent
location.

7)
Operator
Certification
and
Expense
Reimbursement
Grants
Program
EPA's
Guidelines
provide
states
with
maximum
flexibility
in
developing
and
implementing
their
operator
certification
programs.
Furthermore,
funding
is
available
for
training
and
certification
expenses
of
small
system
operators
through
the
Expense
Reimbursement
Grants
program,
and
EPA's
Guidelines
permit
the
use
of
circuit
riders
(
certified
operators
who
are
responsible
for
multiple
systems)
as
determined
to
be
appropriate
by
the
state.

8)
Tribal
Operator
Certification
Program
Since
the
Tribal
Operator
Certification
Program
is
voluntary,
the
program
provides
tribes
with
maximum
flexibility
in
seeking
operator
certification.
Water
system
operators
in
Indian
Country
can
decide
if
they
would
like
to
be
certified
by
an
EPA­
approved
tribal
certification
provider
or
by
a
state
program.
Furthermore,
EPA
subsidizes
the
training
and
certification
of
tribal
water
system
operators
in
Indian
Country.
PWSS
Program
ICR
August
2004
38
Additionally,
certification
providers
have
flexibility
in
developing
and
implementing
their
tribal
operator
certification
programs.
EPA
will
one­
time,
start­
up
grants
to
selected
tribal
operator
certification
providers.

9)
Constructed
Conveyances
The
broadened
definition
of
"
public
water
system"
could
financially
effect
small
constructed
conveyance
systems
that
would
now
be
considered
PWSs.
Consequently,
the
1996
SDWA
Amendments
provided
several
exemption
options.
Examples
of
these
exclusions
include
 
°
If
water
provided
by
a
supplier
is
used
exclusively
for
purposes
other
than
residential
uses
(
drinking,
bathing,
cooking,
and
similar
uses),
then
a
system
may
apply
for
an
"
Other
than
Residential
Uses"
Exclusion.
°
If
a
water
supplier
provides
adequate
health
protection
through
means
specified
in
1401(
4)(
B)(
i)(
II)
and
(
III),
then
the
system
may
apply
for
an
"
Alternative
Water
Treatment"
Exclusion.
°
If
the
water
supply
will
be
used
for
drinking,
cooking,
or
bathing,
then
the
water
must
be
treated
either
centrally
or
at
the
point­
of­
entry
at
each
connection.
To
receive
a
"
Treatment"
Exclusion,
a
system
must
demonstrate
that
this
treatment
is
occurring.
°
If
an
irrigation
district
existed
prior
to
May
18,
1994,
and
if
the
district
provides
primarily
agricultural
service
through
piped
water
systems
(
with
incidental
residential
use),
the
system
may
be
eligible
for
a
"
Certain
Piped
Irrigation
Districts"
Exclusion.

5(
d)
Collection
Schedule
Exhibits
2,
3,
and
4
of
this
document
contain
summaries
of
the
collection
schedules
for
each
rule.
Additional
information
may
be
obtained
by
consulting
the
individual
rules
for
specific
collection
schedules.
PWSS
Program
ICR
August
2004
39
6
ESTIMATING
BURDEN
AND
COST
OF
COLLECTION
This
section
estimates
the
burden
and
cost
to
PWSs,
primacy
agencies,
and
EPA
for
complying
with
drinking
water
information
requirements
that
are
not
associated
with
contaminantspecific
rulemakings.
These
activities
include
the
following
 
1)
Consumer
Confidence
Reports
2)
Primacy
Regulation
Activities
3)
Variance
and
Exemption
Rule
4)
Capacity
Development
Program
5)
General
State
Primacy
Activities
6)
Public
Notification
7)
Operator
Certification
and
Expense
Reimbursement
Grants
Program
8)
Tribal
Operator
Certification
Program
9)
Constructed
Conveyances
This
section
also
discusses
the
assumptions
used
to
estimate
costs
and
burden
and
describes
the
change
in
burden,
as
compared
with
the
2001
PWSS
Program
ICR.

6(
a)
Respondent
Burden
6(
a)(
i)
Burden
to
Public
Water
Systems
The
annual
PWS
burden
for
years
2005
through
2007
is
estimated
to
be
approximately
2.00
million
hours.
Exhibit
5
(
at
the
end
of
Section
6(
a))
shows
the
breakdown
of
the
annual
burden
hours
on
an
activity­
specific
basis.
The
bases
for
the
burden
estimates
are
detailed
below.

1)
Consumer
Confidence
Reports
Consumer
Confidence
Report
regulations
require,
at
a
minimum,
that
each
CWS
mail
to
each
of
its
customers
an
annual
report
on
the
level
of
contaminants
in
the
drinking
water
purveyed
by
that
system.
EPA
estimates
that
CCR
requirements
will
affect
approximately
53,363
PWSs,
all
of
which
are
CWSs,
during
the
course
of
this
ICR
period.
Activities
associated
with
the
preparation
and
delivery
of
CCRs
account
for
534,484
burden
hours
per
year,
which
includes
burden
for
both
CCR
development
and
distribution.

Appendix
B
summarizes
the
assumptions
used
to
calculate
the
CCR
burden
and
provides
detailed
burden
and
cost
calculations.
The
assumptions
used
to
calculate
the
CCR
burden
are
based
largely
on
assumptions
from
the
2001
PWSS
Program
ICR.
For
the
PWSS
Program
ICR
renewal,
these
assumptions
have
been
augmented
or
supplanted
where
updated
data
were
available.
Section
6(
f)
describes
the
reasons
for
changes
in
burden
and
shows
the
affects
of
any
new
assumptions
on
the
CCR
burden
estimates.
PWSS
Program
ICR
August
2004
40
Report
Development
Preparing
a
CCR
includes
assembling
data,
writing
the
report,
ensuring
that
the
notice
meets
regulatory
requirements,
and
printing
the
document.
Burden
estimates
range
from
4
hours
for
CWSs
serving
500
or
fewer
people
to
23
hours
for
CWSs
serving
at
least
10,000
people.
After
completion
of
CCR
preparation
activities,
all
CWSs,
regardless
of
size,
are
assumed
to
have
the
same
burden
(
0.12
hours)
for
submitting
to
the
state
a
copy
of
the
CCR
distributed
to
customers.
Certification
that
the
reports
were,
in
fact,
distributed
is
also
required
along
with
the
report.
Finally,
all
CWSs,
regardless
of
size,
are
assumed
to
have
the
same
burden
(
0.25
hours)
for
maintaining
a
copy
of
the
CCR
and
making
it
publicly
available,
if
requested.

Report
Delivery
The
burden
estimate
for
CCR
delivery
includes
the
following
activities
and
assumptions
 
°
Except
for
CWSs
serving
500
or
fewer
people,
all
CWSs
incur
a
burden
for
publishing
a
notice
about
obtaining
a
CCR.
The
burden
per
system
for
this
activity
is
0.25
hours.
For
systems
serving
at
least
10,000
people,
publication
is
in
addition
to
report
delivery
to
customers.
For
systems
serving
fewer
than
10,000
people,
this
ICR
assumes
that
50
percent
of
systems
will
publish
a
notice
in
lieu
of
sending
reports
to
customers.

°
Under
40
CFR
141.155(
g)(
2),
CWSs
serving
500
or
fewer
people
may
forego
the
notice­
publishing
requirement,
provided
they
give
notice
at
least
annually
to
their
customers
by
mail,
door­
to­
door
delivery,
or
posting
in
an
appropriate
location
that
the
CCR
is
available
upon
request.
This
ICR
assumes
that
50
percent
of
these
CWSs
post
the
report
and
50
percent
deliver
the
report
to
their
customers
as
part
of
their
standard
water
bill.
Those
that
post
the
CCR
are
estimated
to
incur
a
burden
of
0.12
hours
for
this
activity.

