1816ss05

SUPPORTING STATEMENT PART A:
INFORMATION COLLECTION REQUEST
FOR THE
EPA STRATEGIC PLAN INFORMATION ON SOURCE WATER
PROTECTION
OMB Control No. 2040-0197
EPA ICR No. 1816.05

November, 2011

1. Identification of the Information Collection
1(a)

Title of the Information Collection

EPA Strategic Plan Information on Source Water Protection

1(b)

Short Characterization/Abstract

Section 1453 (a)(3) of the Safe Drinking Water Act (SDWA) required states to submit a
Source Water Assessment Program within 18 months after the U.S. Environmental Protection
Agency (EPA) published its State Source Water Assessment and Protection Programs Guidance:
Final Guidance. Upon EPA approval of their programs, states conducted source water
assessments of their public water systems. State assessments were required to be completed
three and a half years after approval of a state’s program; the assessment program is therefore
complete relative to the SDWA requirements. The burden and cost associated with all of the
assessment was accounted for in three previous information collection requests (ICRs) [EPA ICR
No. 1816.01, 1816.02, and 1816.03]. While Section 1453 (a)(3) of the SDWA does not authorize
source water protection, States are encouraged to use the data collected in the source water
assessments to develop protection plans for source water areas. Drinking Water State Revolving
Fund monies authorized in Section 1452(g)(2)(B) may be used for activities to support efforts in
source water protection.
The National Water Program Guidance for FY 2012, published on September 30, 2010,
describes the key actions needed to accomplish the public health and environmental goals in
EPA’s FY 2011-2015 Strategic Plan. EPA’s goal is to increase the number of community water
systems (CWSs) with minimized risk to public health through development and implementation
of source water protection (SWP) strategies for source water areas. Information on progress
toward this goal is reported by the states via two measures:


Percent of community water systems where risk to public health is minimized through
source water protection (SDW-SP4a).



Percent of the population served by community water systems where risk to public health
is minimized through source water protection (SDW-SP4b).

The National Water Program Guidance is available at http://www.epa.gov/water/waterplan.
EPA is collecting, on a voluntary basis, data from the states on their progress toward
substantial implementation of prevention strategies for all CWSs. EPA estimates that, over the
three years covered by this request, the total non-Agency respondent burden associated with this
voluntary reporting will be 4,224 hours (an average of 1,408 hours per year), and the cost to
respondents of the information collection will be $174,975 (an average of $58,325 per year).

1

2. Need for and Use of the Collection
2(a)

Need/Authority for the Collection

The information to be collected will help states and EPA understand the progress toward
the Agency’s goal to increase the number of community water systems with minimized risk to
public health through development and implementation of SWP strategies for source water areas.
EPA needs to understand whether prevention efforts are working to reduce risks to water
quality and thereby reducing risks to public health. Measures and other information at the state,
regional, and national levels provide guideposts for judging the success of the program actions.
They also provide key information for targeting actions and resources to prevent contamination
from the most serious threats to drinking water. State-wide, regional, and national information
also provides accountability to legislative bodies (State Legislatures and Congress) for SDWA
implementation, and demonstrates that tax dollars are being well spent, as well as demonstrate
that EPA is meeting goals set under the Government Performance and Results Act. The
information reported will help to demonstrate the results achieved from categorical grants and
Performance Partnership Grants. In addition, EPA will be able to measure its own program
outputs and whether they are leading toward contamination prevention and risk reduction, and
provide feedback and opportunities for national, regional, state, and local program refinement
and improvement.
EPA is collecting, on a voluntary basis, data from the states related to the progress toward
substantial implementation of prevention strategies for all CWS source water areas (SWAs). The
information to be collected in this renewal ICR will be used to fulfill the needs of the 2011-2015
Strategic Plan, the Performance Accountability Report, the National Water Program Guidance,
and the budget. Section 1453 (a)(3) of the SDWA (see Appendix A) required States to complete
source water assessments of potential contamination for source water areas. The information
collected in the source water assessments may be used to implement source water protection
programs. While implementing a source water protection program is not required under Section
1453, Drinking Water State Revolving Fund monies authorized in Section 1452(g)(2)(B)
(Appendix B) may be used for activities to support these efforts.

2(b)

Practical Utility/Users of the Data

EPA has developed a set of measures to assess the degree to which states are attaining
source water contamination prevention goals and to demonstrate that reducing risks to public
health through source water protection is being attained. The SWP measures have evolved over
time and some of the original performance measures data are no longer collected. The measures
attempt to answer four key questions about the SWP Program.
1.
2.
3.
4.

Are the state and tribal source water assessments being completed?
What threats to sources of drinking water are being found in assessment results?
How are current and future drinking water supplies being protected?
Are source water protection actions decreasing public health risks by preventing
contamination of drinking water supplies?

Data collected under earlier ICRs answered the first two questions. EPA is now focusing
on gauging progress toward addressing threats identified during the source water assessment
2

process. States and the Federal government will use the answers to these key questions to
understand whether prevention program actions are reducing risks from source waters; these
reductions are presumed to increase public health protection. This information will also help
SWP program managers better manage resources and reduce risks from the most threatening
sources of contamination and protect the most threatened source waters. Lastly, the collected
data will be used to inform state and federal managers and legislators regarding the success of
prevention program actions to reduce the risks to source waters.
Effectively tracking data elements and using them in program performance measures
requires a coordinated nationwide effort. The purpose of this information collection is to gather
and assess data to answer the above questions and evaluate the status of reaching contamination
prevention goals.
This information will also promote the integration of source water contamination
prevention policies into other programs. This data is linked with work done under the Public
Water System Supervision (PWSS) program and the Underground Injection Control program
through the State Grant Performance Measure template. Some of this information will increase
the public’s awareness of issues related to protecting drinking water sources and, hopefully, their
involvement in protective activities. EPA hopes that these measures will provide states, regions,
and the federal government with a focus for prevention efforts with local communities
implementing actions in a timely and cost-effective manner.

3

3. Nonduplication, Consultations, and Other Collection Criteria
3(a)

Nonduplication

EPA is not aware of any similar reporting activities related to the status of contamination
prevention efforts within the states. States are encouraged to track the requested information
using databases. This approach should allow state reporters to take advantage of existing
information and not duplicate other efforts.
States can use appropriate existing resources. These resources include sanitary surveys
of local PWSs, state wellhead protection programs, state pesticide management programs, state
watershed approaches including efforts under the Surface Water Treatment Rule, monitoring
waiver programs, or the Federal Water Pollution Control Act (Clean Water Act).

3(b)

Public Notice Required Prior to ICR Submission to OMB

EPA published notice requesting comment on the burden and cost associated with
reporting on progress toward substantially implementing prevention strategies in the Federal
Register on August 16, 2011 (76 FR 50726). Appendix C presents a copy of this Federal
Register Notice.
EPA received two comments in response to the Federal register notice. Based on one of
these comments, EPA clarified how the reporting burden estimates were derived in Section 6(a);
however the burden estimates in this final ICR are unchanged.

3(c)

Consultations

In developing burden and cost estimates and underlying assumptions for this ICR, EPA
consulted staff from the Utah Department of Environmental Quality, Division of Drinking
Water, which is responsible for source water assessment and protection activities in the State.
Agency staff provided input on the hourly burden and cost associated with compiling
data and reporting on the status of substantially implementing prevention plans in their states.
The burden and cost estimates in this ICR reflect these estimates.

3(d)

Effects of Less Frequent Collection

EPA will report annually to Congress on the Strategic Activities and goals in the 20112015 Strategic Plan, including progress on the SWP strategic measures. EPA will also report to
the Office of Budget and Management on the SWP measures. EPA is requesting that states
voluntarily provide data on the status of source water protection measures. While States are not
obligated to provide information for these measures, EPA is strongly encouraging states to
provide such information.

4

3(e)

General Guidelines

All data collections covered by this ICR comply with the Office of Management and
Budget’s (OMB’s) general guidelines for information collections.

3(f)

Confidentiality

No confidential data is collected.

3(g)

Sensitive Questions

There are no sensitive questions pertaining to this ICR.

5

4. The Respondents and the Information Requested
4(a)

Respondents/SIC Codes

The respondents for this information collection are state environmental and health
agencies. The Standard Industrial Classification (SIC) code for state respondents is 9511 (Air
and Water Resource and Solid Waste Management); the North American Industry Classification
System (NAICS) code is 92411, Administration of Air and Water Resource and Solid Waste
Management Programs.

4(b)

Information Requested

Data Items, Including Recordkeeping Requirements
Under this collection, state respondents need submit only two data items annually to their
EPA Regions. States are asked to report the following information:
•

Number of CWSs with source water protection strategies in place and substantially
implemented (states are requested to submit their definition of “substantial
implementation” only if it has changed); and

•

The population served by those CWSs.

EPA requests this information through a memorandum sent to the Regions (a copy is shown in
Appendix D) or draws the information from the Safe Drinking Water Information System
(SDWIS) database, as described in Section 5(b).
Respondent Activities
For this voluntary information collection, states can submit the information via e-mail.
States are assumed to have already developed databases to collect, compile, and store this
information. States can also provide the information via SDWIS.
There are no recordkeeping requirements associated with this information collection.
However, EPA anticipates that states will maintain or have access to the data used to compile the
summary of substantial SWP implementation and will provide the data to interested stakeholders
on request.

