United States
Environmental Protection
Agency
Implementation Guidance
for the
Filter Backwash Recycling
Rule
816R04006
c
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o
o
Office of Water
EPA816-R-04-006
www.epa.gov/safewater
June 2004 ^ Printed on Recycled Paper
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Disclaimer
This document provides guidance to states, tribes, and U.S. Environmental Protection
Agency (EPA) Regions exercising primary enforcement responsibility under&e Safe
Drinking Water Act (SOWA) and contains EPA's current policy rec9tnta«^ttioi» ,fer
complying with toe Filter Backwash Recycling R«Je (FBRR.).'
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Table of Contents
l^ List of Tables iv
List of Examples iv
List of Figures iv
List of Abbreviations/Acronyms v
Purpose vii
Regional Contacts ix
Section I Rule Requirements 1
1.1 Introduction 3
1.1.1 History 3
1.1.2 Development of the FBRR 5
1.1.3 Benefits of the FBRR 6
1.2 Requirements of the Rule: Public Water Systems 6
1.2.1 Applicability 7
1.2.1.1 Who does this rule apply to? 7
1.2.1.2 What are conventional and direct filtration treatment? 7
1.2.1.3 What is spent filter backwash water? 8
1.2.1.4 What is thickener supernatant? 8
1.2.1.5 What are liquids from dewatering processes? 8
1.2.1.6 Why is the Filter Backwash Recycling Rule Necessary? 9
1.2.1.7 What are Cryptosporidium and Cryptosporidiosis? 9
1.2.2 System Notification to the State (Reporting Requirements) 9
1.2.2.1 What must be included in the notification to the State? 10
/*~- 1.2.2.2 Why does this information need to be submitted? 10
1 1.2.2.3 What happens if the state does not receive notification of recycle practices? ... 11
^">"' 1.2.3 Recycle Return Location (Treatment Technique) 11
1.2.3.1 What are the FBRR recycle return requirements? 11
1.2.3.2 Why should recycle be returned through the processes included in a system's
conventional or direct filtration system? 11
1.2.3.3 What if recycle flows are already returned through all the processes of the filtration
plant? 12
1.2.3.4 What if changes are needed to the current recycle location? 12
1.2.3.5 What if the current recycle location seems to meet the intent of the recycle
provision? 12
1.2.3.6 What if recycle flows are not returned to an appropriate location by the required
date? 13
1.2.4 System Recycle Flow Records (Recordkeeping) 13
1.2.4.1 What information must be collected and retained on file? 13
1.2.4.2 Why is the recycle flow information necessary? 14
1.2.4.3 How long should this information be retained on file? 14
1.2.4.4 What if the required recycle flow information is not collected and retained on file?
15
1.2.5 Public Notification of Drinking Water Violations 15
1.2.6 Consumer Confidence Report Requirements 15
1.3 Requirements of the Rule: States or Other Primacy Agents 15
1.3.1 Records Kept By States 15
1.3.2 Special Primacy Requirement 15
/ 1.4 Summary of Action Dates 16
1 1.4.1 Applicability and Compliance Dates 16
^"" 1.4.2 Timeline and Flowchart for the Filter Backwash Recycling Rule 17
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References 20
Section II Resources and Guidance 21
2.1 Technical Guidance Manual 23
2.2 Rule Presentation 23
2.3 Fact Sheet/Quick Reference Guide/Rule Summary 24
2.4 Questions and Answers 24
2.4.1 Regulated Systems and Streams 24
2.4.2 Data Reporting and Recordkeeping 25
Section III State Implementation 27
3.1 Overview of Implementation 29
3.2 Identifying and Communicating Requirements to Affected Water Systems 30
3.2.1 Written Notification for Affected Systems 30
3.2.1.1 Benefits of Written Notification 30
3.2.1.2 Identifying the Mailing List 30
3.2.1.3 Mailing Enclosures: FBRR Quick Reference Guide/Fact Sheet/Rule Summary for
Systems 31
3.2.1.4 Example Notification Letter and Response Form 31
3.2.2 Providing Other Forms of Communication 35
3.2.2.1 Slide Presentation 35
3.2.2.2 Guidance Documents and Seminars 35
3.3 Follow-up Actions 35
3.3.1 Encouraging Systems to Submit Notification and System Information to State 35
3.3.2 Evaluating System Schematic and Recycle Flow Information for Impact on Plant
Performance or Potential for a Hydraulic Surge 40
3.3.3 Evaluating Alternate Location Requests 41
3.3.4 Evaluating System-maintained Data During Sanitary Surveys or Other Site Visits and
Determining If Changes to Recycle Practices Are Needed 42
3.3.5 References for More Detailed Guidance 43
3.4 Tracking Regulated System Compliance Progress and Implementing Enforcement Action as
Needed 43
Section IV State Primacy Revision Application 45
4.1 State Primacy Program Revision 47
4.1.1 The Revision Process 48
4.1.2 The Final Review Process 48
4.2 State Primacy Program Revision Extensions 50
4.2.1 The Extension Process 50
4.2.2 Criteria that an Extension Request Must Meet 50
4.2.3 Conditions of the Extension 50
4.3 State Primacy Package 55
4.3.1 The State Primacy Revision Checklist (40 CFR 142.12(c)(l)) 55
4.3.2 Text of the State's Regulation 55
4.3.3 Primacy Revision Crosswalk 55
4.3.4 State Reporting and Recordkeeping Checklist (40 CFR 142.14 and 142.15) 56
4.3.5 Special Primacy Requirement (40 CFR 142.16) 57
4.3.6 Attorney General's Statement of Enforceability (40 CFR 142.12(c)(2)) 57
4.3.6.1 Guidance For States on Audit Privilege and/or Immunity Laws 57
4.4 Guidance for the Special Primacy Requirement of the FBRR 59
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Section V SDWIS Reporting and SNC Definitions 61
5.1 Safe Drinking Water Information System (SDWIS) Reporting Under the FBRR 63
5.1.1 Federally Reported Violations 63
5.2 FBRR - SNC Definition 67
Section VI FBRR Public Notification and Consumer Confidence Report Examples 69
Index 85
Appendices
Appendix A Primacy Revision Crosswalk
Appendix B FBRR Regulatory Language
Appendix C Rule Fact Sheet / Quick Reference Guide / Rule Summary for Systems
Appendix D Primacy Agency Data Entry Instructions for the Filter Backwash Recycling Rule
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List of Tables
Table 1.1: Summary of Action Dates for Implementing the FBRR 16