°
Regardless
of
CWS
size
category,
this
ICR
assumes
a
burden
of
1
hour
per
system
for
coordinating
delivery
of
the
CCR
as
a
bill
stuffer.
CWSs
serving
10,000
or
more
people
must
deliver
the
CCR
to
all
service
connections.
However,
CWSs
serving
fewer
than
10,000
people
may
apply
to
the
State
Governor
(
or
Tribal
Leader)
for
a
waiver
of
this
requirement
to
deliver
a
CCR
to
each
customer.
This
ICR
assumes
that
half
of
such
CWSs
will
receive
a
waiver.
For
CWSs
serving
500
or
fewer
people,
the
50
percent
without
a
waiver
are
assumed
to
include
the
CCR
along
with
the
normal
water
bill
(
instead
of
sending
the
CCR
in
a
separate
mailing).
For
CWSs
serving
between
501
and
10,000
people,
half
of
the
systems
without
a
waiver
(
or
25
percent
of
the
total
number
of
CWSs
in
this
size
category)
are
assumed
to
include
the
CCR
as
a
bill
stuffer,
and
the
remaining
systems
will
mail
the
CCR
separately.

°
Under
§
141.155(
f),
CWSs
serving
at
least
100,000
people
must
post
a
copy
of
the
current
CCR
on
a
publicly
accessible
Internet
site.
This
burden
is
estimated
at
0.5
hours
per
system.
PWSS
Program
ICR
August
2004
6This
ICR,
like
the
1998
V/
E
ICR,
addresses
variances
and
exemptions
for
NPDWRs,
regardless
of
whether
the
monitoring
requirements
for
the
standards
are
included
in
the
PWSS
Program
ICR.

41
2)
Primacy
Regulation
Activities
There
is
no
PWS
burden
associated
with
Primacy
Regulation
activities.

3)
Variance
and
Exemption
Rule
The
1998
V/
E
ICR
and
the
2001
PWSS
Program
ICR
recognized
that
an
exact
burden
could
not
be
estimated
because
the
number
of
requested
variances
and
exemptions
was
impossible
to
estimate,
given
that
EPA
had
not
yet
identified
cases
in
which
small
system
variances
would
be
available.
6
Instead,
the
1998
V/
E
ICR
and
the
2001
PWSS
Program
ICR
provided
a
hypothetical
variance/
exemption
burden
by
considering
possible
requests
for
the
Chemical
Phase
Rules
and
the
Lead
and
Copper
Rule.
Specifically,
that
ICR
assumed
that
all
systems
incurring
either
a
treatment
technique
or
MCL
violation
would
apply
for
a
variance.
Under
this
hypothetical
scenario,
the
annual
burden
for
PWSs
was
estimated
at
13,050
hours.

Because
EPA
has
not
yet
specified
variance
technologies
for
new
or
existing
drinking
water
standards,
an
exact
burden
for
associated
activities
remains
impossible
to
estimate.
Therefore,
the
V/
E
burden
included
in
this
ICR
has
been
carried
forward
from
the
2001
PWSS
Program
ICR.
There
have
been
no
programmatic
changes
in
the
V/
E
program
that
would
require
changes
in
these
burden
estimates.

4)
Capacity
Development
The
Capacity
Development
Program,
which
was
added
pursuant
to
the
1996
SDWA
Amendments,
is
a
state
effort
to
help
drinking
water
systems
improve
their
finances,
management,
infrastructure,
and
operations
so
they
can
provide
safe
drinking
water
consistently,
reliably,
and
cost­
effectively.
EPA
estimates
that
capacity
development
will
affect
approximately
42,099
PWSs,
including
CWSs,
NTNCWSs,
and
transient
noncommunity
water
systems
(
TNCWSs),
during
the
course
of
this
ICR
period.
The
Capacity
Development
Program
consists
of
two
major
components
 
1)
Implementation
of
a
program
to
ensure
that
all
new
CWSs
and
NTNCWSs
demonstrate
the
capacity
to
comply
with
NPDWRs.

2)
Implementation
of
a
strategy
to
assist
existing
PWSs
in
acquiring
and
maintaining
capacity
to
comply
with
the
SDWA.
PWSS
Program
ICR
August
2004
42
The
burden
estimate
associated
with
new
and
existing
capacity
development
efforts
is
based
on
expert
opinions,
including
opinions
provided
by
members
of
the
NDWAC
Small
Systems
Workgroup.
Specifically,
the
burden
estimate
includes
the
following
activities
and
assumptions
 
°
New
systems
must
demonstrate
capacity
in
order
to
obtain
approval.
Each
new
system
applying
for
approval
will
require
40
hours
to
prepare
and
submit
new
system
approval
materials
to
the
state.
This
burden
estimate
does
not
include
compliance
with
state
technical
requirements
since
these
were
generally
unaffected
by
the
capacity
development
provisions.
EPA
estimates
that
there
will
be
an
average
of
8
new
systems
per
state
per
year.

°
Some
new
systems
must
improve
capacity
in
order
to
obtain
approval.
An
estimated
20
percent
of
new
systems
applying
for
approval
will
be
required
to
submit
supplemental
materials
before
approval
is
granted
by
the
state.
To
develop
and
submit
these
materials,
it
is
estimated
that
each
system
denied
initial
approval
will
require
an
additional
20
hours.
As
with
the
approval
application,
it
is
estimated
that
there
will
be
8
new
systems
per
state
per
year
(
20
percent
of
which
will
be
required
to
submit
supplemental
materials)
and
that
the
burden
estimate
does
not
include
the
time
needed
to
comply
with
technical
requirements.

°
Some
existing
systems
will
incur
burden
for
complying
with
state
capacity
development
strategies.
Each
year,
EPA
estimates
that
20
percent
of
CWSs,
7
percent
of
NTNCWSs,
and
2.5
percent
of
TNCWSs
will
incur
a
burden
to
comply
with
state
capacity
development
strategy
efforts.
EPA
estimates
that
these
systems
will
spend,
on
average,
8
hours
per
year
participating
in
capacity
development
strategy
activities
(
primarily
consultations
with
states).

Based
on
these
assumptions,
EPA
estimates
that
the
average
annual
burden
to
PWSs
will
be
approximately
132,328
hours
for
capacity
development
activities.
Appendix
C
summarizes
the
assumptions
used
to
calculate
the
Capacity
Development
Program
burden
and
provides
detailed
burden
and
cost
calculations.

5)
General
State
Primacy
Activities
There
is
no
PWS
burden
associated
with
general
state
primacy
activities.

6)
Public
Notification
Only
PWSs
with
one
or
more
violation
during
the
year
incur
a
burden.
(
PWSs
with
no
violations
have
no
requirements
under
this
rule.)
The
information
collection
burden
for
systems
that
do
experience
a
violation
is
estimated
to
average
6.6
hours
per
violation
per
year
(
1,226,699
hours
divided
by
186,221
violations).
This
estimate
includes
time
for
preparing,
copying,
mailing,
submitting,
or
posting
public
notices,
as
well
as
time
for
maintaining
records
of
PN
activities.

In
preparing
this
ICR,
EPA
assumed
that
each
PWS
will
deliver
a
public
notice
to
persons
served.
A
"
person
served"
is
defined
as
an
individual
who
normally
receives
water
provided
by
the
PWSS
Program
ICR
August
2004
43
PWS.
Under
the
statute,
PWSs
are
required
to
reach
persons
served,
including
those
who
ordinarily
do
not
receive
water
bills
(
e.
g.,
residents
of
apartment
buildings,
students
and
staff
at
schools,
etc.).

Under
the
PN
Rule,
CWSs
providing
a
Tier
1
notice
are
expected
either
to
hand
deliver
the
notice
to
all
residences
or
to
contact
all
media
outlets
serving
the
affected
community,
including
television
and
radio
stations,
and
submit
a
press
release
to
them.
NCWSs
providing
a
Tier
1
notice
are
likely
to
post
the
notice
or
hand
deliver
the
notice
to
customers.
All
water
systems
are
required
to
take
other
reasonably
calculated
steps
to
ensure
all
the
persons
served
by
the
system
receive
the
notice.
Although
the
rule
does
not
specify
such
actions,
PWSs
are
assumed
to
place
telephone
calls
to
centers
of
sensitive
populations,
such
as
hospitals,
nursing
homes,
and
schools.
Finally,
water
systems
are
expected
to
prepare
a
notice
suitable
for
posting
in
rest
areas,
government­
owned
buildings,
libraries,
and
other
facilities
served
by
the
water
system.