6

5. The Information Collected – Agency Activities, Collection Methodology,
and Information Management
5(a)

Agency Activities

EPA Regions will compile data submitted by states on the numbers of CWSs that have
substantially implemented SWP programs and the populations served by these systems. The
Regions will submit the data to EPA Headquarters. Based on the data submitted by the Regions
and data from the Safe Drinking Water Information System, for each state and Region,
Headquarters will calculate the percentages of CWSs and population served that have
substantially implemented SWP programs. Headquarters will forward its calculations to the
Regions, who will enter the percentages into EPA’s Annual Commitment System (ACS). The
Regions will also include this information on the State Grant Performance Measure template.
Headquarters will use data from the states to gauge progress toward meeting the strategic
target in the 2011-2015 Strategic Plan using state-reported data on source water protection
activities for the strategic target. EPA also responds to inquiries from and communicates with
state managers, the public, and Congress on progress being made toward prevention actions that
minimize risks to source waters and public health.
EPA is committed to successful source water protection activities aimed at meeting the
targets in the Strategic Plan. EPA provides assistance to the states in the form of DWSRF, Clean
Water Act Section 106 funds, and PWSS monies designed to aid state and local staff in
substantially implementing source water protection strategies, facilitate information exchange,
and encourage involvement of all capable participants and contributors at state, local, and
regional levels.

5(b)

Collection Methodology and Management

EPA anticipates that states may use a variety of methods to maintain the data necessary
and report to EPA on the status of contamination prevention efforts.


Some states will collect and store the data on each CWS or SWA in a state database.
When EPA requests information each year on the status of SWP efforts, these states will
report the number of CWSs with SWP strategies and associated population served to their
EPA regional contact via e-mail.



Other states will report via SDWIS. Beginning in 2010, states have the option of
including information about SWP activities in SDWIS. (To report this way, States must
have FedRep 3.1 and SDWIS/State 2.2 versions of the SDWIS software.) States that enter
SWP-related information about their CWSs into SDWIS and notify EPA of their
intention to report SP-4 using SDWIS are not required to reply to EPA’s request for
information on the status of SWP efforts. Instead, EPA will draw this information
directly from SDWIS.

EPA Regions will compile the information submitted by states or pulled from SDWIS on
an electronic form and submit the form to EPA Headquarters. Headquarters will use a
spreadsheet to calculate the percentages of CWSs (and the percentage of the population
7

associated with those CWSs) in each state and Region that have substantially implemented SWP.
The Regions will then enter the data into ACS, the Agency’s database of record for the SWP
measures.

5(c)

Small Entity Flexibility

The Regulatory Flexibility Act, 5 U.S.C. 602 et seq., requires the Agency to explicitly
consider the effects of regulations on small entities and to develop (under certain circumstances)
a Regulatory Flexibility Analysis describing these impacts. The respondents for this information
collection are state environmental and health agencies, which are not small businesses or
organizations, as defined in the Regulatory Flexibility Act.

5(d)

Collection Schedule

EPA is collecting measures data from the states on an annual basis to align with annual
reporting to Congress and OMB.

8

6. Estimating the Burden and Cost of the Collection
The National Water Program Guidance includes source water protection program
measures to describe the voluntary source water protection actions taken at the local or regional
level, based on the results of the States’ assessment of potential contamination risks to drinking
water. The information is collected from States to understand the aggregate results of State
assessments and the protection actions based on those assessments, and to measure progress
toward strategic goals.
EPA is collecting, on a voluntary basis, data from the states and regions related to
progress toward substantial implementation of prevention strategies for all CWS SWAs. EPA
estimates that, over time, many of the approximately 51,000 CWSs in the nation will develop
and substantially implement voluntary contamination prevention strategies for drinking water
supplies. The burden and cost associated with these individual plans is not included in this ICR,
as there is no associated federal reporting or record keeping requirement.
EPA estimates that, over the three years covered by this request, the total respondent
burden associated with this reporting will average 1,408 hours per year and the cost to
respondents of the information collection will average $58,325 per year. The total burden and
cost, presented in Section 6(e), are the product of the annual burden and cost per response,
presented in Sections 6(a) and 6(b), respectively and the number of responses, which are
presented in Section 6(d). Section 6(c) presents the burden and cost to EPA; Section 6(f)
discusses the change in the burden and cost estimates between the last information collection
request (EPA ICR No. 1816.04) and this ICR.

6(a)

Estimating Respondent Burden

Respondent burden estimates associated with progress toward developing and
substantially implementing prevention strategies for all CWSs are presented in Exhibit 6-1.
Column A of Exhibit 6-1 presents the annual unit burden to states for each activity.


EPA estimates that states reporting SWP measures data to the regions will devote an
average of 33 hours annually over the next three years to collecting the requested data,
discussing the status of SWP efforts with CWS staff, and reporting this information to
EPA. This estimate reflects the fact that some states (e.g., states with fewer systems or
with definitions of source water protection that require less rigor to track systemspecifically) will be able to complete the reporting in less than 33 hours, while other
states with more complex reporting issues may take more time, i.e., up to two weeks, for
reporting activities. EPA assumes that, to compile the reports, states will use databases
that track the implementation status of prevention strategies in each CWS or SWA in
their state. EPA anticipates that state staff will report to the EPA regions via email.



EPA estimates that states reporting via SDWIS will spend an average of 8 hours annually
reporting this information to EPA. EPA assumes that this burden will involve states
performing quality checks of the data. (The burden associated with entering data on
CWSs into SDWIS is covered in the ICR for the Public Water System Supervision
Program, OMB Control No. 2040-0090.)
9

Exhibit 6-1
Annual Respondent Burden and Cost
A

B

C

D

E

F

Hours and Cost per Response
Information Collection
Activity

O&M
Cost

Total Nonlabor Cost
(C+D)

G

H

Total Hours and Cost
Total
Total Cost/
Number of Hours/Year
Year
Responses
(A*F)
(B+E) * F

Respondent
Hours/Year

Labor
Cost/Year

Annualized
Capital Cost

Report progress to
EPA via email

33

$1,367

$0

$0

$0

40

1,320

$54,680

Report progress to
EPA via SDWIS

8

$331

$0

$0

$0

11

88

$3,645

41

$1,698

$0

$0

$0

51

1,408

$58,325

State activities

TOTAL

Notes:
The above figures represent 3-year averages.
Numbers may not appear to add due to rounding.

Recordkeeping Requirements
EPA assumes that states will maintain source water assessment and protection measures
data on state computers dedicated to source water assessment and protection efforts or in
SDWIS. Thus, no incremental recordkeeping burden or cost will be incurred by the states.

6(b)

Estimating Respondent Costs

EPA estimates that, over the next three years, the total annual labor cost per state
associated with this information collection is $1,698 (see Column B of Exhibit 6-1). For this
ICR, EPA assumed that the average hourly labor rate for a state employee is $41.42. This
estimate is based on a federal GS-9, Step 10 salary on the 2012 federal pay scale, increased by 60
percent to account for overhead costs. (This is the inflation factor recommended in EPA’s ICR
Handbook.)
There are no non-labor (capital or O&M) costs associated with this information
collection. See Columns C through E of Exhibit 6-1.

6(c)

Estimating Agency Burden and Cost

The federal burden associated with prevention strategy implementation during this
clearance period includes the time spent by EPA Regional and Headquarters staff to collect and
analyze state measures data and report on findings. Federal burden and cost are presented in
Columns A through F of Exhibit 6-2.
In the three years of this collection, EPA estimates that Headquarters and the Regions
will spend 180 hours per year compiling prevention data. EPA assumes that each region will
10

spend approximately 15 hours per year (150 hours total) gathering data from the states and
submitting it to Headquarters. EPA estimates that Headquarters will devote 30 hours to
collecting and analyzing regional data and discussing this data with the regions.
Exhibit 6-2
Annual Agency Burden and Cost
A

B

C

D

Hours and Cost Per Response
Information Collection
Activity

Agency
Hours/Year

Regions compile
measures data.
Headquarters reviews
measures data.

Labor
Cost/Year

E

F

Total Hours and Cost

Non-Labor
Cost/Year

Number of
Responses

Total
Hours/ Year
(A * D)

Total
Cost/Year
(B + C) * D

15

$786

$0

10

150

$7,855

30

$1,571

$0

1

30

$1,571

TOTAL
45
$2,357
Numbers may not appear to add due to rounding.