Table 4.1: State Rule Implementation and Revision Timetable for FBRR 47
Table 4.2: State Primacy Revision Checklist 56
Table 5.1: Federal Reporting for FBRR 64
Table 5.2: List of Filter Backwash Rule Violations 65
List of Examples
Example 3.1: Example System Notification Letter 33
Example 3.2: Example System Applicability Response Form 34
Example 3.3: Example State FBRR Recycle Notification Form 36
Example 3.4: Example State FBRR Recordkeeping Form 38
Example 4.1: Example Extension Request Checklist 52
Example 4.2: Example of Attorney General Statement 58
Example 6.1: Example Tier 3 Public Notification for Example 1 - M&R Violation 73
Example 6.2: Example of a Notice in the CCR for Example 1 - M&R Violation 73
Example 6.3: Example Tier 2 Public Notification for Example 2 - Treatment Technique Violation ... 75
Example 6.4: Example of a Notice in the CCR for Example 2 - TT Violation 76
Example 6.5: Example Tier 3 Public Notification for Example 3 - Recordkeeping Violation 78
Example 6.6: Example of a Notice in the CCR for Example 3 - Recordkeeping Violation 78
Example 6.7: Example Tier 3 Public Notification for Example 4 - Monitoring and Reporting Violation 80
Example 6.8. Example of a Notice in the CCR for Example 4 - Monitoring and Reporting Violation .. 80
Example 6.9: Example Tier 2 Public Notification for Example 5 - Treatment Technique Violation ... 82
Example 6.10: Example of a Notice in the CCR for Example 5 - Treatment Technique Violation .... 83
List of Figures
Figure 1.1: Regulated Recycle Streams for Conventional Filtration Treatment 7
Figure 1.2: Direct Filtration Treatment with Recycling of Spent Filter Backwash Water 8
Figure 1.3: Filter Backwash Recycling Rule - Rule Requirements and Implementation Timeline 18
Figure 1.4: Filter Backwash Recycling Rule Provisions 19
Figure 4.1: Recommended Review Process for State Request for Approval of Program Revisions .... 49
Figure 6.1: System A Water Treatment Plant 71
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List of Abbreviations/Acronyms
Additional acronyms may be found on EPA's website at www.epa.gov/ocepaterms/aaad.html.
AOC
AWWA
AWWARF
CCR
CDC
CFR
CPE
DBPP
DBPR
EPA
FACA
FAQ
FBRR
FR
FRDS
ft
gal
gpm
GWUDI
HAAS
hrs
ICR
ID
IESWTR
LT1ESWTR
MCL
MCLG
M-DBP Cluster
MG
MGD
MRDL
NIPDWR
NPDWR
NSCEP
NTIS
NTU
NOV
OECA
OGC
OGWDW
ORC
POTW
PN
PWS
PWSS
SBREFA
SDWA
SDWIS
Assimilable Organic Carbon
American Water Works Association
American Water Works Association Research Foundation
Consumer Confidence Report
Centers for Disease Control
Code of Federal Regulations
Comprehensive Performance Evaluation
Disinfection Byproduct Precursors
Disinfection Byproduct Rule
Environmental Protection Agency
Federal Advisory Committees Act
Frequently Asked Questions
Filter Backwash Recycling Rule
Federal Register
Federal Reporting Data System
Feet
Gallon
Gallons per Minute
Ground Water Under the Direct Influence of Surface Water
Haloacetic Acids (five)
Hours
Information Collection Rule
Identification
Interim Enhanced Surface Water Treatment Rule
Long Term 1 Enhanced Surface Water Treatment Rule
Maximum Contaminant Level
Maximum Contaminant Level Goal
Microbial-Disinfectants/Disinfection Byproducts Cluster
Million Gallons
Million Gallons per Day
Maximum Residual Disinfectant Level
National Interim Primary Drinking Water Regulations
National Primary Drinking Water Regulation
National Service Center for Environmental Publications
National Technical Information Service
Nephelometric Turbidity Unit
Notices of Violation
Office of Enforcement and Compliance Assurance
Office of General Counsel
Office of Ground Water and Drinking Water
Office of Regional Counsel
Publicly Owned Treatment Works
Public Notification
Public Water System
Public Water System Supervision Program
Small Business Regulatory Enforcement Fairness Act of 1996
Safe Drinking Water Act
Safe Drinking Water Information System
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SDWIS/FED Safe Drinking Water Information System - Federal Version
SNC Significant Noncomplier
SWTR Surface Water Treatment Rule
TCR Total Coliform Rule
TOC Total Organic Carbon
THM Trihalomethanes
TTHM Total Trihalomethanes
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Purpose
^_^- This document provides guidance to EPA Regions and states exercising primary enforcement
responsibility under the Safe Drinking Water Act (SDWA) concerning how EPA interprets the Filter
Backwash Recycling Rule (FBRR). It also provides guidance on how EPA intends to exercise its
discretion in implementing the statute and regulations. This guidance articulates national policy on these
issues.
The SDWA provisions and EPA regulations described in this document contain legally binding
requirements. This document does not substitute for those provisions or regulations, nor is it a regulation
itself. It does not impose legally-binding requirements on EPA, states, or the regulated community, and
may not apply to a particular situation based upon the circumstances. EPA and state decision-makers
retain the discretion to adopt approaches on a case-by-case basis that differ from this guidance where
appropriate. Any decisions regarding a particular facility will be made based on the applicable statutes
and regulations. Therefore, interested parties are free to raise questions and objections about the
appropriateness of the application of this guidance to a particular situation, and EPA will consider
whether the recommendations or interpretations in the guidance are appropriate in that situation based on
the law and regulations. EPA may change this guidance in the future.
Please note that, in several sections, the guidance makes suggestions and offers alternatives that go
beyond the minimum requirements indicated. EPA does this to provide information and/or suggestions
that may be helpful to implementation efforts. Such suggestions are prefaced by "may" or "should" are to
be considered advisory. They are not required elements of the FBRR.
Section I discusses the FBRR and presents timetables and timelines of important dates of this rule.