Systems
providing
a
Tier
2
or
Tier
3
notice
must
mail
or
otherwise
directly
deliver
one
notice
to
each
customer.
The
PN
Rule
also
permits
NCWSs
to
post
the
notice
in
lieu
of
direct
delivery
or
mailing.
All
water
systems
must
also
take
other
reasonably
calculated
steps
to
reach
other
persons
not
reached
by
mail,
direct
delivery,
or
routine
posting.

The
burden
estimate
for
mailing
assumes
that
half
the
CWSs
bill
their
customers
less
frequently
than
every
month
or
use
postcards
rather
than
envelopes
to
send
bills.
Therefore,
if
a
system
experiences
a
violation
requiring
a
Tier
2
notice
more
than
30
days
prior
to
a
regular
billing
date,
these
CWSs
are
required
to
send
a
separate
mailing
specifically
for
the
public
notice.
Water
systems
that
bill
on
a
monthly
basis
and
do
not
use
postcards,
or
those
sending
out
other
mailings
to
the
customers,
including
annual
CCRs,
will
be
able
to
incorporate
the
notice
as
a
stuffer
in
one
of
the
system's
other
mailings.
Because
the
mailing
alone
will
not
reach
all
persons
served,
the
burden
estimate
includes
other
methods
of
information
dissemination
to
ensure
all
persons
served
receive
the
notice.

Based
on
the
above
estimates,
it
is
estimated
that
the
average
annual
burden
to
PWSs
will
be
approximately
1,226,699
hours.
Appendix
E
summarizes
the
assumptions
used
to
calculate
the
Public
Notification
burden
and
provides
detailed
burden
and
cost
calculations.

7)
Operator
Certification
Guidelines
and
Expense
Reimbursement
Grant
Program
EPA
estimates
that
71,788
public
CWSs
and
NTNCWSs
will
be
affected
annually
by
the
Operator
Certification
Program.
The
burden
for
PWSs
involves
operators
renewing
their
certifications.
The
burden
is
estimated
to
be
79,616
hours
annually
for
PWSs.
Appendix
F
summarizes
the
assumptions
used
to
calculate
the
Operator
Certification
burden
and
provides
detailed
burden
and
cost
calculations.
PWSS
Program
ICR
August
2004
44
8)
Tribal
Operator
Certification
Program
Burden
for
Tribal
PWSs
involves
obtaining
and
renewing
certification
of
its
operators.
Because
the
current
ICR
expires
in
July
2006,
only
burden
for
2007
is
being
appended
to
this
ICR.
This
burden
is
estimated
to
be
5,220
hours.
Annually
that
is
an
average
burden
of
1,740
hours.
Appendix
G
summarizes
the
assumptions
used
to
calculate
the
Tribal
Operator
Certification
burden
and
provides
detailed
burden
and
cost
calculations.

9)
Constructed
Conveyances
Certain
PWSs
may
incur
burden
to
adhere
to
the
broadened
definition
of
"
public
water
system"
introduced
by
the
1996
SDWA
Amendments.
It
is
estimated
that,
on
average,
up
to
371
PWSs
may
complete
one
or
more
of
the
following
activities
annually
 
°
Conduct
a
house­
by­
house
survey
of
water
use
practices
and
document
efforts
to
ascertain
water
uses.
°
Apply
for
exclusions.
°
Communications
with
their
primacy
agency.
°
Recordkeeping.

The
total
annual
burden
to
carry
out
these
activities
is
estimated
to
be
7,496
hours.
Appendix
H
summarizes
the
assumptions
used
to
calculate
the
burden
for
adherence
to
the
constructed
conveyance
requirements
under
the
revised
PWS
definition
and
provides
detailed
burden
and
cost
calculations.

6(
a)(
ii)
Burden
to
Primacy
Agencies
The
annual
burden
for
state
primacy
agencies
for
years
2005
through
2007
is
estimated
to
be
approximately
1.23
million
hours.
Exhibit
6
(
at
the
end
of
Section
6(
a))
shows
the
annual
burden
hours
on
an
activity­
specific
basis.
The
following
briefly
describes
the
bases
for
the
burden
estimates
 
1)
Consumer
Confidence
Reports
Primacy
agencies
are
expected
to
incur
a
burden
for
information
collection
activities
associated
with
preparation
assistance,
review,
and
filing
of
CCRs.
The
total
annual
state
burden
is
estimated
at
110,317
hours.
During
the
initial
implementation
phase
for
the
Consumer
Confidence
Rule,
states
had
to
update
their
primacy
packages
to
obtain
authority
to
implement
the
rule;
however,
all
of
this
activity
has
been
completed
and
is
not
included
in
this
ICR.
Appendix
B
contains
detailed
burden
and
cost
assumptions
and
calculations
for
primacy
agencies.

2)
Primacy
Regulation
Activities
All
activities
associated
with
this
rule
will
have
been
completed
by
the
beginning
of
this
ICR
period.
Therefore
no
burden
is
included
for
this
regulation.
PWSS
Program
ICR
August
2004
45
3)
Variance
and
Exemption
Rule
As
discussed
in
Section
6(
a)(
i),
an
exact
burden
for
variance
and
exemption
activities
is
impossible
to
estimate
because
EPA
has
not
yet
specified
variance
technologies
for
new
or
existing
drinking
water
standards.
Therefore,
the
V/
E
annual
burden
included
in
this
PWSS
Program
ICR
 
109,080
hours
per
year
for
primacy
agencies
 
has
been
carried
forward
from
previous
ICRs.
Section
6(
a)(
i)
explains
the
derivation
of
this
burden.
There
have
been
no
programmatic
changes
in
the
V/
E
program
that
would
require
changes
in
these
burden
estimates.

4)
Capacity
Development
Program
As
discussed
in
Section
6(
a)(
i),
the
Capacity
Development
Program,
which
was
added
pursuant
to
the
1996
SDWA
Amendments,
is
a
state
effort
to
help
drinking
water
systems
improve
their
finances,
management,
infrastructure,
and
operations
so
they
can
provide
safe
drinking
water
consistently,
reliably,
and
cost­
effectively.
The
program
consists
of
two
major
components
 
1)
Implementation
of
a
program
to
ensure
that
all
new
CWSs
and
NTNCWSs
demonstrate
the
capacity
to
comply
with
NPDWRs.

2)
Implementation
of
a
strategy
to
assist
existing
PWSs
in
acquiring
and
maintaining
capacity
to
comply
with
the
SDWA.

The
burden
estimate
associated
with
new
and
existing
capacity
development
efforts
is
based
on
expert
opinions,
including
opinions
provided
by
members
of
the
NDWAC
Small
Systems
Workgroup.
Specifically,
the
burden
estimate
assumes
that
 
°
States
must
review
and
approve
applications
for
new
systems.
This
ICR
assumes
that,
on
average,
there
will
be
8
new
systems
per
state
per
year.
It
will
take
state
personnel
an
estimated
16
hours
per
system
to
review
new
system
documentation
and
information.
Because
all
states
already
had
rigorous
technical
review
requirements,
the
capacity
development
provisions
will
not
change
existing
state
effort.
Therefore,
the
estimated
burden
does
not
include
the
review
of
technical
information.

°
Some
applications
for
new
systems
will
require
state
followup.
Upon
initial
review,
all
new
systems
likely
will
not
meet
states'
capacity
criteria.
An
estimated
20
percent
of
new
systems
applying
for
approval
each
year
will
be
required
to
submit
supplemental
materials.
It
is
estimated
that
a
state
will
need
8
hours
per
system
to
review
these
materials.