$0

11

180

$9,426

EPA estimates that the annual federal labor cost associated with compiling and analyzing
data on the progress of assessment and prevention efforts will be $9,426. In developing Agency
labor costs, EPA estimates the average hourly labor rate for salary and overhead and benefits for
Agency staff to be $52.37. To derive this figure, EPA multiplied the hourly compensation at
GS-12, Step 5 on the 2008 GS pay scale ($32.73) by the standard government benefits
multiplication factor of 1.6 to account for overhead and benefits. There are no non-labor (capital
or O&M) Agency costs associated with this information collection.
6(d)

Estimating the Respondent Universe and Total Burden and Cost

Staff in 49 states (excluding California), Puerto Rico, and the District of Columbia are
expected to report once annually to EPA on the status of prevention efforts. The number of
responses is shown in Column F of Exhibit 6-1.
Column G of Exhibit 6-1 presents the total annual burden (i.e., the hours per response
times the number of responses). Column H of Exhibit 6-1 presents the total annual cost (i.e., the
sum of labor costs and non-labor costs per response times the number of responses).

6(e)

Bottom Line Burden Hours and Cost/Burden Tables

Respondent Tally
The total annual burden to states associated with compiling information related to source
water assessments and implementing prevention strategies, and reporting on the status over the
next three years is 1,408 hours, and the total annual cost to states is $58,325. Exhibit 6-3
presents the total respondent burden and cost.
Over the three years covered by this request, the total respondent burden associated with
this information collection will be 4,224 hours. The cost to respondents of the information
collection will be $174,975.
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Exhibit 6-3
Summary of Annual Respondent Burden and Costs

Response

Number of
Responses

Total
Hours/ Year

Total Annual
Labor Cost

Total Annual
Non-labor
Cost

Total Annual
Respondent
Cost

Report progress

51

1,408

$58,325

$0

$58,325

Total

51

1,408

$58,325

$0

$58,325

Burden per
response
Cost per
response

27.61
$1,143.63

Agency Tally
The total annual Agency burden is 180 hours, and the total annual Agency cost is $9,426.
Exhibit 6-4 presents the total annual Agency burden and cost associated with reviewing
measures data.
Over the three years covered by this request, the total Agency burden associated with this
voluntary reporting will be 540 hours. The total Agency cost over the three years covered by this
ICR will be $28,279.
Exhibit 6-4
Summary of Annual Agency Burden and Costs
Activity
Compile data
(Regions)
Analyze data
(Headquarters)
Total

6(f)

Total Number
of Responses

Total Hours/
Year

10

150

1
11

30
180

Total Annual
Labor Cost

Total Annual Nonlabor Cost

Total Annual
Agency Cost

$7,855

$0

$7,855

$1,571
$9,426

$0
$0

$1,571
$9,426

Reasons for Change in Burden

In the approved ICR [OMB Control No. 2040-0197; EPA ICR No. 1816.04], the burden
associated with source water assessment and protection activities is 5,148 hours (an average of
1,716 hours per year). EPA estimates that, over the three years covered by this collection, the
total respondent burden associated with this voluntary reporting will be 4,224 hours (an average
of 1,408 hours per year). This represents a decrease of 924 hours from the previous clearance
period, or 308 hours per year.
The estimated cost to respondents in the approved ICR [EPA ICR No. 1816.04] is $2.46
million (an average of $0.82 million per year). EPA estimates that, over the three years covered
by this renewal request, the cost to respondents of the information collection will be $174,975
(an average of $58,325 per year). This represents a decrease of $2,285,886 from the previous
clearance period, or $761,962 per year. The change in burden and cost is due to the following:
12



Decreased labor burden associated with reporting via SDWIS. EPA estimates that 11
states will incur reduced burden by using the capabilities of SDWIS to report to EPA on
the status of contamination prevention efforts in their states.



Decreased cost is associated with completion of activities related to state’s development
of state data bases to compile data on SWP activities by CWSs. The previous two ICRs
(EPA ICR Nos. 1816.03 and 1816.04) estimated the costs for these data base
development activities (amortized over 5 years). These activities are assumed to be
complete, and this ICR includes no capital costs associated with data base development.

While states will be devoting a significant amount of time to developing and
implementing prevention strategies in the coming years, this ICR does not include the burden
associated with the source water protection activities themselves because the data reported only
relates to tracking source water protection activities, not performing them. States will continue
to report progress on protection activities annually to EPA. Exhibit 6-5 presents the approved
and estimated annual burden and costs from the previous ICR and this ICR, and the change
between the clearance periods.
Exhibit 6-5
Change in Annual Burden and Cost
(Excluding Agency Burden and Cost)
Annual Burden
Approved This ICR Change
(2008)

Activity

Approved
(2008)

Annual Cost
This ICR

Change

Report
progress

1716

1,408

(308)

$820,287

$58,325

($761,962)

Total

1,716

1,408

(308)

$820,287

$58,325

($761,962)

6(g)

Reason
Reporting
change

Burden Statement

EPA estimates that, over the three years covered by this request, the total non-Agency
respondent burden associated with this voluntary reporting will be 4,224 hours (an average of
1,408 hours per year), and the cost to respondents of the information collection will be $174,975
(an average of $58,325 per year).
State reporting burden for this ICR is estimated to average 27.61 hours per response, or
$1,143.63 per response, annually (see Exhibit 6-3). Burden means the total time, effort, or
financial resources expended by persons to generate, maintain, retain, or disclose or provide
information to or for a federal agency. This includes the time needed to review instructions;
develop, acquire, install, and utilize technology and systems for the purposes of collecting,
validating, and verifying information, processing and maintaining information, and disclosing
and providing information; adjust the existing ways to comply with any previously applicable
instructions and requirements; train personnel to be able to respond to a collection of
information; search data sources; complete and review the collection of information; and
transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a
person is not required to respond to, a collection of information unless it displays a currently
13

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
through the use of automated collection techniques, EPA has established a public docket for this
ICR under Docket ID No. OW-2004-0013, which is available for public viewing at the Water
Docket in the EPA Docket Center (EPA/DC), EPA West, Room B3334, 1301 Constitution Ave.,
NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to
4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the
Reading Room is (202) 566-1744, and the telephone number for the Water Docket is (202) 5662426. An electronic version of the public docket is available through the EPA Docket Center at
http://www.regulations.gov. Use regulations.gov to submit or view public comments, access the
index listing of the contents of the public docket, and to access those documents in the public
docket that are available electronically. Once in the system, select “search,” then key in the
docket ID number identified above. Also, you can send comments to the Water Docket,
Environmental Protection Agency, EPA Docket Center (EPA/DC), Mailcode: 4101T, 1200
Pennsylvania Ave., NW, Washington, DC 20460. Please include the EPA Docket ID No. (EPAHQ-OW-2004-0013) and OMB control number (2040-0197) in any correspondence.

14

Appendix A

Section 1453 of the Safe Drinking Water Act

15

4SEC. 132. SOURCE WATER ASSESSMENT.
(a) IN GENERAL- Part E (42 U.S.C. 300j et seq.) is amended by adding at the end the following:
SOURCE WATER QUALITY ASSESSMENT
SEC. 1453. (a) SOURCE WATER ASSESSMENT(1) GUIDANCE- Within 12 months after the date of enactment of the Safe Drinking Water Act
Amendments of 1996, after notice and comment, the Administrator shall publish guidance for States
exercising primary enforcement responsibility for public water systems to carry out directly or through
delegation (for the protection and benefit of public water systems and for the support of monitoring
flexibility) a source water assessment program within the State’s boundaries. Each State adopting
modifications to monitoring requirements pursuant to section 1418(b) shall, prior to adopting such
modifications, have an approved source water assessment program under this section and shall carry out
the program either directly or through delegation.
(2) PROGRAM REQUIREMENTS- A source water assessment program under this subsection
shall-(A) delineate the boundaries of the assessment areas in such State from which one or
more public water systems in the State receive supplies of drinking water, using all reasonably available
hydrogeologic information on the sources of the supply of drinking water in the State and the water flow,
recharge, and discharge and any other reliable information as the State deems necessary to adequately
determine such areas; and
(B) identify for contaminants regulated under this title for which monitoring is required
under this title (or any unregulated contaminants selected by the State, in its discretion, which the State,
for the purposes of this subsection, has determined may present a threat to public health), to the extent
practical, the origins within each delineated area of such contaminants to determine the susceptibility of
the public water systems in the delineated area to such contaminants.
(3) APPROVAL, IMPLEMENTATION, AND MONITORING RELIEF- A State source water
assessment program under this subsection shall be submitted to the Administrator within 18 months after
the Administrator’s guidance is issued under this subsection and shall be deemed approved 9 months after
the date of such submittal unless the Administrator disapproves the program as provided in section
1428(c). States shall begin implementation of the program immediately after its approval. The
Administrator’s approval of a State program under this subsection shall include a timetable, established in
consultation with the State, allowing not more than 2 years for completion after approval of the program.
Public water systems seeking monitoring relief in addition to the interim relief provided under section
1418(a) shall be eligible for monitoring relief, consistent with section 1418(b), upon completion of the
assessment in the delineated source water assessment area or areas concerned.
(4) TIMETABLE- The timetable referred to in paragraph (3) shall take into consideration the
availability to the State of funds under section 1452 (relating to State loan funds) for assessments and
other relevant factors. The Administrator may extend any timetable included in a State program approved
under paragraph (3) to extend the period for completion by an additional 18 months.
(5) DEMONSTRATION PROJECT- The Administrator shall, as soon as practicable, conduct a
demonstration project, in consultation with other Federal agencies, to demonstrate the most effective and
protective means of assessing and protecting source waters serving large metropolitan areas and located
on Federal lands.
(6) USE OF OTHER PROGRAMS- To avoid duplication and to encourage efficiency, the
program under this section may make use of any of the following:
(A) Vulnerability assessments, sanitary surveys, and monitoring programs.
(B) Delineations or assessments of ground water sources under a State wellhead
protection program developed pursuant to this section.
(C) Delineations or assessments of surface or ground water sources under a State
pesticide management plan developed pursuant to the Pesticide and Ground Water State Management
Plan Regulation (subparts I and J of part 152 of title 40, Code of Federal Regulations), promulgated under
section 3(d) of the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136a(d)).
(D) Delineations or assessments of surface water sources under a State watershed
initiative or to satisfy the watershed criterion for determining if filtration is required under the Surface
Water Treatment Rule (section 141.70 of title 40, Code of Federal Regulations).