, "* Section II contains references for further information and guidance. Section III provides information for
I states to communicate the requirements of this rule to systems. Section IV covers state Primacy Revision
Requirements, including a detailed time frame for application review and approval. This section also
contains guidance and references to help states adopt the new special primacy requirement included in
this rule. Section V addresses violation determination and associated reporting requirements, including a
violation table to assist states in their compliance activities. Section 6 provides examples of language that
can be used to comply with the requirements of the Public Notification Rule (PN Rule) and Consumer
Confidence Reporting Rule (CCR).
The Appendices of this document also provide information that will be useful to states and EPA Regions
throughout the primacy revision application process. Appendix A contains the primacy revision crosswalk
for the rule. Appendix B contains the FBRR regulatory language. Appendix C contains a fact sheet, a
quick reference guide, and a rule summary for systems. Appendix D contains the Data Entry Instructions
with examples for the Filter Backwash Recycling Rule,
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Regional Contacts
Region 1
Linda Tsang
617-918-1395
Region 2
Michael Lowy
212-637-3830
Region 3
Jason Gambatese
215-814-5759
Region 4
Shaun McMullen
404-562-9294
Region 5
Miguel Del Toral
312-886-5253
vvEPA
Region 6
Blake Atkins
214-665-2297
Region 7
Ralph Flournoy
913-551-7374
Region 8
Bob Clement
303-312-6653
Region 9
Bruce Macler
415-972-3569
Region 10
Bill Chamberlain
206-553-8515
EPA REGIONS
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Section I
Rule Requirements
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1.1 Introduction
The Filter Backwash Recycling Rule (FBRR) was published in the Federal Register on June 8, 2001 [66
FR 31086; see www.epa.gov/safewater/filterbackwash.html]. This rule is part of a series of rules, the
"Microbial-Disinfectants/Disinfection Byproducts Cluster" (M-DBP Cluster), to be published over
several years. The rule cluster is intended to improve control of microbial pathogens while minimizing the
public health risks of disinfectants and disinfection byproducts (DBFs).
The FBRR focuses on reducing the risk associated with disinfection resistant pathogens, such as
Cryptosporidium, by addressing the impact of returning certain waste flows to a conventional or direct
filtration facility's treatment process. These return flows may adversely affect plant performance and,
subsequently, pathogen removal. Waste flows to which the FBRR applies include recycle of spent filter
backwash water, thickener supernatant or liquids from dewatering processes.
1.1.1 History
The 1974 SDWA called for EPA to regulate drinking water by creating the national interim primary
drinking water regulations (NIPDWR). In 1979, the first interim standard addressing DBFs was set for
total trihalomethanes (TTHM), a group of four volatile organic chemicals that form when disinfectants
react with natural organic matter in the water.
Although the SDWA was amended slightly in 1977, 1979, and 1980, the most significant changes to the
1974 law occurred when the SDWA was reauthorized in 1986. To safeguard public health, the 1986
Amendments required EPA to set health goals, or maximum contaminant level goals (MCLGs), and
maximum contaminant levels (MCLs) for 83 named contaminants. Waterborne disease outbreaks of
giardiasis demonstrated that disease-causing microbial contamination had not been sufficiently controlled
under the original Act. In addition, several hundred chemical contaminants were known to occur in the
environment but few were regulated in Public Water Systems (PWSs). EPA was also required to establish
additional regulations within certain timeframes, require disinfection of source water supplies, specify
filtration requirements for nearly all water systems that draw their water from surface sources, and
develop additional programs to protect ground water supplies.
In 1989, EPA issued two important National Primary Drinking Water Regulations (NPDWRs): the Total
Coliform Rule (TCR) and the Surface Water Treatment Rule (SWTR). The TCR and SWTR provide the
foundation for the M-DBP Cluster and are summarized below.
Total Coliform Rule
The TCR applies to all PWSs. Coliforms are easily detected in water and are used to assess a water
system's vulnerability to pathogens. In the TCR, EPA set an MCLG of zero for total coliforms. EPA also
set an MCL for total coliforms and required testing of total coliform positive cultures for the presence of
E. coli or fecal coliforms, which indicate more immediate health risks from sewage or fecal
contamination. Finally, the TCR required sanitary surveys every 5 years (or 10 years for noncommunity
water systems (NCWSs) using disinfected and protected ground water) for every system that collects
fewer than five routine total coliform samples per month. These are typically systems that serve less than
4,100 people.
Surface Water Treatment Rule
PWSs using surface water or ground water under the direct influence of surface water (GWUDI) as a
supply are prone to microbial contamination of their source water. Pathogenic microorganisms that can
contaminate source water can be removed or inactivated during the water treatment sedimentation,
Implementation Guidance for the FBRR 3 June 2004
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filtration, and disinfection processes. EPA issued the SWTR in response to a Congressional mandate
requiring disinfection, and filtration where necessary, of systems that use surface water or GWUDI
sources. The rule sets MCLGs for Legionella, Giardia lamblia, and viruses at zero because any exposure
to these contaminants presents some level of health risk. The SWTR includes a treatment technique
requirement for inactivation (or removal and inactivation) of these organisms.
Specifically, the SWTR requires that a surface water system have sufficient treatment to reduce source
water concentrations of Giardia lamblia by at least 99.9 percent (3 log) and viruses by at least 99.99
percent (4 log). In addition, disinfection residuals must be maintained throughout the distribution system.
For systems that filter, the adequacy of the filtration process is determined by measuring the turbidity of
the treated water since high levels of turbidity often indicate that the filtration process is not working
properly. The goal of the SWTR is to reduce the public health risk for infection by Giardia lamblia,
Legionella, or viruses to less than one infection per year per 10,000 people.
1996 SDWA Amendments
In 1990, EPA's Science Advisory Board, an independent panel of experts established by Congress, cited
drinking water contamination as one of the most important environmental risks and indicated that disease-
causing microbial contaminants (e.g., bacteria, protozoa, and viruses) are probably the greatest remaining
health-risk management challenge for drinking water suppliers. Data from the Centers for Disease Control
(CDC) confirm this concern and indicate that between 1980 and 1998, 419 waterborne disease outbreaks
were reported, with over 511,000 estimated cases of disease. During this period, a number of agents were
implicated as causes of the outbreaks, including various protozoa, viruses, and bacteria, as well as several
chemicals (Craun and Calderon 1996, Levy et al. 1998, Barwick et al. 2000). Most of the cases (but not
the outbreaks) of illnesses were associated with surface water, including a single outbreak of
approximately 403,000 cases of cryptosporidiosis in Milwaukee, WI (Mac Kenzie et al. 1994).