°
States
must
provide
capacity
development
assistance
to
some
existing
systems.
One
element
that
states
must
consider
in
their
capacity
development
strategies
is
how
to
identify
and
prioritize
the
PWSs
most
in
need
of
improving
capacity.
In
estimating
this
burden,
EPA
assumed
that
states
will
assist
20
percent
of
CWSs,
7
percent
of
NTNCWSs,
and
2.5
percent
of
TNCWSs
each
year.
EPA
estimates
that,
PWSS
Program
ICR
August
2004
46
on
average,
a
state
will
dedicate
4
hours
of
assistance
to
each
of
these
existing
systems.

°
States
must
submit
a
list
of
systems
that
are
historical
significant
non­
compliers.
States
must
submit
to
EPA
a
list
of
CWSs
and
NTNCWSs
that
have
a
history
of
SNC
and,
to
the
extent
practicable,
the
reasons
for
their
noncompliance.
States
must
submit
the
list
every
three
years.
Therefore,
burden
for
one
list
per
state
has
been
included
in
this
ICR.
It
will
take
an
estimated
24
hours
per
state
to
prepare
this
list,
for
an
average
annual
burden
of
8
hours
per
state.

°
Each
state
must
write
and
submit
to
the
Governor
a
report
on
the
progress
and
success
of
its
strategy.
Not
later
than
two
years
after
a
state
adopts
a
capacity
development
strategy,
and
every
three
years
thereafter,
the
primacy
agency
must
submit
a
report
to
the
State's
Governor
on
the
progress
and
success
of
its
strategy.
The
first
such
report
was
due
no
later
than
August
6,
2002.
It
will
take
an
estimated
40
hours
to
coordinate
and
prepare
this
report,
for
an
average
annual
burden
of
13.3
hours
per
state.

In
total,
the
average
annual
state
burden
for
capacity
development
efforts
is
66,894
hours
per
year.
Appendix
C
summarizes
the
assumptions
used
to
calculate
the
Capacity
Development
Program
burden
and
provides
detailed
burden
and
cost
calculations.

5)
General
State
Primacy
Activities
As
illustrated
in
Exhibit
6,
approximately
70
percent
of
the
state
burden
 
or
837,358
hours
 
is
for
activities
that
cannot
be
associated
with
specific
drinking
water
rules
or
programs.
These
"
general
primacy
activities"
include
 
°
Submission
of
grant
applications.
Primacy
agencies
are
eligible
to
receive
program
grants
from
EPA
to
implement
their
PWSS
programs.
To
receive
the
grants
they
must
prepare
program
plans
describing
their
planned
activities
and
use
of
the
grant
funds.
Primacy
agencies
must
apply
for
the
grants
on
an
annual
basis.

°
File
management
(
recordkeeping).
Each
primacy
agency
is
required
to
maintain
records
of
tests,
measurements,
analyses,
decisions,
and
determinations
performed
on
each
PWS
to
assess
compliance
with
the
provisions
of
the
state's
primary
drinking
water
regulations.

°
Maintenance
of
data
systems,
including
PWS
inventory.
Each
primacy
agency
must
develop
a
method
of
storing
all
PWS
inventory,
compliance,
and
enforcement
information
that
it
uses
to
operate
its
PWSS
oversight
program.
While
EPA
does
not
prescribe
a
storage
method,
states
generally
store
this
information
electronically
because
of
the
volume
of
data
involved.
States
must
routinely
enter
new
inventory,
compliance,
and
enforcement
data
into
their
data
systems.
States
must
also
modify
their
data
systems
as
necessary.
PWSS
Program
ICR
August
2004
47
°
Submission
of
ongoing
violation
reports.
Each
primacy
agency
must
provide
EPA
with
information
regarding
all
violations
of
the
state
drinking
water
regulations
and
with
other
selected
water
system
information
that
is
necessary
to
determine
compliance
with
the
drinking
water
requirements.
States
must
also
provide
new
and
updated
water
system
inventory
information
on
an
annual
basis.

°
Laboratory
certifications.
The
state
PWSS
programs
require
that
water
systems
conduct
routine
monitoring
of
water
quality
to
ensure
that
the
water
produced
meets
all
regulatory
standards.
States
must
have
some
method
of
ensuring
that
the
laboratories
conducting
these
analyses
are
qualified
and
capable
of
performing
the
tests.
As
a
result,
states
must
establish
and
maintain
a
program
for
certifying
laboratories
that
may
conduct
the
required
compliance
monitoring
for
PWSs.

°
Plan
and
project
reviews.
Primacy
agencies
must
establish
and
maintain
a
program
that
assures
the
design
and
construction
of
new
or
modified
water
system
facilities
that
are
capable
of
complying
with
the
State
primary
drinking
water
regulations.
Most
States
achieve
this
assurance
by
requiring
state
review
and
approval
of
plans
and
specifications
for
drinking
water
facility
construction.

°
Oversight
of
compliance
monitoring,
including
issuing
notices
of
violation
and
ensuring
appropriate
follow­
up
activities.
States
must
ensure
that
water
systems
monitor
in
accordance
with
the
regulations.
Where
monitoring
does
not
occur,
states
must
take
action
to
ensure
that
systems
monitor
so
that
the
quality
of
water
is
known
and
so
that
any
appropriate
actions
can
be
taken.
Where
violations
occur
and
are
not
expeditiously
corrected,
states
must
take
appropriate
enforcement
follow­
up
actions.
States
must
maintain
administrative
penalty
authority
and
the
right
to
sue
to
ensure
the
effectiveness
of
their
enforcement
programs.

°
Training
activities.
Primacy
agencies
conduct
training
for
both
state
staff
and
for
PWS
owners
and
operators.
Training
is
ongoing
for
all
program
components
(
for
new
staff
and
owners/
operators).

°
Participation
in
program
reviews.
EPA
conducts
annual
reviews
of
each
state
primacy
program
to
ensure
that
the
current
program
activities
are
consistent
with
the
current
program
direction
and
goals
and
with
the
program
plan
submitted
as
part
of
the
PWSS
grant
application.
States
routinely
participate
in
other
reviews,
such
as
data
audits
of
their
state
data
management
programs.

Burden
for
these
activities
was
estimated
using
the
State
Workload
Model.
This
model
was
designed
to
estimate
the
resources
needed
to
fund
state
drinking
water
programs.
It
contains
a
comprehensive
list
of
activities
required
to
operate
a
drinking
water
program,
including
estimates
of
the
number
of
systems
impacted.
Appendix
D
summarizes
the
assumptions
used
to
calculate
the
general
state
primacy
activities
burden
and
provides
detailed
burden
and
cost
calculations.
PWSS
Program
ICR
August
2004
48
6)
Public
Notification
The
burden
to
primacy
agencies
for
the
Public
Notification
Rule
consists
of
consulting
with
PWSs,
costs
of
reviewing
the
PWS
compliance
certification
and
notice
copies,
costs
of
quarterly
reports
to
EPA,
and
costs
of
filing
and
maintaining
the
PN
records.
The
burden
for
primacy
agencies
for
these
activities
is
estimated
to
be
57,001
hours,
this
amounts
to
approximately
1,000
hours
per
primacy
agency.
Appendix
E
summarizes
the
assumptions
used
to
calculate
the
Public
Notification
burden
and
provides
detailed
burden
and
cost
calculations.

7)
Operator
Certification
Guidelines
and
Expense
Reimbursement
Grants
Program
The
burden
to
primacy
agencies
is
for
implementing
an
EPA­
approved
Operator
Certification
Program
which
includes
the
ongoing
certification
of
operators
and
tracking
operator
certification
requirements.
Under
the
Expense
Reimbursement
Grants
Program,
it
is
assumed
that
95
percent
of
states
will
opt
to
contract
with
third
parties
to
provide
group
training
to
small
system
operators
and
that
5
percent
will
opt
to
reimburse
individual
operators
for
training.
The
burden
to
primacy
agencies
also
includes
annual
reporting
to
EPA
on
program
implementation
for
operator
certification
and
expense
reimbursement
grants.
The
total
annual
burden
estimated
for
primacy
agencies
is
3,192
hours.
Appendix
F
summarizes
the
assumptions
used
to
calculate
the
Operator
Certification
Program
burden
and
provides
detailed
burden
and
cost
calculations.