16

(E) Delineations or assessments of surface or ground water sources under programs or
plans pursuant to the Federal Water Pollution Control Act.
(7) PUBLIC AVAILABILITY- The State shall make the results of the source water assessments
conducted under this subsection available to the public.
(b) APPROVAL AND DISAPPROVAL- For provisions relating to program approval and disapproval,
see section 1428(c).’.
(b) APPROVAL AND DISAPPROVAL OF STATE PROGRAMS- Section 1428 (42 U.S.C. 300h-7) is
amended as follows:
(1) Amend the first sentence of subsection (c)(1) to read as follows: If, in the judgment of the
Administrator, a State program or portion thereof under subsection (a) is not adequate to protect public
water systems as required by subsection (a) or a State program under section 1453 or section 1418(b)
does not meet the applicable requirements of section 1453 or section 1418(b), the Administrator shall
disapprove such program or portion thereof.’.
(2) Add after the second sentence of subsection (c)(1) the following: A State program developed
pursuant to section 1453 or section 1418(b) shall be deemed to meet the applicable requirements of
section 1453 or section 1418(b) unless the Administrator determines within 9 months of the receipt of the
program that such program (or portion thereof) does not meet such requirements.’.
(3) In the third sentence of subsection (c)(1) and in subsection (c)(2), strike is inadequate’ and
insert is disapproved’.
(4) In subsection (b), add the following before the period at the end of the first sentence: and
source water assessment programs under section 1453'.

17

18

Appendix B

Section 1452 of the Safe Drinking Water Act

19

SEC. 130. STATE REVOLVING LOAN FUNDS.
Part E (42 U.S.C. 300j et seq.) is amended by adding the following new section after section
1451: SEC. 1452.
(a) GENERAL AUTHORITY(1) GRANTS TO STATES TO ESTABLISH STATE LOAN FUNDS(A) IN GENERAL- The Administrator shall offer to enter into agreements with eligible States to
make capitalization grants, including letters of credit, to the States under
this subsection to further the health protection objectives of this title, promote the efficient use of
fund resources, and for other purposes as are specified in this title.
(B) ESTABLISHMENT OF FUND- To be eligible to receive a capitalization grant under this
section, a State shall establish a drinking water treatment revolving loan fund (referred to in this section as
a `State loan fund') and comply with the other requirements of this section. Each grant to a State under
this section shall be deposited in the State loan fund established by the State, except as otherwise provided
in this section and in other provisions of this title. No funds authorized by other provisions of this title to
be used for other purposes specified in this title shall be deposited in any State loan fund.
(C) EXTENDED PERIOD- The grant to a State shall be available to the State for obligation during
the fiscal year for which the funds are authorized and during the following fiscal year, except that grants
made available from funds provided prior to fiscal year 1997 shall be available for obligation during each
of the fiscal years 1997 and 1998.
(D) ALLOTMENT FORMULA- Except as otherwise provided in this section, funds made available
to carry out this section shall be allotted to States that have entered into an agreement pursuant to this
section (other than the District of Columbia) in accordance with-(i) for each of fiscal years 1995 through 1997, a formula that is the same as the formula used to
distribute public water system supervision grant funds under section 1443 in fiscal year 1995, except that
the minimum proportionate share established in the formula shall be 1 percent of available funds and the
formula shall be adjusted to include a minimum proportionate share for the State of Wyoming and the
District of Columbia; and
(ii) for fiscal year 1998 and each subsequent fiscal year, a formula that allocates to each State the
proportional share of the State needs identified in the most recent survey conducted pursuant tosubsection
(h), except that the minimum proportionate share provided to each State shall be the same as the
minimum proportionate share provided under clause (I).
(E) REALLOTMENT- The grants not obligated by the last day of the period for which the grants
are available shall be reallotted according to the appropriate criteria set forth in subparagraph (D), except
that the Administrator may reserve and allocate 10 percent of the remaining amount for financial
assistance to Indian Tribes in addition to the amount allotted under subsection (i) and none of the funds
reallotted by the Administrator shall be reallotted to any State that has not obligated all sums allotted to
the State pursuant to this section during the period in which the sums were available for obligation.
(F) NONPRIMACY STATES- The State allotment for a State not exercising primary enforcement
responsibility for public water systems shall not be deposited in any such fund but shall be allotted by the
Administrator under this subparagraph. Pursuant to section 1443(a)(9)(A) such sums allotted under this
subparagraph shall be reserved as needed by the Administrator to exercise primary enforcement
responsibility under this title in such State and the remainder shall be reallotted to States exercising
primary enforcement responsibility for public water systems for deposit in such funds. Whenever the
Administrator makes a final determination pursuant to section 1413(b) that the requirements of section
1413(a) are no longer being met by a State, additional grants for such State under this title shall be
immediately terminated by the Administrator. This subparagraph shall not apply to any State not
exercising primary enforcement responsibility for public water systems as of the date of enactment of the
Safe Drinking Water Act Amendments of 1996.
(G) OTHER PROGRAMS(i) NEW SYSTEM CAPACITY- Beginning in fiscal year 1999, the Administrator shall withhold
20 percent of each capitalization grant made pursuant to this section to a State unless the State has met the
requirements of section 1420(a) (relating to capacity development) and shall withhold 10 percent for
fiscal year 2001, 15 percent for fiscal year 2002, and 20 percent for fiscal year 2003 if the State has not
complied with the provisions of section 1420(c) (relating to capacity development strategies). Not more

20

than a total of 20 percent of the capitalization grants made to a State in any fiscal year may be withheld
under the preceding provisions of this clause. All funds withheld by the Administrator pursuant to this
clause shall be reallotted by the Administrator on the basis of the same ratio as is applicable to funds
allotted under subparagraph (D). None of the funds reallotted by the Administrator pursuant to this
paragraph shall be allotted to a State unless the State has met the requirements of section 1420 (relating to
capacity development).
(ii) OPERATOR CERTIFICATION- The Administrator shall withhold 20 percent of each
capitalization grant made pursuant to this section unless the State has met the requirements of 1419
(relating to operator certification). All funds withheld by the Administrator pursuant to this clause shall be
reallotted by the Administrator on the basis of the same ratio as applicable to funds allotted under
subparagraph (D). None of the funds reallotted by the Administrator pursuant to this paragraph shall be
allotted to a State unless the State has met the requirements of section 1419 (relating to operator
certification).
(2) USE OF FUNDS- Except as otherwise authorized by this title, amounts deposited in a State loan
fund, including loan repayments and interest earned on such amounts, shall be used only for providing
loans or loan guarantees, or as a source of reserve and security for leveraged loans, the proceeds of which
are deposited in a State loan fund established under paragraph (1), or other financial assistance authorized
under this section to community water systems and nonprofit noncommunity water systems, other than
systems owned by Federal agencies. Financial assistance under this section may be used by a public water
system only for expenditures (not including monitoring, operation, and maintenance expenditures) of a
type or category which the Administrator has determined, through guidance, will facilitate compliance
with national primary drinking water regulations applicable to the system under section 1412 or otherwise
significantly further the health protection objectives of this title. The funds may also be used to provide
loans to a system referred to in section 1401(4)(B) for the purpose of providing the treatment described in
section 1401(4)(B)(i)(III). The funds shall not be used for the acquisition of real property or interests
therein, unless the acquisition is integral to a project authorized by this paragraph and the purchase is
from a willing seller. Of the amount credited to any State loan fund established under this section in any
fiscal year, 15 percent shall be available solely for providing loan assistance to public water systems
which regularly serve fewer than 10,000 persons to the extent such funds can be obligated for eligible
projects of public water systems.
(3) LIMITATION(A) IN GENERAL- Except as provided in subparagraph (B), no assistance under this section shall
be provided to a public water system that-(i) does not have the technical, managerial, and financial capability to ensure compliance with
the requirements of this title; or
(ii) is in significant noncompliance with any requirement of a national primary drinking water
regulation or variance.
(B) RESTRUCTURING- A public water system described in subparagraph (A) may receive
assistance under this section if-(i) the use of the assistance will ensure compliance; and
(ii) if subparagraph (A)(i) applies to the system, the owner or operator of the system agrees to
undertake feasible and appropriate changes in operations (including ownership, management,
accounting, rates, maintenance, consolidation, alternative water supply, or other procedures) if
the State determines that the measures are necessary to ensure that the system has the technical,
managerial, and financial capability to comply with the requirements of this title over the long
term.
(C) REVIEW- Prior to providing assistance under this section to a public water system that is in
significant noncompliance with any requirement of a national primary drinking water regulation or
variance, the State shall conduct a review to determine whether subparagraph (A)(i) applies to the system.
(b) INTENDED USE PLANS(1) IN GENERAL- After providing for public review and comment, each State that has entered into
a capitalization agreement pursuant to this section shall annually prepare a plan that
identifies the intended uses of the amounts available to the State loan fund of the State.