The SDWA was further amended in 1996 to improve public health protection by incorporating new data
on the adverse health effects of contaminants, the occurrence of contaminants in PWSs, and the estimated
reduction in health risks that would result from further regulation. The Amendments provided for use of
best-available, peer-reviewed science in decision-making and for risk reduction and cost analyses in the
regulatory decision process.
TTHMs/Stage 1 DBPR
Many water systems treat their water with a chemical disinfectant in order to inactivate pathogens that
cause disease. The public health benefits of common disinfection practices are significant and well-
recognized; however, disinfection poses risks of its own. While disinfectants are effective at controlling
many harmful microorganisms, they react with organic and inorganic matter (DBP precursors) in the
water and form DBFs, some of which pose health risks when present above certain levels. Since the
discovery of chlorination byproducts in drinking water in 1974, numerous toxicological studies have been
conducted that show some DBFs to be carcinogenic and/or cause reproductive or developmental effects in
laboratory animals. Additionally, exposure to high levels of disinfectants over long periods of time may
cause health problems, including damage to blood and kidneys. While many of these studies have been
conducted with disinfectants at high doses, the weight of evidence indicates that DBFs present a potential
public health problem that must be addressed even at low levels. One of the most complex questions
facing water supply professionals is how to reduce risks from disinfectants and DBFs while providing
adequate protection against microbial contaminants. Much of the population is exposed to these risks;
therefore, a substantial concern exists.
The TTHM Rule of 1979 set a TTHM standard for CWSs serving 10,000 or more people. The Stage 1
Disinfectants and Disinfection Byproducts Rule (Stage 1 DBPR) built on the TTHM Rule by lowering
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c
existing MCLs and widening the range of affected systems to include all PWSs (except most transient
systems) that add a disinfectant. The Stage 1 DBPR established new MCLs for chlorite, bromate, and
haloacetic acids (HAAS) as well as established maximum residual disinfection levels (MRDLs) for the
disinfectants chlorine, chloramine, and chlorine dioxide. In addition, the Stage 1 DBPR requires
conventional filtration systems to remove specified percentages of organic materials, measured as total
organic carbon (TOC), that may react with disinfectants to form DBFs.
IESWTR/LTIESWTR
The IESWTR builds on the SWTR by adding protection from Cryptosporidium through strengthened
combined filter effluent (CFE) turbidity performance standards and individual filter effluent (IFE)
turbidity provisions. The IESWTR applies to systems that serve more than 10,000 people. For unfiltered
systems, Cryptosporidium must be included in watershed control requirements. In addition, the IESWTR
builds on the TCR by requiring sanitary surveys for all PWSs using surface water or GWUDI. The
IESWTR also requires covers for all new finished water storage facilities and includes disinfection
profiling and benchmarking provisions to ensure systems provide continued levels of microbial protection
while taking the necessary steps to comply with the DBF standards.
The provisions in the Long Term 1 Enhanced Surface Water Treatment Rule (LTIESWTR) address the
concerns covered by the IESWTR as they apply to small systems (i.e., systems serving fewer than 10,000
people) using surface water or GWUDI.
Collectively, the SWTR, IESWTR, and LT IESWTR place stringent treatment requirements on systems
using surface water or GWUDI as a source.
Filter Backwash Recycling Rule
The Filter Backwash Recycling Rule (FBRR) complements the surface water treatment rules by reducing
the potential for microbial pathogens, particularly Cryptosporidium oocysts, to pass through the filters
into the finished water of systems that use conventional and direct filtration. The FBRR requires affected
systems to notify the state in writing about its recycle practices, maintain specific records, and return
regulated recycle streams (i.e., spent filter backwash, thickener supernatant, or liquids from dewatering
processes) through all processes of a system's existing conventional or direct filtration system (unless the
state approves an alternate location).
The Multiple Barrier Approach
By building on the foundation of the original SDWA, subsequent amendments to the Act have improved
the quality of drinking water and increased public health protection. The 1996 SDWA Amendments, for
example, require EPA to develop rules to balance the risks presented by microbial pathogens and DBFs.
The FBRR is one of the most recent rules in the M-DBP Cluster that expands on the foundation of prior
rulemaking efforts.
Since multiple threats require multiple barriers, the FBRR expands on the foundation of the TCR, SWTR,
TTHM Rule, Stage 1 DBPR, IESWTR, and LT IESWTR standards to target health risks not addressed by
prior regulations. By encompassing these previously unaddressed health risks from microbials and DBFs,
the M-DBP Cluster continues to maximize drinking water quality and public health protection.
1.1.2 Development of the FBRR
The 1996 SDWA Amendments required EPA to develop rules to balance the risks between microbial
pathogens and disinfection byproducts, and to "govern" the recycle of filter backwash within the
treatment process of public water systems. In 1997, a Federal Advisory Committees Act (FACA) process
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was implemented with the Microbial-Disinfectants/Disinfection Byproducts (M-DBP) Advisory
Committee. The M-DBP Committee negotiations resulted in the following three proposals:
An Information Collection Rule (ICR) to collect information necessary to reduce many
key uncertainties prior to subsequent negotiations for the Stage 2 Disinfection
Byproducts Rule (Stage 2 DBPR). Systems affected by the ICR were also required to
report whether recycling is practiced and to sample spent filter backwash water (i.e.,
recycle flow) between the backwash water treatment plant (if one existed) and the point
at which recycle flow is added to the treatment process. Sampling of plant recycle flow
was required prior to blending with the plant influent flow.
A companion Enhanced Surface Water Treatment Rule and the FBRR designed to
improve control of microbial pathogens and prevent inadvertent reductions in microbial
safety as a result of DBP control efforts; and,
A staged approach to regulation of DBFs (referred to as the Stage 1 and Stage 2 DBPRs)
incorporating MCLs, MRDLs, and treatment technique (TT) requirements.