8)
Tribal
Operator
Certification
Program
There
is
no
burden
to
primacy
agencies
for
the
Tribal
Operator
Certification
Program.

9)
Constructed
Conveyances
Primacy
agencies
incur
burden
to
adhere
to
the
broadened
definition
of
"
public
water
system"
introduced
by
the
1996
SDWA
Amendments
for
oversight
of
PWS
activities.
These
activities
include
 
°
Review
of
survey
results.
°
Reviewing
applications
for
exclusions.
°
Making
determinations.
°
Communications
with
PWSs.
°
Recordkeeping.

The
total
annual
burden
to
carry
out
these
activities
is
estimated
to
be
44,175
hours.
Appendix
H
summarizes
the
assumptions
used
to
calculate
the
burden
for
primacy
agencies
to
ensure
adherence
to
the
constructed
conveyance
requirements
under
the
revised
PWS
definition
and
provides
detailed
burden
and
cost
calculations.
PWSS
Program
ICR
August
2004
49
Exhibit
5
Annual
PWS
Burden
and
Cost
2005­
2007
Activity
Annual
Burden
Hours
Annual
Cost
Responses
O&
M
Cost
($
K)
Labor
Cost
($
K)
Total
Cost
($
K)

CCR
534,484
$
14,418
$
14,613
$
29,031
217,685
Primacy
Regulations
N/
A
N/
A
N/
A
N/
A
N/
A
V/
E
13,050
$
0
$
356
$
356
8,665
Capacity
Development
132,328
$
0
$
3,618
$
3,618
14,033
General
State
Primacy
N/
A
N/
A
N/
A
N/
A
N/
A
Public
Notification
1,226,699
$
3,854
$
33,539
$
37,393
186,221
Operator
Certification
79,616
$
928
$
1,527
$
2,455
71,788
Tribal
Operator
Certification
1,740
$
16
$
47
$
63
88
Constructed
Conveyance
7,496
$
0
$
204
$
204
969
TOTAL
1,995,413
$
19,216
$
53,904
$
73,120
499,449
PWSS
Program
ICR
August
2004
50
Exhibit
6
Annual
State
Burden
and
Cost
2005­
2007
Activity
Annual
Burden
Hours
Annual
Cost
O&
M
Cost
($
K)
Labor
Cost
($
K)
Total
Cost
($
K)

CCR
110,317
$
0
$
3,501
$
3,501
Primacy
Regulation
0
$
0
$
0
$
0
V/
E
109,080
$
0
$
3,450
$
3,450
Capacity
Development
66,894
$
0
$
2,123
$
2,123
General
State
Primacy
837,358
$
500
$
30,707
$
31,207
Public
Notification
57,001
$
0
$
1,558
$
1,558
Operator
Certification
3,192
$
0
$
101
$
101
Tribal
Operator
Certification
N/
A
N/
A
N/
A
$
0
Constructed
Conveyance
44,175
$
0
$
1,397
$
1,397
TOTAL
1,228,017
$
500
$
42,837
$
43,337
6(
b)
Respondent
Costs
6(
b)(
i)
Cost
to
Public
Water
Systems
Exhibit
5
shows
the
total
costs
for
PWSs
over
the
three­
year
ICR
period.
Annual
costs
are
estimated
at
approximately
$
73.1
million,
which
consists
of
$
19.2
million
in
operation
and
maintenance
(
O&
M)
costs
and
$
53.9
million
in
labor
costs.

Labor
costs
are
based
on
the
number
of
burden
hours
times
the
average
hourly
wage
rate,
including
overhead.
The
average
hourly
wage
rate
is
the
rate
quoted
by
the
Bureau
of
Labor
Statistics
(
BLS)
for
Standard
Occupational
Classification
(
SOC)
Code
51­
8031,
"
Local
Government
 
Water
and
Liquid
Waste
Treatment
Plant
and
System
Operators."
The
quoted
rate
was
$
16.64
in
2002
dollars
(
see
http://
stats.
bls.
gov).
For
consistency,
this
rate
has
been
inflated
to
2003
dollars
using
the
Employment
Cost
Index.
The
inflated
rate
is
$
17.09.
In
addition,
60
percent
overhead
was
assumed,
bringing
the
loaded
rate
to
$
27.28
in
2003
dollars.
PWSS
Program
ICR
August
2004
7
According
to
the
ICR
Handbook,
an
employee
works
an
average
of
2,080
hours
in
one
year.

8
The
salaries
of
the
State
Attorneys
General
were
taken
from
The
Book
of
the
States,
vol.
31
(
Lexington:
The
Council
of
State
Governments,
1996).

51
In
addition
to
the
labor
costs,
there
are
O&
M
costs
associated
with
the
CCR,
the
Public
Notification
Rule,
and
Operator
Certification
Program.
For
the
CCR,
these
costs
reflect
non­
labor
costs
associated
with
printing,
delivery,
posting,
and
publishing
CCRs.
These
costs
were
carried
forward
from
the
previous
ICRs,
updated
with
current
cost
information
(
e.
g.,
postage
rates),
and
adjusted
for
inflation.
CCR
O&
M
costs
and
associated
calculations
are
presented
in
greater
detail
in
Appendix
F.
For
the
Public
Notification
Rule
these
costs
reflect
non­
labor
costs
to
print
and
distribute
notices
of
violation.
These
costs
were
carried
forward
from
the
2001
PWSS
Program
ICR.
Appendix
E
shows
the
costs
for
the
Public
Notification
Rule
in
more
detail.
For
the
Operator
Certification
Program
and
the
Tribal
Operator
Certification
O&
M
costs
reflect
renewal
fees
paid
by
operators
to
renew
their
certifications.
These
costs
were
carried
forward
from
the
respective
ICRs
and
are
shown
in
more
detail
in
Appendices
F
and
G
respectively.

There
are
no
capital
costs
associated
with
this
ICR.

6(
b)(
ii)
Cost
to
Primacy
Agencies
Exhibit
6
shows
that
the
annual
costs
to
primacy
agencies
is
estimated
at
approximately
$
43.3
million.
O&
M
costs
account
for
$
0.5
million,
and
the
remaining
$
42.8
million
are
labor
costs.
The
labor
costs
are
based
on
an
average
full
time
equivalent
(
FTE)
cost
of
$
66,008
including
overhead,
which
equates
to
approximately
$
31.73
per
hour.
7
This
rate,
which
has
been
inflated
to
year
2003
dollars,
is
based
on
the
rate
($
55,000)
suggested
by
the
workgroup
that
developed
the
State
Workload
Model
in
1997.
For
activities
associated
with
the
Primacy
Regulation,
EPA
used
an
average
rate
of
$
73.39
per
hour
(
in
year
2003
dollars)
for
those
activities
carried
out
by
State
Attorneys
General.
8
No
other
state
activities
have
significant
costs
at
this
higher
rate.

The
O&
M
costs
under
General
State
Primacy
Activities
($
0.5
million)
are
associated
with
maintenance
of
state
data
systems.
This
is
a
rough
estimate
based
on
input
from
the
State
Workload
Model.

6(
c)
Agency
Burden
and
Costs
Costs
to
the
Federal
government
are
incurred
by
EPA's
drinking
water
program
in
Headquarters
and
Regions
to
assist
states
in
implementing
drinking
water
regulations.
In
previous
ICRs
for
the
PWSS
Program,
costs
associated
with
EPA's
enforcement
and
compliance
activities
in
Headquarters
and
the
Regions
were
also
included
in
the
Agency's
burden
and
cost
estimates.
With
the
implementation
of
the
Government
Performance
and
Results
Act
in
Federal
Fiscal
Year
1999,
it
is
difficult
to
glean
the
resources
(
FTEs
and
dollars)
for
drinking
water
enforcement
and
compliance
activities
from
the
overall
Office
of
Enforcement
and
Compliance
Assistance
operating
plan.
Thus,
this
section
presents
only
the
burden
and
costs
incurred
by
EPA's
water
program,
especially
drinking
water
protection,
in
Headquarters
and
Regions.
It
is
important
to
note
that
the
PWSS
Program
ICR
August
2004
9FTE
figures
based
on
Federal
Fiscal
Year
2004
operating
plan.