21

(2) CONTENTS- An intended use plan shall include-(A) a list of the projects to be assisted in the first fiscal year that begins after the date of the plan,
including a description of the project, the expected terms of financial assistance, and the size of the
community served;
(B) the criteria and methods established for the distribution of funds; and
(C) a description of the financial status of the State loan fund and the short-term and long-term
goals of the State loan fund.
(3) USE OF FUNDS(A) IN GENERAL- An intended use plan shall provide, to the maximum extent practicable, that
priority for the use of funds be given to projects that-(i) address the most serious risk to human health;
(ii) are necessary to ensure compliance with the requirements of this title (including requirements
for filtration); and
(iii) assist systems most in need on a per household basis according to State affordability criteria.
(B) LIST OF PROJECTS- Each State shall, after notice and opportunity for public comment,
publish and periodically update a list of projects in the State that are eligible for assistance under this
section, including the priority assigned to each project and, to the extent known, the expected funding
schedule for each project.
(C) FUND MANAGEMENT- Each State loan fund under this section shall be established,
maintained, and credited with repayments and interest. The fund corpus shall be available in perpetuity
for providing financial assistance under this section. To the extent amounts in the fund are not required
for current obligation or expenditure, such amounts shall be invested in interest bearing obligations.
(D) ASSISTANCE FOR DISADVANTAGED COMMUNITIES(1) LOAN SUBSIDY- Notwithstanding any other provision of this section, in any case in which
the State makes a loan pursuant to subsection (a)(2) to a disadvantaged community or to a
community that the State expects to become a disadvantaged community as the result of a
proposed project, the State may provide additional subsidization (including forgiveness of
principal).
(2) TOTAL AMOUNT OF SUBSIDIES- For each fiscal year, the total amount of loan subsidies
made by a State pursuant to paragraph (1) may not exceed 30 percent of the amount of the
capitalization grant received by the State for the year.
(3) DEFINITION OF DISADVANTAGED COMMUNITY- In this subsection, the term
`disadvantaged community' means the service area of a public water system that meets
affordability criteria established after public review and comment by the State in which the
public water system is located. The Administrator may publish information to assist States in
establishing affordability criteria.
(E) STATE CONTRIBUTION- Each agreement under subsection (a) shall require that the State
deposit in the State loan fund from State moneys an amount equal to at least 20 percent of the total
amount of the grant to be made to the State on or before the date on which the grant payment is made to
the State, except that a State shall not be required to deposit such amount into the fund prior to the date on
which each grant payment is made for fiscal years 1994, 1995, 1996, and 1997 if the State deposits the
State contribution amount into the State loan fund prior to September 30, 1999.
(F) TYPES OF ASSISTANCE- Except as otherwise limited by State law, the amounts deposited
into a State loan fund under this section may be used only-(1) to make loans, on the condition that-(A) the interest rate for each loan is less than or equal to the market interest rate, including an
interest free loan;
(B) principal and interest payments on each loan will commence not later than 1 year after
completion of the project for which the loan was made, and each loan will be fully amortized not
later than 20 years after the completion of the project, except that in the case of a disadvantaged
community (as defined in subsection (d)(3)), a State may provide an extended term for a loan, if
the extended term-(i) terminates not later than the date that is 30 years after the date of project completion; and
(ii) does not exceed the expected design life of the project;

22

(C) the recipient of each loan will establish a dedicated source of revenue (or, in the case of a
privately owned system, demonstrate that there is adequate security) for the repayment of the
loan; and
(D) the State loan fund will be credited with all payments of principal and interest on each loan;
(2) to buy or refinance the debt obligation of a municipality or an intermunicipal or interstate
agency within the State at an interest rate that is less than or equal to the market interest rate in any case in
which a debt obligation is incurred after July 1, 1993;
(3) to guarantee, or purchase insurance for, a local obligation (all of the proceeds of which finance a
project eligible for assistance under this section) if the guarantee or purchase would improve credit
market access or reduce the interest rate applicable to the obligation;
(4) as a source of revenue or security for the payment of principal and interest on revenue or
general obligation bonds issued by the State if the proceeds of the sale of the bonds will be deposited into
the State loan fund; and
(5) to earn interest on the amounts deposited into the State loan fund.
(G) ADMINISTRATION OF STATE LOAN FUNDS(1) COMBINED FINANCIAL ADMINISTRATION- Notwithstanding subsection (c), a State may
(as a convenience and to avoid unnecessary administrative costs) combine, in accordance with State law,
the financial administration of a State loan fund established under this section with the financial
administration of any other revolving fund established by the State if otherwise not prohibited by the law
under which the State loan fund was established and if the Administrator determines that-(A) the grants under this section, together with loan repayments and interest, will be separately
accounted for and used solely for the purposes specified in subsection (a); and
(B) the authority to establish assistance priorities and carry out oversight and related activities
(other than financial administration) with respect to assistance remains with the State agency
having primary responsibility for administration of the State program under section 1413, after
consultation with other appropriate State agencies (as determined by the State): Provided
That in nonprimacy States eligible to receive assistance under this section, the Governor shall
determine which State agency will have authority to establish priorities for financial assistance
from the State loan fund.
(2) COST OF ADMINISTERING FUND- Each State may annually use up to 4 percent of the funds
allotted to the State under this section to cover the reasonable costs of administration of the programs
under this section, including the recovery of reasonable costs expended to establish a State loan fund
which are incurred after the date of enactment of this section, and to provide technical assistance to public
water systems within the State. For fiscal year 1995 and each fiscal year thereafter, each State may use up
to an additional 10 percent of the funds allotted to the State under this section-(A) for public water system supervision programs under section 1443(a);
(B) to administer or provide technical assistance through source water protection programs;
(C) to develop and implement a capacity development strategy under section 1420(c); and
(D) for an operator certification program for purposes of meeting the requirements of section
1419, if the State matches the expenditures with at least an equal amount of State funds. At least
half of the match must be additional to the amount expended by the State for public water
supervision in fiscal year 1993. An additional 2 percent of the funds annually allotted to each
State under this section may be used by the State to provide technical assistance to public water
systems serving 10,000 or fewer persons in the State. Funds utilized under subparagraph (B)
shall not be used for enforcement actions.
(3) GUIDANCE AND REGULATIONS- The Administrator shall publish guidance and promulgate
regulations as may be necessary to carry out the provisions of this section, including-(A) provisions to ensure that each State commits and expends funds allotted to the State under
this section as efficiently as possible in accordance with this title and applicable State laws;
(B) guidance to prevent waste, fraud, and abuse; and
(C) guidance to avoid the use of funds made available under this section to finance the expansion
of any public water system in anticipation of future population growth. The guidance and
regulations shall also ensure that the States, and public water systems receiving assistance under
this section, use accounting, audit, and fiscal procedures that conform to generally accepted