Several formal and informal meetings on the FBRR were held with stakeholders, trade associations, and
environmental groups in 1998 and 1999. Small entity representatives also contributed valuable input as
part of the Small Business Regulatory Enforcement Fairness Act (SBREFA) panel process. The proposed
FBRR was published in the Federal Register on April 10, 2000 (65 FR 19046). EPA held a public
meeting in Washington, DC on April 14, 2000 to discuss the proposed rule. Additionally, the proposed
rule was either presented or discussed in nearly 50 meetings across the U.S. Finally, EPA requested
comments by mailing approximately 200 copies of the proposed rule to stakeholders. EPA received 67
comments from a variety of stakeholders including states, municipalities, tribes, elected officials,
consultants, trade groups, and private industry. These comments were reviewed and evaluated while
developing the final rule. Responses to all of the comments are found in EPA's Public Comment and
Response Summary for the FBRR (USEPA, 2001).
1.1.3 Benefits of the FBRR
The benefits associated with the FBRR cannot be quantified due to the limitations of available data.
Specifically, there is a lack of performance data needed to accurately model Cryptosporidium oocyst
removal achieved by each of the unit processes of a treatment plant and the impact specific recycling
practices may have on unit-process performance and finished water quality. However, available data
demonstrate that oocysts occur in recycle streams, often at higher concentrations than found in source
water. Data also indicate returning recycle streams to the plant may increase oocyst concentrations
entering the plant. Some recycle practices can upset unit process performance and the proper hydraulic
operation of flocculation, sedimentation/clarification, and/or filtration processes. The benefits of the
FBRR are derived from protecting the facility's ability to provide 2-log removal of Cryptosporidium
oocysts. The FBRR reduces the risk posed by certain recycling practices of passing microbial pathogens
to the finished water, thereby providing additional protection to consumers.
1.2 Requirements of the Rule: Public Water Systems
The following rule requirements are from the FBRR published in the Federal Register on June 8, 2001
[66 FR 31086]. For a copy of the actual rule language, see Appendix B, or visit EPA's Web site at
www.epa.gov/safewater/filterbackwash.html for a copy of the Federal Register notice.
June 2004 6 Implementation Guidance for the FBRR
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1.2.1 Applicability
1.2.1.1 Who does this rule apply to?
The FBRR applies to any public water system that:
Uses surface water or ground water under the direct influence of surface water (GWUDI)
also known as a Subpart H system; and
Utilizes conventional or direct filtration treatment; and
Recycles spent filter backwash water, thickener supernatant, or liquids from dewatering
processes.
(40CFR141.76(a))
1.2.1.2 What are conventional and direct filtration treatment?
Conventional filtration treatment, as defined in 40 CFR 141.2, is a series of processes
including coagulation, flocculation, sedimentation and filtration resulting in substantial
particulate removal. Figure 1.3 depicts the regulated recycle streams in a conventional
filtration treatment plant.
Figure 1.1: Regulated Recycle Streams for Conventional Filtration Treatment
Raw Water
Influent
Coagulation
Thickener Supernatant
(regulated)
Pressate, Ce titrate,
Leachate, or other
De-watered Liquids
(regulated)*
* Liquids from dewatering processes
are typical^ returned to a clarifier or
other basin prior to recycle
**Solids should be removed
from spent filter backwash
prior to recycle
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Direct filtration, as defined in 40 CFR 141.2, is a series of processes including
coagulation and filtration but excluding sedimentation resulting in substantial particulate
removal. Solids are typically removed from recycle streams prior to being returned to the
primary treatment train/plant headworks. Figure 1.4 depicts the most commonly
encountered regulated recycle stream in a direct filtration treatment plant. Although
sludge thickener supernatant and liquids from dewatering processes are also regulated,
they may not be as commonly used in direct filtration facilities.
Figure 1.2: Direct Filtration Treatment with Recycling of Spent Filter Backwash Water
Raw Water
Influent
Filter to Waste
(unregulated)
Disinfectant
Spent Filter
Backwash
(regulated)
Treatment
Unit*
"Spent filter backwash
should be equalized
and solids removed
prior to recycle
Clearwell
Finished Water to
Distribution System
1.2.1.3 What is spent filter backwash water?
Spent filter backwash water is a waste stream containing particles that are dislodged from filter media
when water is forced back through a filter (backwashed) to clean the filter. Spent filter backwash water
contains particles including coagulants, metals, and microbes such as Cryptosporidium. Spent filter
backwash water does not include water used in a filter-to-waste process, unless the filter-to-waste water is
combined with the spent filter backwash water prior to its return to the plant.
1.2.1.4 What is thickener supernatant?
Thickener supernatant (or sludge thickener supernatant) is a waste stream containing the decanted water
from a sedimentation basin, clarifier or other unit used to treat waste streams generated in the water
treatment process. Such units may be used to treat spent filter backwash water, or sludge solids or semi-
solids from a clarifier or sedimentation basin. The water that exits the units after particles have been
allowed to settle out is thickener supernatant.
1.2.1.5 What are liquids from dewatering processes?
Liquids from dewatering processes are defined as a waste stream containing liquids generated from a unit
used to concentrate solids for disposal. Such solids concentration units may consist of centrifuges, filter
presses, belt presses, vacuum filters, monofills (sludge-only landfill), or other sludge concentrating
equipment. Such equipment may be used to dewater sludge from treatment units used in waste stream
treatment processes or sludge from units found in the primary processes.
June 2004
Implementation Guidance for the FBRR
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1.2.1.6 Why is the Filter Backwash Recycling Rule Necessary?
/**
v When a facility recycles filter backwash water, it reintroduces contaminants back into treatment
^^ processes. Poor recycle practices can degrade influent water quality and impair treatment process
performance. EPA believes that the FBRR will improve performance at filtration plants and further
protect public health by reducing the opportunity for recycle practices to adversely affect plant
performance in a way that would allow microbes, such as Cryptosporidium, to pass through into finished
drinking water. As a result, certain public water systems (PWSs) will be required to institute changes to
the return of recycle flows to their plant's treatment process that may otherwise compromise microbial
control.
The SWTR and IESWTR set enforceable drinking water treatment technique requirements to reduce the
risk of waterborne microbiological disease from surface water. The FBRR provides further necessary
protection against Cryptosporidium for systems that practice recycle by ensuring that the 2-log
Cryptosporidium removal requirement established in the IESWTR and in the LTIESWTR is not
jeopardized by recycle practices.