10Base
salary,
United
States
Office
of
Personnel
Management
website,
http://
www.
opm.
gov
2003
pay
schedule.
Loaded
with
a
60%
loading
factor.

52
burden
and
costs
presented
below
cover
ongoing
activities
for
all
EPA
drinking
water
programs
(
not
just
those
listed
in
this
ICR),
including
rule
development
activities.

EPA
Headquarters
There
are
45.6
Headquarters
FTEs
dedicated
to
drinking
water
protection
implementation
activities9.
The
following
assumptions
were
used
to
develop
a
cost
estimate
for
Headquarters
 
°
The
average
salary
and
benefits
(
i.
e.,
personnel
compensation
and
benefits
(
PC&
B))
of
the
45.6
FTEs
is
at
the
GS
13,
Step
5
level
of
$
125,22110.
°
There
are
2,080
hours
per
person­
year.

Given
these
assumptions,
the
following
calculations
yield
the
annual
cost
for
Headquarters
 

The
45.6
FTEs
equal
94,848
hours
(
45.6*
2,080).


The
labor
cost
of
45.6
FTEs
is
$
5,710,078
(
45.6*$
125,221).

EPA
Regional
Offices
There
are
215.4
Regional
FTEs
dedicated
to
drinking
water
protection
implementation
activities9.
The
following
assumptions
are
used
to
develop
a
cost
estimate
for
the
Regions
 
°
The
average
salary
and
benefits
(
i.
e.,
PC&
B)
of
the
215.4
FTEs
is
at
the
GS
11,
Step
5
level
of
$
89,20310.
°
There
are
2,080
hours
per
person­
year.

Given
these
assumptions,
the
following
calculations
yield
the
annual
cost
for
the
10
EPA
Regional
offices
 
°
The
215.4
FTEs
equal
448,032
hours
(
215.4*
2,080).
°
The
labor
cost
of
215.4
FTEs
is
$
19,214,326
(
215.4*$
89,203).

The
total
cost
to
the
Federal
government
is
the
cost
to
Headquarters
($
5,710,078)
and
the
cost
to
EPA
Regional
offices
($
19,214,326)
for
a
total
of
$
24,924,404.
Similarly,
the
total
burden
to
the
Federal
government
(
HQ
and
Regions)
is
542,880
hours
for
261
FTEs.

6(
d)
Estimating
Respondent
Universe
and
Total
Burden
and
Costs
Respondents
for
this
ICR
include
both
PWSs
and
states
or
other
primacy
agencies.
This
ICR
estimates
the
number
of
PWS
respondents
at
161,625,
which
reflects
161,217
existing
PWSs
and
408
new
PWSs
that
must
meet
information
collection
requirements
associated
with
capacity
PWSS
Program
ICR
August
2004
11This
is
a
simplifying
assumption.
Primacy
activities
for
Wyoming
and
the
District
of
Columbia
are
actually
carried
out
by
the
respective
EPA
Regional
offices.

53
development.
All
PWSs
are
not
necessarily
subject
to
each
of
the
information
collection
requirements
contained
in
this
ICR.
The
regulations
associated
with
each
ICR
will
identify
the
types
of
PWSs
that
are
subject
to
each
particular
drinking
water
regulation.

In
addition
to
the
PWS
respondents,
this
ICR
assumes
57
primacy
agencies
(
50
states
plus
D.
C.,
U.
S.
territories,
and
the
Navajo
Nation).
11
Therefore,
the
total
number
of
respondents
is
161,682.

The
total
costs
and
burden
for
these
respondents
are
summarized
in
Exhibits
5
and
6.
Agency
costs
and
burden
are
detailed
in
Section
6(
c).

6(
e)
Bottom
Line
Burden
Hours
and
Costs
The
bottom
line
burden
hours
and
costs
appear
in
Exhibit
7.
The
total
annual
respondent
burden
associated
with
this
ICR
is
estimated
to
be
approximately
3.22
million
burden
hours.
The
corresponding
total
annual
respondent
costs
are
estimated
to
be
$
116.4
million.
The
total
national
burden,
including
respondent
burden
and
EPA
burden,
is
estimated
to
be
3.77
million
hours
annually.
The
total
national
cost,
for
respondents
and
EPA,
is
estimated
to
be
$
141.1
million
annually.
PWSS
Program
ICR
August
2004
12
This
represents
the
"
cost
burden"
as
reported
in
the
OMB
inventory.
Note
that
there
are
no
capital
costs
associated
with
this
ICR.

54
Exhibit
7
Bottom
Line
Annual
Burden
and
Cost
2005­
2007
Number
of
Respondents
161,682
=
161,217
+
408
+
57
Existing
PWSs
New
PWSs
Primacy
agencies
Total
Annual
Responses
499,506
=
499,449
+
57
PWS
responses
Responses
from
primacy
agencies
Number
of
Responses
per
Respondent
3.09
=
499,506
/
161,682
Total
annual
responses
from
above
Total
respondents
from
above
Total
Respondent
Hours
3,223,430
=
1,995,413
+
1,228,017
PWS
hours
Primacy
agency
hours
Hours
per
Response
6.45
=
3,223,430
/
499,506
Total
annual
hours
from
above
Total
responses
from
above
Annual
O&
M
and
Capital
Cost12
$
19,716k
=
$
19,216k
$
500k
Total
PWS
O&
M
costs
Total
primacy
agency
O&
M
costs
Total
Respondent
Cost
$
116,457k
=
$
73,120k
+
$
43,337k
For
PWSs
For
primacy
agencies
Total
Hours
(
resp.
plus
Agency)
3,766,310
=
3,223,430
+
542,880
Total
respondent
hours
Total
EPA
hours
Total
Cost
(
resp.
plus
Agency)
$
141,092k
=
$
116,457k
$
24,635k
Total
respondent
cost
Total
EPA
cost
Note:
Detail
may
not
add
exactly
to
total
due
to
independent
rounding.
PWSS
Program
ICR
August
2004
55
6(
f)
Reasons
for
Change
in
Burden
This
section
presents
the
change
in
burden
and
explains
the
reasons
for
the
change
in
burden.
The
discussion
is
divided
into
four
parts
 

Section
6(
f)(
i)
summarizes
the
differences
between
the
burden
estimated
in
the
2001
PWSS
Program
ICR
and
the
current
OMB
inventory
for
the
PWSS
Program
ICR.
See
Exhibit
9.


Section
6(
f)(
ii)
summarizes
adjustments
to
burden
for
incorporating
ICRs
that
were
previously
stand­
alone
ICRs
into
the
PWSS
Program
ICR
renewal.
See
Exhibit
10.


Section
6(
f)(
iii)
summarizes
adjustments
to
burden
to
account
for
changes
in
the
definition
of
"
public
water
system"
introduced
by
the
1996
SDWA
Amendments.
See
Exhibit
11.


Section
6(
f)(
iv)
summarizes
other
adjustments
to
the
burden
estimates
associated
with
rules
that
remain
in
the
PWSS
Program
ICR.
See
Exhibits
12
and
13.

Exhibit
8
summarizes
how
each
of
these
changes
has
affected
the
overall
burden
inventory
for
the
PWSS
Program
ICR.

Exhibit
8
Reasons
for
Change
in
Annual
Burden
(
Hours)
(
Includes
both
PWS
and
Primacy
Agency
Burden)

Type
of
Change
Change
Running
Total
Comment
Burden
Estimated
in
the
2001
PWSS
Program
ICR
1,836,258
1,836,258
This
is
the
burden
estimated
in
the
November
28,
2001,
PWSS
Program
ICR.