23

accounting standards.
(4) STATE REPORT- Each State administering a loan fund and assistance program under this
subsection shall publish and submit to the Administrator a report every 2 years on its activities under this
section, including the findings of the most recent audit of the fund and the entire State allotment. The
Administrator shall periodically audit all State loan funds established by, and all other amounts allotted
to, the States pursuant to this section in accordance with procedures established by the Comptroller
General.
(H) NEEDS SURVEY- The Administrator shall conduct an assessment of water system capital
improvement needs of all eligible public water systems in the United States and submit a report
to the Congress containing the results of the assessment within 180 days after the date of
enactment of the Safe Drinking Water Act Amendments of 1996 and every 4 years thereafter.
(I) INDIAN TRIBES(1) IN GENERAL- 1 1/2 percent of the amounts appropriated annually to carry out this section may
be used by the Administrator to make grants to Indian Tribes and Alaska Native villages that have not
otherwise received either grants from the Administrator under this section or assistance from State loan
funds established under this section. The grants may only be used for expenditures by tribes and villages
for public water system expenditures referred to in subsection (a)(2).
(2) USE OF FUNDS- Funds reserved pursuant to paragraph (1) shall be used to address the most
significant threats to public health associated with public water systems that serve Indian Tribes, as
determined by the Administrator in consultation with the Director of the Indian Health Service and Indian
Tribes.
(3) ALASKA NATIVE VILLAGES- In the case of a grant for a project under this subsection in an
Alaska Native village, the Administrator is also authorized to make grants to the State of Alaska for the
benefit of Native villages. An amount not to exceed 4 percent of the grant amount may be used by the
State of Alaska for project management.
(4) NEEDS ASSESSMENT- The Administrator, in consultation with the Director of the Indian
Health Service and Indian Tribes, shall, in accordance with a schedule that is consistent with the needs
surveys conducted pursuant to subsection (h), prepare surveys and assess the needs of drinking water
treatment facilities to serve Indian Tribes, including an evaluation of the public water systems that pose
the most significant threats to public health.
(J) OTHER AREAS- Of the funds annually available under this section for grants to States, the
Administrator shall make allotments in accordance with section 1443(a)(4) for the Virgin Islands, the
Commonwealth of the Northern Mariana Islands, American Samoa, and Guam. The grants allotted as
provided in this subsection may be provided by the Administrator to the governments of such areas, to
public water systems in such areas, or to both, to be used for the public water system expenditures
referred to in subsection (a)(2). The grants, and grants for the District of Columbia, shall not be deposited
in State loan funds. The total allotment of grants under this section for all areas described in this
subsection in any fiscal year shall not exceed 0.33 percent of the aggregate amount made available to
carry out this section in that fiscal year.
(K) OTHER AUTHORIZED ACTIVITIES(1) IN GENERAL- Notwithstanding subsection (a)(2), a State may take each of the following
actions:
(A) Provide assistance, only in the form of a loan, to one or more of the following:
(i) Any public water system described in subsection (a)(2) to acquire land or a conservation
easement from a willing seller or grantor, if the purpose of the acquisition is to protect the source
water of the system from contamination and to ensure compliance with national primary drinking
water regulations.
(ii) Any community water system to implement local, voluntary source water protection
measures to protect source water in areas delineated pursuant to section 1453, in order to
facilitate compliance with national primary drinking water regulations applicable to the system
under section 1412 or otherwise significantly further the health protection objectives of this title.
Funds authorized under this clause may be used to fund only voluntary, incentive-based
mechanisms.
(iii) Any community water system to provide funding in accordance with section

24

1454(a)(1)(B)(i).
(B) Provide assistance, including technical and financial assistance, to any public water system
as part of a capacity development strategy developed and implemented in accordance with
section 1420(c).
(C) Make expenditures from the capitalization grant of the State for fiscal years 1996 and 1997
to delineate and assess source water protection areas in accordance with section 1453, except that
funds set aside for such expenditure shall be obligated within 4 fiscal years.
(D) Make expenditures from the fund for the establishment and implementation of wellhead
protection programs under section 1428.
(2) LIMITATION- For each fiscal year, the total amount of assistance provided and expenditures
made by a State under this subsection may not exceed 15 percent of the amount of the capitalization grant
received by the State for that year and may not exceed 10 percent of that amount for any one of the
following activities:
(A) To acquire land or conservation easements pursuant to paragraph (1)(A)(i).
(B) To provide funding to implement voluntary, incentive-based source water quality protection
measures pursuant to clauses (ii) and (iii) of paragraph (1)(A).
(C) To provide assistance through a capacity development strategy pursuant to paragraph (1)(B).
(D) To make expenditures to delineate or assess source water protection areas pursuant to
paragraph (1)(C).
(E) To make expenditures to establish and implement wellhead protection programs pursuant to
paragraph (1)(D).
(3) STATUTORY CONSTRUCTION- Nothing in this section creates or conveys any new
authority to a State, political subdivision of a State, or community water system for any new regulatory
measure, or limits any authority of a State, political subdivision of a State or community water system.
(l) SAVINGS- The failure or inability of any public water system to receive funds under this
section or any other loan or grant program, or any delay in obtaining the funds, shall not alter the
obligation of the system to comply in a timely manner with all applicable drinking water
standards and requirements of this title.
(M) AUTHORIZATION OF APPROPRIATIONS- There are authorized to be appropriated to carry
out the purposes of this section $599,000,000 for the fiscal year 1994 and $1,000,000,000 for each of the
fiscal years 1995 through 2003. To the extent amounts authorized to be appropriated under this subsection
in any fiscal year are not appropriated in that fiscal year, such amounts are authorized to be appropriated
in a subsequent fiscal year (prior to the fiscal year 2004). Such sums shall remain available until
expended.
(N) HEALTH EFFECTS STUDIES- From funds appropriated pursuant to this section for each
fiscal year, the Administrator shall reserve $10,000,000 for health effects studies on ranking water
contaminants authorized by the Safe Drinking Water Act Amendments of 1996. In allocating funds made
available under this subsection, the Administrator shall give priority to studies concerning the health
effects of cryptosporidium (as authorized by section 1458(c)), disinfection byproducts (as authorized by
section 1458(c)), and arsenic (as authorized by section 1412(b)(12)(A)), and the implementation of a plan
for studies of subpopulations at greater risk of adverse effects (as authorized by section 1458(a)).
(O) MONITORING FOR UNREGULATED CONTAMINANTS- From funds appropriated
pursuant to this section for each fiscal year beginning with fiscal year 1998, the Administrator shall
reserve $2,000,000 to pay the costs of monitoring for unregulated contaminants under section
1445(a)(2)(C).
(P) DEMONSTRATION PROJECT FOR STATE OF VIRGINIA- Notwithstanding the other
provisions of this section limiting the use of funds deposited in a State loan fund from any State
allotment, the State of Virginia may, as a single demonstration and with the approval of the Virginia
General Assembly and the Administrator, conduct a program to demonstrate alternative approaches to
intergovernmental coordination to assist in the financing of new drinking water facilities in the following
rural communities in southwestern Virginia where none exists on the date of enactment of the Safe
Drinking Water Act Amendments of 1996 and where such communities are experiencing economic
hardship: Lee County, Wise County, Scott County, Dickenson County, Russell County, Buchanan
County, Tazewell County, and the city of Norton, Virginia. The funds allotted to that State and deposited

25

in the State loan fund may be loaned to a regional endowment fund for the purpose set forth in this
subsection under a plan to be approved by the Administrator. The plan may include an advisory group
that includes representatives of such counties.
(Q) SMALL SYSTEM TECHNICAL ASSISTANCE- The Administrator may reserve up to 2
percent of the total funds appropriated pursuant to subsection (m) for each of the fiscal years 1997
through 2003 to carry out the provisions of section 1442(e) (relating to technical assistance for small
systems), except that the total amount of funds made available for such purpose in any fiscal year through
appropriations (as authorized by section 1442(e)) and reservations made pursuant to this subsection shall
not exceed the amount authorized by section 1442(e).
(R) EVALUATION- The Administrator shall conduct an evaluation of the effectiveness of the State
loan funds through fiscal year 2001. The evaluation shall be submitted to the Congress at the same time as
the President submits to the Congress, pursuant to section 1108 of title 31, United States Code, an
appropriations request for fiscal year 2003 relating to the budget of the Environmental Protection Agency.

26

Appendix C

First Federal Register Notice on the Source Water Protection ICR

27

50726

Federal Register / Vol. 76, No. 158 / Tuesday, August 16, 2011 / Notices

Dated: August 9, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011–20753 Filed 8–15–11; 8:45 am]
BILLING CODE 6717–01–P

DEPARTMENT OF ENERGY
Federal Energy Regulatory
Commission
[Project No. 14170–000]

emcdonald on DSK2BSOYB1PROD with NOTICES

Riverbank Hydro No. 14, LLC; Notice of
Preliminary Permit Application
Accepted for Filing and Soliciting
Comments, Motions To Intervene, and
Competing Applications
On May 2, 2011, Riverbank Hydro No.
14, LLC (Riverbank Hydro), filed an
application for a preliminary permit,
pursuant to section 4(f) of the Federal
Power Act (FPA), proposing to study the
feasibility of the Tuttle Creek
Hydroelectric Project (Tuttle Creek
Project or project) to be located at the
U.S. Army Corps of Engineers’ (Corps)
Tuttle Creek Dam, on Big Blue River,
near Manhattan, Riley County, Kansas.
The sole purpose of a preliminary
permit, if issued, is to grant the permit
holder priority to file a license
application during the permit term. A
preliminary permit does not authorize
the permit holder to perform any landdisturbing activities or otherwise enter
upon lands or waters owned by others
without the owners’ express permission.
The proposed project would consist of
the following: (1) A 350-foot-long, 16foot-diameter penstock bifurcating from
the existing outlet structure; (2) a 100foot-long, 50-foot-wide concrete
powerhouse containing one turbine
with a generator rating of 7.9 megawatts;
(3) a tailrace structure directing flows
from the powerhouse back into the river
channel downstream of the existing
dam; (4) a 2.8-mile-long, 25-kilovolt
transmission line connecting the project
to an existing transmission line; and (5)
appurtenant facilities. The estimated
annual generation of the Tuttle Creek
Project would be 30.5 gigawatt-hours.
Applicant Contact: Mr. Kuo-Bao
Tong, Riverbank Power Corporation,
Royal Bank Plaza, South Tower, P.O.
Box 166, 200 Bay Street, Suite 3230,
Toronto, Ontario, Canada M5J2J4;
phone: (416) 861–0092, extension 154.
FERC Contact: Sergiu Serban; phone:
(202) 502–6211.
Deadline for filing comments, motions
to intervene, competing applications
(without notices of intent), or notices of
intent to file competing applications: 60
days from the issuance of this notice.
Competing applications and notices of