1.2.1.7 What are Cryptosporidium and Cryptosporidiosis?
Cryptosporidium is a protozoan parasite found in humans, many other mammals and also in birds, fish
and reptiles. It is common in the environment and widely found in surface water supplies. In the infected
animal, the parasite multiplies in the gastrointestinal tract. The animal then excretes oocysts of the
parasite in its feces. These oocysts are tiny spore-like organisms 4 to 6 microns in diameter (too small to
be seen without a microscope) which contain the sporozoites (infective form). The oocysts of
Cryptosporidium are very resistant to adverse factors in the environment and can survive dormant for
/.>---. months in cool, dark, moist soil or for up to a year in clean water.
X" When someone is infected with Cryptosporidium, symptoms can include watery diarrhea, stomach
cramps, nausea, loss of appetite, and mild fever. This disease is called cryptosporidiosis and is a major
cause of reported waterborne disease outbreaks from rivers, lakes, waterparks, and swimming pools. The
symptoms of cryptosporidiosis begin an average of seven days after infection. Persons with a normal,
healthy immune system can expect their illness to last for two weeks or less, with constant or intermittent
diarrhea. Even after symptoms cease, an individual can still pass Cryptosporidium in the stool for up to
two months and may be a source of infection for others. Cryptosporidiosis is not treatable with antibiotics
so prevention of infection is critical. People with weakened immune systems (those with HIV/AIDS,
undergoing cancer chemotherapy, or those who have received organ transplants) may have
cryptosporidiosis for a longer period of time, and it can be life-threatening. Small children, pregnant
women, or the elderly infected with cryptosporidiosis can quickly become severely dehydrated.
Cryptosporidiosis is primarily a waterborne disease, but has also been transmitted by consumption of
contaminated food, unhygienic diaper changing practices, other person-to-person contact, and contact
with young farm animals. Cryptosporidium oocysts are relatively resistant at normal temperatures and are
not easily killed by commonly used disinfectants.
1.2.2 System Notification to the State (Reporting Requirements)
The FBRR requires that systems notify the state in writing by December 8, 2003 that they practice recycle
(40CFR141.76(b)).
Implementation Guidance for the FBRR 9 June 2004
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1.2.2.1 What must be included in the notification to the State?
When notifying the state that they practice recycle, systems must also include at least the following
information: '*****
A plant schematic showing the origin of all flows which are recycled (including, but not
limited to, spent filter backwash water, thickener supernatant, and liquids from
dewatering processes)
* The hydraulic conveyance used to transport them, and
* The location where they are recycled back into the plant;
(40CFR141.76(b)(l))
Typical recycle flow in gallons per minute (gpm);
Highest observed plant flow experienced in the previous year (gpm);
Design flow for the treatment plant (gpm); and
State-approved operating capacity for the plant (where the state has made such
determinations).
(40CFR141.76(b)(2))
Additional information helpful to the state may include:
Any treatment or equalization provided to the recycle stream prior to return of the stream
to the primary treatment process; ^"%1
Operational practices used to determine when recycle occurs (such as a minimum plant >»*>'
flow rate);
Influent flow changes, coagulant chemical adjustments or other operational practices
applied to accommodate recycle flows; or
Any other information pertinent to understanding recycle practices (such as if the highest
observed plant flow experienced during the past year included any recycle flow
contributions, and if so, how much).
Systems which intend to use or continue to use an alternate recycle location are encouraged to submit
additional data or justification for the preferred location at the same time (see section 1.3.3.5, below)
1.2.2.2 Why does this information need to be submitted?
Information required in the notification to the state must be submitted so states may evaluate whether
recycle practices have the potential to cause a hydraulic surge that may adversely affect plant
performance or cause a plant to exceed its operating capacity. Because of the high volume of water and
short duration of a filter backwash recycle event, a large volume of water may surge through the treatment
plant when the water is recycled. This hydraulic surge can potentially overload treatment capability by
challenging the effectiveness of each process within a system, including the filters.
The FBRR does not define at what point a hydraulic surge becomes a concern. Because each treatment ^*
facility has unique characteristics, states are given discretion to determine if or when a surge should be
'
June 2004 10 Implementation Guidance for the FBRR
-------
mitigated. Some states have developed guidelines or construction standards to address this issue. Systems
,/"- should provide sufficient information to enable states to make an informed review of current practices.
^"^ It is also necessary for systems to submit this basic recycle information to ensure that states can determine
compliance with the recycle return location (treatment technique) requirement of the FBRR (40 CFR
141.76(c)) (see section 1.2.3, below).
1.2.2.3 What happens if the state does not receive notification of recycle practices?
Failure to comply with the FBRR reporting requirements is a monitoring/reporting violation. Systems
with monitoring/reporting violations under the FBRR are required to notify the public (Tier 3
notification) (see section 1.2.5, below).
1.2.3 Recycle Return Location (Treatment Technique)
The FBRR requires the return of certain recycle streams to a defined location for conventional and direct
filtration drinking water treatment plants by June 8, 2004 (40 CFR 141.76(c)).
1.2.3.1 What are the FBRR recycle return requirements?
The FBRR requires any system that recycles spent filter backwash water, thickener supernatant, or liquids
from dewatering processes to return these flows through the processes of a system's conventional or
direct filtration system as defined in 40 CFR 141.2 (see section 1.2.1.2, above) or at an alternate location
approved by the state (40 CFR 141.76(c)) (see section 1.2.3.5, below).
-~~. 1.2.3.2 Why should recycle be returned through the processes included in a system's conventional
i or direct filtration system?
There are two primary reasons why the EPA believes recycle should be returned through all processes of
existing treatment. First, it is important that recycle practices be conducted in a manner that does not
upset the chemical treatment and coagulation process vital to the contaminant removal performance of a
filtration plant. Studies from many researchers indicate that proper coagulation is paramount to optimal
performance of treatment plants and that recycling after the coagulation step may upset chemical
treatment.
The second primary reason for recycling through processes of the existing plant is to ensure that
Cryptosporidium oocysts in recycled water, as well as source water, receive the full benefit of well-
operated treatment processes to achieve at least 2-log Cryptosporidium removal. The ability of
conventional and direct filtration plants to remove Cryptosporidium under appropriate coagulation
conditions has been verified in many studies. These studies demonstrated that conventional and direct
filtration plants that employed coagulation, flocculation, sedimentation (in conventional treatment only),
and filtration steps had the ability to achieve at least 2-log removal of Cryptosporidium when meeting
specific turbidity limits. These findings formed the basis for EPA's development of turbidity limits (0.3
NTU 95 percent of the time and a 1 NTU maximum) associated with the 2-log treatment technique in the
IESWTR and the LT1ESWTR. EPA believes these studies demonstrate a minimum of 2-log
Cryptosporidium removal only when water passes through all processes of conventional or direct
filtration treatment. If water (either source water or recycle streams) does not pass through all of these
processes, it is unclear whether 2-log Cryptosporidium removal is achieved.