Changes
and
Adjustments
to
the
Inventory
 
see
Section
6(
f)(
i)
785,590
2,621,848
This
is
the
current
OMB
inventory.
that
reflects
additional
hours
added
for
the
Public
Notification
Rule
Amendment
to
the
2001
PWSS
ICR.

Incorporation
of
stand­
alone
ICRs
 
see
Section
6(
f)(
ii)
103,405
2,725,253
Burden
after
incorporating
standalone
ICRs
(
Operator
Certification
Guidelines
and
Tribal
Operator
Certification).

Adjustments
to
account
for
the
revised
PWS
definition
 
see
Section
6(
f)(
iii)
51,671
2,776,924
Burden
after
accounting
for
activities
required
under
the
revised
PWS
definition.

Adjustments
to
rules
carried
forward
from
existing
ICRs
 
see
Section
6(
f)(
iv)
446,506
3,223,430
Burden
for
which
EPA
seeks
approval
in
this
ICR.

Note:
Detail
may
not
add
exactly
to
totals
due
to
independent
rounding.
PWSS
Program
ICR
August
2004
56
6(
f)(
i)
Burden
Changes
Approved
by
OMB
The
burden
estimated
in
the
2001
PWSS
Program
ICR
C
and
approved
by
OMB
C
was
1,836,258
hours.
Since
then,
the
actions
summarized
below
have
been
made
to
the
official
OMB
inventory.
These
changes
are
summarized
in
Exhibit
9;
documentation
of
these
changes
is
included
in
Appendix
B.


June
28,
2002:
OMB
approved
the
Public
Notification
Amendment
to
the
PWSS
Program
ICR.
The
2000
Public
Notification
rule
ICR
expired
in
2002.
The
amendment
added
785,590
hours
to
the
PWSS
Program
burden
bringing
the
total
burden
to
2,621,848
hours.

Exhibit
9
Changes
to
the
Burden
Inventory
for
the
PWSS
Program
ICR
(
Includes
both
PWS
and
Primacy
Agency
Burden)

Action
Annual
Burden
Hours
Brief
Explanation
N/
A
1,836,258
Opening
Inventory
from
2001
PWSS
Program
ICR
Add
785,590
Public
Notification
burden
Subtotal
2,621,848
Updated
Inventory,
as
of
1/
31/
04
6(
f)(
ii)
Incorporation
of
Stand­
alone
ICRs
into
the
PWSS
Program
ICR
Two
ICRs
that
are
currently
approved
as
stand­
alone
ICRs
 
the
Operator
Certification
Guidelines
and
Expense
Reimbursement
Program
and
the
Tribal
Operator
Certification
Program
 
have
been
incorporated
into
this
PWSS
Program
ICR.
The
current
Operator
Certification
ICR
annual
burden
is
96,837
hours
for
PWS
activities
and
3,971
hours
for
state
activities
for
an
annual
total
of
100,808
hours.
The
Tribal
Operator
Certification
Program
ICR
includes
only
a
total
burden
of
2,597
hours
for
PWS
activities.
The
Tribal
Operator
Certification
Program
ICR
does
not
expire
until
July
2006.
Therefore
burden
for
the
Tribal
Operator
Certification
Program
is
only
added
for
the
last
year
(
2007)
of
this
ICR.
Exhibit
10
shows
the
affects
of
these
changes
on
the
2001
PWSS
Program
ICR
inventory.
PWSS
Program
ICR
August
2004
57
Exhibit
10
Incorporation
of
Stand­
Alone
ICRs
(
Includes
both
PWS
and
Primacy
Agency
Burden)

Action
Annual
Burden
Hours
Brief
Explanation
None
2,621,848
OMB
approved
burden
as
of
1/
31/
04
Add
100,808
Operator
Certification
Guidelines
and
Expense
Reimbursement
Grants
Program
ICR
burden
Add
2,597
Tribal
Operator
Certification
Program
burden
Total
2,725,253
Inventory
after
approved
amendments
and
incorporation
of
stand­
alone
ICRs
6(
f)(
iii)
Adjustments
to
Account
for
Changes
in
the
Definition
of
a
PWS
In
the
1996
Amendments
to
the
SDWA,
Section
1401(
4)
broadened
the
definition
of
"
public
water
system"
to
include
systems
that
provide
water
for
human
consumption
and
deliver
the
water
via
constructed
conveyances.
Prior
to
this
change,
PWSs
included
only
piped
water
systems.
This
new
definition
affects
the
reporting
and
recordkeeping
burdens
for
both
PWSs
and
states.
Burden
adjustments
associated
with
PWS
activities
result
in
a
burden
increase
of
7,496
hours
per
year
and
those
associated
primacy
agency
activities
result
in
an
increase
of
44,175
hours
per
year.
Exhibit
11
shows
the
affects
of
these
changes
on
the
2001
PWSS
Program
ICR
inventory.

Exhibit
11
Adjustments
for
Changes
in
PWS
Definition
(
Includes
both
PWS
and
Primacy
Agency
Burden)

Action
Annual
Burden
Hours
Brief
Explanation
None
2,725,253
Inventory
after
approved
amendments
and
incorporation
of
stand­
alone
ICRs
Add
51,671
Burden
associated
with
changes
the
PWS
Definition
Total
2,776,924
Inventory
after
approved
amendments,
incorporation
of
stand­
alone
ICRs,
adjustments
for
changes
in
the
PWS
definition
PWSS
Program
ICR
August
2004
58
6(
f)(
iv)
Additional
Program
Adjustments
The
remaining
changes
in
burden
consist
of
program
adjustments
for
activities
that
were
carried
forward
from
existing
ICRs
to
this
PWSS
Program
ICR
renewal.
Exhibits
12
and
13
summarize
reasons
for
these
changes
and
quantify
the
changes
by
activity.
Burden
adjustments
associated
with
PWS
activities
resulted
in
a
burden
increase
of
468,433
hours
and
are
shown
in
Exhibit
12.
Burden
adjustments
for
primacy
agencies
resulted
in
a
decrease
of
21,927
hours
per
year,
as
shown
in
Exhibit
13.
The
large
increase
in
PWS
burden
is
discussed
below.

Most
of
the
increase
in
burden
for
PWSs
(
468,433
hours)
is
for
the
Public
Notification
Rule.
The
large
increase
in
burden
is
caused
by
several
factors.
The
first
factor
is
that
the
PN
amendment
covered
the
period
from
July
2002
through
December
2004,
which
is
only
two
and
a
half
years.
The
current
ICR
covers
a
full
three­
year
period
from
January
2005
through
December
2007.
The
second
factor
leading
to
the
large
increase
was
the
update
to
the
violations
data.
The
original
amendment
was
based
on
2000
SDWIS
violations
data,
the
current
ICR
was
updated
using
2002
SDWIS
violations
data.
The
total
number
of
violations
increased
significantly
between
2000
and
2002.
Tier
3
violations,
in
particular,
increased
by
approximately
30
percent
between
2000
and
2002.

In
general,
many
of
the
other
PWS
activities,
as
well
as
the
primacy
agency
activities,
decreased
in
burden
because
of
a
decrease
in
the
total
number
of
systems
between
2000
and
2003.
One
exception
was
the
CCR
activities
which
increased.
Although
the
total
number
of
systems
decreased,
larger
systems
sizes
increased
and
they
require
more
hours
than
small
systems
to
prepare
reports.
In
addition
some
start
up
activities
have
been
completed,
particularly
those
associated
with
the
Primacy
Regulation,
Operator
Certification
Program,
and
the
Tribal
Operator
Certification
Program.
PWSS
Program
ICR
August
2004
59
Exhibit
12
Adjustments
to
PWS
Burden
from
Previous
ICR
Estimates
Activity
Previous
Estimate
(
Hours)
2004
Annual
Burden
Estimate
(
Hours)
Annual
Change
in
Burden
(
Hours)
Reason
for
Change
in
Burden
CCR
527,137
534,484
7,347
The
change
in
burden
results
from
a
change
in
the
number
of
systems
for
which
the
burden
was
calculated.
The
overall
number
of
systems
decreased
slightly,
but
the
number
of
larger
systems
increased.
Because
the
larger
systems
require
more
times
to
prepare
their
reports,
the
overall
effect
was
a
net
increase.