VerDate Mar<15>2010

18:07 Aug 15, 2011

Jkt 223001

intent must meet the requirements of 18
CFR 4.36. Comments, motions to
intervene, notices of intent, and
competing applications may be filed
electronically via the Internet. See 18
CFR 385.2001(a)(1)(iii) and the
instructions on the Commission’s Web
site http://www.ferc.gov/docs-filing/
efiling.asp. Commenters can submit
brief comments up to 6,000 characters,
without prior registration, using the
eComment system at http://
www.ferc.gov/docs-filing/
ecomment.asp. You must include your
name and contact information at the end
of your comments. For assistance,
please contact FERC Online Support at
FERCOnlineSupport@ferc.gov or toll
free at 1–866–208–3676, or for TTY,
(202) 502–8659. Although the
Commission strongly encourages
electronic filing, documents may also be
paper-filed. To paper-file, mail an
original and seven copies to: Kimberly
D. Bose, Secretary, Federal Energy
Regulatory Commission, 888 First
Street, NE., Washington, DC 20426.
More information about this project,
including a copy of the application, can
be viewed or printed on the ‘‘eLibrary’’
link of Commission’s Web site at http://
www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number (P–14170–000)
in the docket number field to access the
document. For assistance, contact FERC
Online Support.
Dated: August 9, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011–20754 Filed 8–15–11; 8:45 am]
BILLING CODE 6717–01–P

DEPARTMENT OF ENERGY
Southwestern Power Administration
Integrated System Power Rates:
Correction
Southwestern Power
Administration, DOE.
ACTION: Notice of public review and
comment; Correction.
AGENCY:

Southwestern Power
Administration published a document
in the Federal Register (76 FR 48159) on
August 8, 2011, announcing the public
review and comment period on
proposed rates. Inadvertently, the date
listed for the combined Public
Information and Comment Forum
(Forum) was erroneously listed in the
DATES section as of August 16, 2011.
The correct date and time for the Forum,
if requested, will be August 30, 2011, at
9 a.m.
SUMMARY:

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Mr.
James K. McDonald, Assistant
Administrator, Office of Corporate
Operations, Southwestern Power
Administration, U.S. Department of
Energy, One West Third Street, Tulsa,
Oklahoma 74103, (918) 595–6690,
jim.mcdonald@swpa.gov.

FOR FURTHER INFORMATION CONTACT:

Dated: August 10, 2011.
Jon Worthington,
Administrator.
[FR Doc. 2011–20934 Filed 8–12–11; 4:15 pm]
BILLING CODE 6450–01–P

ENVIRONMENTAL PROTECTION
AGENCY
[EPA–HQ–OW–2004–0013; FRL–9452–1]

Agency Information Collection
Activities; Proposed Collection;
Comment Request; EPA Strategic Plan
Information on Source Water
Protection
Environmental Protection
Agency.
ACTION: Notice.
AGENCY:

In compliance with the
Paperwork Reduction Act (PRA) (44
U.S.C. 3501 et seq.), this document
announces that EPA is planning to
submit a request to renew an existing
approved Information Collection
Request (ICR) to the Office of
Management and Budget (OMB). This
ICR is scheduled to expire on December
31, 2011. Before submitting the ICR to
OMB for review and approval, EPA is
soliciting comments on specific aspects
of the proposed information collection
as described in the SUPPLEMENTARY
INFORMATION section.
DATES: Comments must be submitted on
or before October 17, 2011.
ADDRESSES: Submit your comments,
identified by Docket ID No. EPA–HQ–
OW–2004–0013 by one of the following
methods:
• http://www.regulations.gov: Follow
the on-line instructions for submitting
comments.
• E–mail: OW–Docket@epa.gov.
• Mail: Water Docket, Environmental
Protection Agency, EPA Docket Center
(EPA/DC), Mailcode: 4101T, 1200
Pennsylvania Ave., NW., Washington,
DC 20460.
• Hand Delivery: The EPA Docket
Center at the Public Reading Room,
Room B3334, EPA West Building, 1301
Constitution Avenue, NW., Washington,
DC. Such deliveries are only accepted
during the Docket’s normal hours of
operation, and special arrangements
should be made for deliveries of boxed
information.
SUMMARY:

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Federal Register / Vol. 76, No. 158 / Tuesday, August 16, 2011 / Notices

emcdonald on DSK2BSOYB1PROD with NOTICES

Instructions: Direct your comments to
Docket ID No. EPA–HQ–OW–2004–
0013. EPA’s policy is that all comments
received will be included in the public
docket without change and may be
made available online at http://
www.regulations.gov, including any
personal information provided, unless
the comment includes information
claimed to be Confidential Business
Information (CBI) or other information
whose disclosure is restricted by statute.
Do not submit information that you
consider to be CBI or otherwise
protected through http://
www.regulations.gov or e-mail. The
http://www.regulations.gov Web site is
an ‘‘anonymous access’’ system, which
means EPA will not know your identity
or contact information unless you
provide it in the body of your comment.
If you send an e-mail comment directly
to EPA without going through http://
www.regulations.gov your e-mail
address will be automatically captured
and included as part of the comment
that is placed in the public docket and
made available on the Internet. If you
submit an electronic comment, EPA
recommends that you include your
name and other contact information in
the body of your comment and with any
disk or CD–ROM you submit. If EPA
cannot read your comment due to
technical difficulties and cannot contact
you for clarification, EPA may not be
able to consider your comment.
Electronic files should avoid the use of
special characters, any form of
encryption, and be free of any defects or
viruses. For additional information
about EPA’s public docket visit the EPA
Docket Center homepage at http://
www.epa.gov/epahome/dockets.htm.
FOR FURTHER INFORMATION CONTACT: Beth
Hall, Drinking Water Protection
Division—Prevention Branch, Office of
Ground Water and Drinking Water (MC
4606M), Environmental Protection
Agency, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460; telephone
number: 202–564–3883; fax number:
202–564–3756; e–mail address:
hall.beth@epa.gov.
SUPPLEMENTARY INFORMATION:
How can I access the docket and/or
submit comments?
EPA has established a public docket
for this ICR under Docket ID No. EPA–
HQ–OW–2004–0013, which is available
for online viewing at http://
www.regulations.gov, or in person
viewing at the Water Docket in the EPA
Docket Center (EPA/DC), EPA West,
Room B3334, 1301 Constitution Ave.,
NW., Washington, DC. The EPA/DC
Public Reading Room is open from 8

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a.m. to 4:30 p.m., Monday through
Friday, excluding legal holidays. The
telephone number for the Reading Room
is 202–566–1744, and the telephone
number for the Water Docket is 202–
566–2426.
Use www.regulations.gov to obtain a
copy of the draft collection of
information, submit or view public
comments, access the index listing of
the contents of the 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 in this
document.
What information is EPA particularly
interested in?
Pursuant to section 3506(c)(2)(A) of
the PRA, EPA specifically solicits
comments and information to enable it
to:
(i) Evaluate whether the proposed
collection of information is necessary
for the proper performance of the
functions of the Agency, including
whether the information will have
practical utility;
(ii) Evaluate the accuracy of the
Agency’s estimate of the burden of the
proposed collection of information,
including the validity of the
methodology and assumptions used;
(iii) Enhance the quality, utility, and
clarity of the information to be
collected; and
(iv) Minimize the burden of the
collection of information on those who
are to respond, including through the
use of appropriate automated electronic,
mechanical, or other technological
collection techniques or other forms of
information technology, e.g., permitting
electronic submission of responses. In
particular, EPA is requesting comments
from very small businesses (those that
employ less than 25) on examples of
specific additional efforts that EPA
could make to reduce the paperwork
burden for very small businesses
affected by this collection.
What should I consider when I prepare
my comments for EPA?
You may find the following
suggestions helpful for preparing your
comments:
1. Explain your views as clearly as
possible and provide specific examples.
2. Describe any assumptions that you
used.
3. Provide copies of any technical
information and/or data you used that
support your views.
4. If you estimate potential burden or
costs, explain how you arrived at the
estimate that you provide.