Implementation Guidance for the FBRR 11 June 2004
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1.2.3.3 What if recycle flows are already returned through all the processes of the filtration plant?
If recycle flow is already being returned to a location such that it flows through all processes of the
conventional or direct filtration system (see section 1.2.1.2, above), then the system is in compliance with
the recycle return (treatment technique) requirement for the FBRR. However, the system still must notify
the state that it practices recycle by December 8, 2003 (40 CFR 141.76(b)) (see section 1.2.2, above), and
must collect and retain recycle flow information for review and evaluation by the state beginning June 8,
2004 (40 CFR 141.76(d)) (see section 1.2.4, below). Systems may be required to modify recycling
practices if the state determines treatment performance is compromised by current procedures.
1.2.3.4 What if changes are needed to the current recycle location?
The system still must notify the state that it recycles by December 8, 2003 (40 CFR 141.76(b)) (see
section 1.2.2, above), and must collect and retain current recycle flow information for review and
evaluation by the state beginning June 8, 2004 (40 CFR 141.76(d)) (see section 1.2.4, below).
However, the FBRR allows systems an additional 24 months to comply with the treatment technique
requirement if capital improvements are required to modify the recycle location. Some activities involved
in changing the recycle location may include preliminary planning, evaluation of alternatives, selection of
consultants and contractors, submitting project design plans and specifications to the state, obtaining state
approval and/or permits, and installation of new piping, pumps, processes, and instrumentation. Capital
improvements must be completed by June 8, 2006. Systems may find it necessary to update the recycle
flow information they have retained on file after capital improvements are completed.
Systems which need to make changes that do not involve capital improvements can do so, but systems
must still comply with the treatment technique by June 8, 2004 (40 CFR 141.76(c)). In addition, their
recycle notification and information retained on file should reflect the changes, if applicable.
1.2.3.4.1 What if capital improvements are not completed by the required date?
Failure to complete capital improvements by the required date is a treatment technique violation.
Treatment technique violations under the FBRR require Tier 2 public notification (40 CFR 141 Appendix
A to Subpart Q (I)(A)(8)) (see section 1.2.5, below).
1.2.3.5 What if the current recycle location seems to meet the intent of the recycle provision?
EPA recognizes that some systems may be able to achieve 2-log or higher Cryptosporidium removal
when recycling to other locations within the treatment plant. Therefore, the FBRR includes a provision
that allows states to approve alternate recycling locations (a location other than through the processes of
the system's existing conventional or direct filtration plant) for systems on a case-by-case basis.
A system wishing to use an alternate recycle location may submit additional information about its
location and justification for its use to the state. The information should be submitted to the state as soon
as possible in order to provide the state ample time to review and either approve or deny the request.
Since the recycle return location treatment technique requirement is effective on June 8, 2004, systems
were encouraged to submit requests prior to December 8,2003. Information required by the reporting
requirements (see section 1.2.2, above) may be submitted at the same time, but was due by December 8,
2003 (40 CFR 141.76(b)).
June 2 004 12 Implementation Guidance for the FBRR
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In the submission for an alternate location, systems should include information necessary to enable states
to determine if an alternative recycle location will not or does not:
Upset treatment plant performance, or
Jeopardize 2-log removal of Cryptosporidium.
Information may include operating parameters adhered to during recycle, settled water and filter effluent
turbidity and particle count profiles at the time the recycle flow would reach these unit processes, pilot
test results and other results of site-specific studies of treatment performance with and without recycle
return.
Even if the recycle return location may be changed prior to June 8, 2004 the system still must notify the
state that it recycles and provide the accompanying information by December 8, 2003 (see section 1.3.2,
above). The system also must collect and retain their current recycle flow information for review and
evaluation by the state beginning June 8, 2004 (see section 1.2.4, below).
1.2.3.6 What if recycle flows are not returned to an appropriate location by the required date?
Failure to recycle to an appropriate location by the required date is a treatment technique violation.
Treatment technique violations under the FBRR require Tier 2 public notification (40 CFR 141 Appendix
A to Subpart Q (I)(A)(8)) (see section 1.2.5, below).
1.2.4 System Recycle Flow Records (Recordkeeping)
Systems must collect and retain on file recycle flow information for review and evaluation by the state
beginning June 8, 2004 (40 CFR 141.76(d)(l)-(6)).
1.2.4.1 What information must be collected and retained on file?
A copy of the recycle notification and information submitted to the state (see section
1.2.2, above).
A list of all recycle flows and the frequency with which they are returned.
The average and maximum backwash flow rate through the filters.
The average and maximum duration of the filter backwash process in minutes.
A typical filter run length.
A written summary of how filter run-length is determined.
The type of treatment provided for the recycle flow.
If applicable, data on:
v' The physical dimensions of the equalization and/or treatment units;
v' Typical and maximum hydraulic loading rates;
»^ Type of treatment chemicals used and average dose and frequency of use; and
S Frequency at which solids are removed.
Implementation Guidance for the FBRR 13 June 2004
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Systems may wish to begin assembling this information when they make their notification to the state
(December 2003) so that the information is available for review and evaluation by June 8, 2004. It is
anticipated that most systems already keep this data as part of their operating procedures. However, where
the system does not have the required information, it must be collected.
1.2.4.2 Why is the recycle flow information necessary?
This basic information allows the state to evaluate a system's recycle practices and identify whether they
are reducing the plant's performance and contributing to increased risk from microbial pathogens. States
may review the information during sanitary surveys, comprehensive performance evaluations (CPEs) or
other site visits. States may decide that further evaluation is required or that modifications to a system's
recycle practices are necessary.
As noted in section 1.2.2.2, system recycle notification and information enables states to make an
assessment of the potential for recycle-induced hydraulic surges. This information may be used by the
state for the following:
The schematic provides a layout of the treatment facility and indicates recycle origins and
return locations.
A list of all recycle flows and the frequency at which they are returned identifies
regulated and unregulated waste streams.