Primacy
Regulations
N/
A
N/
A
N/
A
N/
A
V/
E
13,050
13,050
0
N/
A
General
State
Primacy
N/
A
N/
A
N/
A
N/
A
Capacity
Development
136,723
132,328
(
4,395)
The
change
in
burden
results
from
a
decrease
in
the
number
of
systems
for
which
the
burden
was
calculated.

Public
Notification
743,140
1,226,699
483,559
The
PN
amendment
included
burden
for
only
a
two
and
a
half
year
period,
while
the
current
ICR
covers
a
full
three
years.
The
number
of
violations
was
also
updated
from
2000
to
2002
data,
for
which
a
significant
increase
in
Tier
3
violations
occurred.

Operator
Certification
Guidelines
and
Expense
Reimbursement
Grants
Program
96,837
79,616
(
17,221)
Burden
for
obtaining
a
certified
operator
or
applying
for
grandfather
status
drops
out
because
these
activities
were
completed
in
2003.
The
total
number
of
systems
requiring
operators
also
dropped.

Tribal
Operator
Certification
Program
2,597
1,740
(
857)
The
current
ICR
expires
in
2006.
Therefore
only
one
year
of
burden
(
2007)
is
added
to
this
ICR.
Also,
all
the
initial
start
up
activities
were
completed
by
the
end
of
2004.

TOTAL
1,519,484
1,987,917
468,433
PWS
change
in
burden
after
adjustments.
PWSS
Program
ICR
August
2004
60
Exhibit
13
Adjustments
to
Primacy
Agency
Burden
from
Previous
ICRs
Activity
Previous
Burden
Estimate
(
Hours)
2004
Annual
Burden
Estimate
(
Hours)
Annual
Change
in
Burden
(
Hours)
Reason
for
Change
in
Burden
CCR
112,368
110,317
(
2,051)
The
change
in
burden
results
from
a
decrease
in
the
number
of
systems.

Primacy
Regulations
116
0
(
116)
All
activities
for
these
regulations
will
be
completed
before
this
ICR
period.

V/
E
109,080
109,080
0
N/
A
General
State
Primacy
867,933
837,358
(
30,575)
The
change
in
burden
results
from
a
decrease
in
the
number
of
systems.

Capacity
Development
69,851
66,894
(
2,957)
The
change
in
burden
results
from
a
decrease
in
the
number
of
systems.

Public
Notification
42,450
57,001
14,551
The
PN
amendment
included
burden
for
only
a
two
and
a
half
year
period,
while
the
current
ICR
covers
a
full
three
years.
The
number
of
violations
was
also
updated
from
2000
to
2002
data,
for
which
a
significant
increase
in
Tier
3
violations
occurred.

Operator
Certification
Guidelines
and
Expense
Reimbursement
Grants
Program
3,971
3,192
(
779)
Burden
for
obtaining
a
certified
operator
or
applying
for
grandfather
status
drops
out
because
those
activities
were
completed
in
2003.

Tribal
Operator
Certification
Program
N/
A
N/
A
N/
A
N/
A
TOTAL
1,205,769
1,183,842
(
21,927)
Primacy
agency
change
in
burden
after
adjustments.

Exhibit
14
shows
the
effects
of
these
adjustments
on
the
bottom
line
burden.
There
is
an
annual
burden
of
2,776,924
hours
after
the
incorporation
of
stand­
alone
ICRs
and
program
PWSS
Program
ICR
August
2004
61
adjustments.
Adding
468,433
hours
to
account
for
adjustment
to
the
PWS
burden
and
subtracting
21,927
hours
to
account
for
the
adjustments
to
the
primacy
burden
yields
3,223,430
hours.
PWSS
Program
ICR
August
2004
62
Exhibit
14
Adjustments
to
Activities
Carried
Forward
from
Previous
ICRs
(
Includes
both
PWS
and
Primacy
Agency
Burden)

Action
Annual
Burden
Hours
Brief
Explanation
None
2,776,924
Inventory
after
restructuring
adjustments,
incorporating
stand­
alone
ICRs
,
and
adjustments
for
the
change
in
the
PWS
definition
(
see
Exhibits
9­
11)

Add
468,433
Adjustments
for
PWS
activities
carried
forward
from
previous
ICRs
(
see
Exhibit
12)

Subtract
21,927
Adjustment
for
primacy
agency
activities
carried
forward
from
previous
ICRs
(
see
Exhibit
13)

Total
3,223,430
Equals
hours
requested
in
2004
PWSS
Program
ICR.
(
See
Exhibit
7)

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

6(
g)
Burden
Statement
The
public
reporting
burden
for
collections
included
in
this
ICR
is
detailed
in
Exhibit
7
above.
The
annual
respondent
burden
is
estimated
to
average
approximately
4.0
hours
per
respondent
per
year,
for
CWSs
and
21,544.2
hours
per
respondent
for
primacy
agencies.
These
estimates
include
time
for
gathering
information
as
well
as
developing
and
maintaining
records.

Burden
means
the
total
time,
effort,
or
financial
resources
expended
by
people
to
generate,
maintain,
retain,
disclose,
or
provide
information
to
or
for
a
Federal
agency.
This
includes
the
time
needed
to
review
instructions;
develop,
acquire,
install,
and
utilize
technology,
and
systems
for
the
purposes
of
collecting,
validating,
and
verifying
information,
processing
and
maintaining
information,
and
disclosing
and
providing
information;
adjust
the
existing
ways
to
comply
with
any
previously
applicable
instructions
and
requirements;
train
personnel
to
be
able
to
respond
to
a
collection
of
information;
search
data
sources;
complete
and
review
the
collection
of
information;
and
transmit
or
otherwise
disclose
the
information.
An
agency
may
not
conduct
or
sponsor,
and
a
person
is
not
required
to
respond
to,
a
request
for
information
collection
unless
it
displays
a
currently
valid
OMB
control
number.
The
OMB
control
numbers
for
EPA's
regulations
are
listed
in
40
CFR
Part
9
and
48
CFR
Chapter
15.

To
comment
on
the
Agency's
need
for
this
information,
the
accuracy
of
the
provided
burden
estimates,
and
any
suggested
methods
for
minimizing
respondent
burden,
including
the
use
of
automated
collection
techniques,
EPA
has
established
a
public
docket
for
this
ICR
under
Docket
ID
No.
OW­
2004­
0007,
which
is
available
for
public
viewing
at
the
Water
Docket
in
the
EPA
Docket
Center
(
EPA/
DC),
EPA
West,
Room
B102,
1301
Constitution
Ave.,
NW,
Washington,
DC.
The
EPA
Docket
Center
Public
Reading
Room
is
open
from
8:
30
a.
m.
to
4:
30
p.
m.,
Monday
through
Friday,
excluding
legal
holidays.
The
telephone
number
for
the
room
is
PWSS
Program
ICR
August
2004
63
(
202)
566­
1744,
and
the
telephone
number
for
the
Water
Docket
is
(
202)
566­
2426.
An
electronic
version
of
the
public
docket
is
available
through
EPA
Dockets
(
EDOCKET)
at
http://
www.
epa.
gov/
edocket.
Use
EDOCKET
to
submit
or
view
public
comments,
to
access
the
index
listing
of
the
contents
of
the
public
docket,
and
to
access
those
documents
in
the
public
docket
that
are
available
electronically.
Once
in
the
system,
select
"
search,"
then
key
in
the
docket
ID
number
identified
above.
Also,
you
can
send
comments
to
the
Office
of
Information
and
Regulatory
Affairs,
Office
of
Management
and
Budget,
725
17th
Street,
NW,
Washington,
DC
20503,
Attention:
Desk
Office
for
EPA.
Please
include
the
EPA
Docket
ID
No.
(
OW­
2004­
0007)
and
the
OMB
Control
No.
2040­
0090
in
any
correspondence.