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50727

5. Offer alternative ways to improve
the collection activity.
6. Make sure to submit your
comments by the deadline identified
under DATES.
7. To ensure proper receipt by EPA,
be sure to identify the docket ID number
assigned to this action in the subject
line on the first page of your response.
You may also provide the name, date,
and Federal Register citation.
What information collection activity or
ICR does this apply to?
Affected entities: Entities potentially
affected by this action are State
environmental and health agencies.
Title: EPA Strategic Plan Information
on Source Water Protection.
ICR numbers: EPA ICR No. 1816.05,
OMB Control No. 2040–0197.
ICR status: This ICR is currently
scheduled to expire on December 31,
2011. An Agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information,
unless it displays a currently valid OMB
control number. The OMB control
numbers for EPA’s regulations in title 40
of the CFR, after appearing in the
Federal Register when approved, are
listed in 40 CFR part 9, are displayed
either by publication in the Federal
Register or by other appropriate means,
such as on the related collection
instrument or form, if applicable. The
display of OMB control numbers in
certain EPA regulations is consolidated
in 40 CFR part 9.
Abstract: EPA is collecting, on a
voluntary basis, data from the states on
their progress toward substantial
implementation of prevention strategies
for all community water systems
(CWSs). The information to be collected
will help states and EPA understand the
progress toward the Agency’s goal of
increasing the number of CWSs (and the
populations they serve) with minimized
risk to public health through
development and implementation of
source water protection strategies for
source water areas. The Safe Drinking
Water Act, while authorizing the
generation of this data, does not require
the implementation of source water
protection programs by States. Section
1452 of the Safe Drinking Water Act
allows the use of Drinking Water State
Revolving Fund monies for support
efforts in the information collection.
Burden Statement: The annual public
reporting and recordkeeping burden for
this collection of information is
estimated to average 27.6 hours per
annual response for each respondent, or
4,224 hours over the next three years of
the information collection. Burden
means the total time, effort, or financial

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50728

Federal Register / Vol. 76, No. 158 / Tuesday, August 16, 2011 / Notices

resources expended by persons to
generate, maintain, retain, or disclose or
provide information to or for a Federal
agency. This includes the time needed
to review instructions; develop, acquire,
install, and utilize technology and
systems for the purposes of collecting,
validating, and verifying information,
processing and maintaining
information, and disclosing and
providing information; adjust the
existing ways to comply with any
previously applicable instructions and
requirements which have subsequently
changed; 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.
The ICR provides a detailed
explanation of the Agency’s estimate,
which is only briefly summarized here:
Estimated total number of potential
respondents: 51.
Frequency of response: annual.
Estimated total average number of
responses for each respondent: 1.
Estimated total annual burden hours:
1,408.
Estimated total annual costs: $58,325.
All of this cost is associated with labor;
there are no capital investment or
maintenance and operational costs
associated with this ICR.

emcdonald on DSK2BSOYB1PROD with NOTICES

Are there changes in the estimates from
the last approval?
There is a decrease of 308 hours in the
total estimated annual respondent
burden compared with that identified in
the ICR currently approved by OMB.
This decrease results from reduced labor
burden associated with automated
reporting of progress toward developing
and implementing prevention strategies
for all community water systems via the
Safe Drinking Water Information System
(SDWIS). EPA estimates that 11 states
will incur reduced burden by using the
capabilities of SDWIS to report to EPA
on the status of contamination
prevention efforts in their states.
What is the next step in the process for
this ICR?
EPA will consider the comments
received and amend the ICR as
appropriate. The final ICR package will
then be submitted to OMB for review
and approval pursuant to 5 CFR
1320.12. At that time, EPA will issue
another Federal Register notice
pursuant to 5 CFR 1320.5(a)(1)(iv) to
announce the submission of the ICR to
OMB and the opportunity to submit
additional comments to OMB. If you
have any questions about this ICR or the
approval process, please contact the

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technical person listed under FOR
FURTHER INFORMATION CONTACT.

(202) 343–9348, or via e-mail at
clark.marye@epa.gov.

Dated: August 11, 2011.
Ronald W. Bergman,
Acting Director, Office of Ground Water &
Drinking Water.

SUPPLEMENTARY INFORMATION:

[FR Doc. 2011–20827 Filed 8–15–11; 8:45 am]
BILLING CODE 6560–50–P

ENVIRONMENTAL PROTECTION
AGENCY
[FRL–9451–8]

Science Advisory Board Staff Office;
Notification of Public Teleconferences
of the Science Advisory Board
Radiation Advisory Committee
Environmental Protection
Agency (EPA).
ACTION: Notice.
AGENCY:

The EPA Science Advisory
Board (SAB) Staff Office announces two
teleconferences of the SAB Augmented
Radiation Advisory Committee (RAC) to
discuss the draft advisory report related
to uranium and thorium in-situ leach
recovery and post-closure stability
monitoring.

SUMMARY:

The public teleconferences will
be conducted on Tuesday, September 6,
2011 and Wednesday, October 5, 2011,
from 1 p.m. to 4 p.m. (Eastern Daylight
Time).
ADDRESSES: The public teleconferences
will be conducted by telephone only.
FOR FURTHER INFORMATION CONTACT: Any
member of the public wishing further
information regarding this Notice may
contact Dr. K. Jack Kooyoomjian,
Designated Federal Officer (DFO), SAB
Staff Office (1400R), 1200 Pennsylvania
Avenue, NW., Washington, DC 20460;
or by telephone/voice mail at (202) 564–
2064, or via e-mail at
kooyoomjian.jack@epa.gov. General
information concerning the EPA Science
Advisory Board can be found at the EPA
SAB Web site at http//www.epa.gov/sab.
Technical Contact: Technical
background information pertaining to
the Uranium In-Situ leach recovery—
Post-Closure Stability Monitoring can be
found at http://www.epa.gov/radiation/
tenorm/pubs.html. Information
pertaining to EPA’s regulatory standards
in 40 CFR part 192—Health and
Environmental Protection Standards for
Uranium and Thorium Mill Tailings can
be found at http://yosemite.epa.gov/
opei/rulegate.nsf/byRIN/2060–
AP43?opendocument. For questions
concerning the technical aspects of this
topic, please contact Dr. Mary E. Clark
of the U.S. EPA, ORIA by telephone at
DATES:

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Background: The SAB was
established pursuant to the
Environmental Research, Development,
and Demonstration Authorization Act
(ERDAA), codified at 42 U.S.C. 4365, to
provide independent scientific and
technical peer review advice,
consultation and recommendations to
the EPA Administrator on the technical
basis for Agency actions, positions and
regulations. As a Federal Advisory
Committee, the SAB conducts business
in accordance with the Federal
Advisory Committee Act (FACA) (5
U.S.C. App. 2) and related regulations.
Pursuant to FACA and EPA policy,
notice is hereby given that the
augmented RAC will hold two public
teleconferences. The SAB will comply
with the provisions of FACA and all
appropriate EPA and SAB Staff Office
procedural policies.
The EPA has requested the SAB
review the Agency draft technical
document on ISL/ISR post closure
stability monitoring to evaluate what
criteria should be considered to
establish a specific period of monitoring
for ISL/ISR facilities, once uranium
extraction operations are completed.
Among the issues to be considered are
whether specific site characteristics,
features or benchmarks can be used to
aid in establishing a post-closure
monitoring time period; and if other
technical approaches should be
considered by EPA to provide
reasonable assurances of aquifer
stability and groundwater protection.
The Agency’s draft technical document
will be used as a basis to evaluate the
technical and scientific issues
pertaining to standards in 40 CFR part
192—Health and Environmental
Protection Standards for Uranium and
Thorium Mill Tailings. The SAB RAC
augmented with additional experts held
an initial public teleconference of July
12, 2011 and a two-day meeting on July
18 and 19, 2011 to discuss advisory
comments on the EPA’s June 2011 draft
technical document entitled
‘‘Considerations Related to Post-Closure
Monitoring of Uranium In-Situ Leach/
In-Situ Recovery (ISL/ISR) Sites’’. These
previous meetings were announced in
the Federal Register on Thursday, June
23, 2011 (Vol. 76, No. 121, pp. 36918–
36919). The purpose of the September 6,
2011 and October 5, 2011 public
teleconferences is for the augmented
RAC to discuss its draft advisory report
on this topic.
Availability of Meeting Materials: The
Agenda, roster of the augmented RAC,

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Appendix D
FY 2011 End of Year (EOY) Reporting Protocol for “SP-4”
Action

No Later Than

States should report two numbers -- the numbers of Community Water Systems
(CWS) that have substantially implemented Source Water Protection (SWP)
according to the state definition and the population served by those CWS. States
have the option of reporting to their Regional Office or through SDWIS
(Attachment B). Any changes to a state’s definition of substantial
implementation should be documented and provided to the region.

Regions Determine

It is helpful to HQ if you use the sample reporting template (below). For each
state, the Region should indicate whether or not the state is reporting through
SDWIS. If “Yes,” indicate the date that the state formally notified the region
(must be by June 30). For states continuing to report to the regions, “No,”
document the numbers of CWS and the population served by those water
systems. If there has been a change to any state’s definition of substantial
implementation, the changes should be provided to HQ. E-mail the table and
any narrative to Beth Hall [hall.beth@epa.gov].

Weds, Sept. 14

Headquarters will use SDWIS and the tables to calculate the percentages of CWS
and population served for each State, and for the Region, based on Q3/FY2011
SDWIS-FED denominators and return those data to the Regions.

Tuesday, October 4

Once the Regions have, for each state, the final percentages, the Regions can
complete entry of the final percentages of CWS and of the population served,
into ACS. Please make note in the ACS comment field provided if a state’s
definition of substantial implementation has changed.

Mid October

Sample Reporting Template for Regions
CWS that have achieved “substantial implementation” according to each State’s definition. (cumulative)
For Y, date
Reporting
State
Notification
# CWSs
Population Served
SDWIS ?
received
Connecticut
Yes/No
Maine
Yes/No
Massachusetts
Yes/No
New Hampshire
Yes/No
Rhode Island
Yes/No
Vermont
Yes/No
Narrative:

Regions II – X : Please replace Region I state names with your states’ names.

31