The frequency at which the recycle flows are returned indicates if continuous or periodic
recycle is practiced (in either case, what is returned and how it is returned will affect how
well the primary treatment process accommodates the recycle flow). This information
will indicate if recycle is controlled to minimize impacts on filtered water quality.
Backwash flow rates and duration can be evaluated to determine if the backwash is
adequately treated or equalized, or if it hydraulically challenges a plant's performance.
How a system determines when it will backwash and how long filters remain in operation
prior to backwashing can provide important insight into the contribution of this recycle
practice to plant flow rate. Systems may backwash based on length of filter run, headloss,
effluent turbidity, or other operational determinant (such as scheduling to accommodate
demand). This information also reveals operational options which may be investigated if
changes to current recycle practices are needed.
The type of treatment provided will affect the degree to which treatment of recycle
streams serves to lower the particulate matter thereby reducing the number of microbes
that will once again enter the treatment plant. Similarly, the hydraulics of equalization
basins can indicate if the facility can minimize or eliminate the effects of hydraulic
surges.
1.2.4.3 How long should this information be retained on file?
The FBRR does not directly specify how long recycle flow information should be kept on file. However,
systems must retain the information long enough so that the information is still available for the state to
review during the system's next scheduled sanitary survey (or other inspection/activity) used for
evaluating recycle information (40 CFR 141.76(d) and 40 CFR 142.16(i)). EPA recommends that recycle
flow information be retained on file for a minimum of 10 years.
June 2004 14 Implementation Guidance for the FBRR
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1.2.4A What if the required recycle flow information is not collected and retained on file?
Failure to comply with this requirement is a recordkeeping violation. Systems with recordkeeping
violations under the FBRR are required to notify the public (Tier 3 notification) (40 CFR 141 Appendix
A to Subpart Q (I)(A)(8)) (see section 1.2.5, below).
1.2.5 Public Notification of Drinking Water Violations
A Tier 2 public notification of a treatment technique violation is required for failure to recycle to an
appropriate location or to complete capital improvements by the required schedule (40 CFR 141
Appendix A to Subpart Q (I)(A)(8)).
A Tier 3 public notification of a monitoring and reporting violation is required for failure to notify the
state of recycle practices or failure to collect and maintain recycle flow information by the required
deadline (40 CFR 141 Appendix A to Subpart Q (I)(A)(8)).
More information on public notification requirements can be found at
http://www.epa.gov/safewater/pn.html.
1.2.6 Consumer Confidence Report Requirements
The FBRR does not specifically modify the Consumer Confidence Report (CCR) Rule requirements.
However, consumer confidence reports must contain any violations of treatment technique requirements
or violations of NPDWR requirements. This includes any such violations of the FBRR.
More information on consumer confidence report requirements can be found at
http://www.epa.gov/safewater/ccrl.html.
1.3 Requirements of the Rule: States or Other Primacy Agents
The following rule requirements are from the FBRR published in the Federal Register on June 8, 2001
[66 FR 31086]. For a copy of the actual rule language, see Appendix B, or visit EPA's website at
www.epa.gov/safewater/filterbackwash.html for a copy of the Federal Register notice.
1.3.1 Records Kept By States
The FBRR does not include specific state information collection or reporting requirements. However, the
rule modifies 40 CFR 142.14 to require primacy states to keep on file any decisions made to approve
alternate recycle locations, require modifications to recycle return locations, or require modifications to
recycle practices.
1.3.2 Special Primacy Requirement
In order to receive primacy for the FBRR, states must adopt regulations no less stringent than this rule.
States must submit revisions to their programs, regulations, or authorities no later than June 8, 2003 (2
years after rule publication), although states can request an extension of up to 2 years (June 8, 2005).
In addition, states are required to show in their primacy application that they have the authority to
implement a key provision of the rule. A state's application must contain a description of the proper rules
or other authority possessed by the state to use sanitary surveys, comprehensive performance evaluations
(CPEs), other inspections or other activities to evaluate recycle data maintained by systems, and require
modifications to recycle practices as necessary (40 CFR 142.16(i)).
Implementation Guidance for the FBRR 15 June 2004
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An example of when a state might require modification is if a system meets the treatment technique
requirement of 40 CFR 141.76(c) by returning all recycle flows through the processes of its existing
conventional or direct filtration system but the state has determined that current recycle practices
adversely affect plant performance and must be changed.
EPA recognizes that there are numerous mechanisms a state could use to evaluate recycle practices.
However, a state must also have the authority to require systems to modify recycle practices (40 CFR
Details and guidance regarding this special primacy requirement are included in section 4.4 of this
manual.
1.4 Summary of Action Dates
1.4.1 Applicability and Compliance Dates
The FBRR applies to public water systems (PWSs) that use surface water or ground water under the
direct influence of surface water (GWUDI) as a source (also known as Subpart H systems). Additionally,
it applies only to systems that employ conventional or direct filtration and recycle spent filter backwash
water, thickener supernatant or liquids from dewatering processes. Systems that are not Subpart H
systems, do not recycle these streams, or do not use conventional or direct filtration have no requirements
under the FBRR (40 CFR 141.76(a)). Table 1.1 summarizes key compliance dates required by the FBRR
(in bold) as well as suggested timeframes for certain implementation activities. (Shaded)
Table 1.1: Summary of Action Dates for Implementing the FBRR
Date
June 8, 2001
August 7, 2001
FBRR Action
Rule is published in Federal Register.
60-day legal challenge period ends and rule becomes effective.
Final primacy applications must be submitted to EPA unless granted an extension
[40 CFR 142.12(b)(l)].
December 8,
2003
Systems must notify the state in writing if they recycle spent filter backwash, thickener
supernatant, or liquids from dewatering processes, and submit a plant schematic and
other required flow data to the state [40 CFR 141.76(b)].
June 2004
16
Implementation Guidance for the FBRR
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c
June 8, 2004
June 8, 2004
C
June 8,2005
June 8, 2006
Systems must recycle spent filter backwash water, thickener supernatant, or liquids
from dewatering processes through the processes of a system's existing conventional or
direct filtration system as defined in 40 CFR 141.2 or at an alternate location approved
by the state unless capital improvements are required to modify the recycle location to
meet this requirement. [40 CFR 141.76(c)].
Systems must collect and retain recycle flow information on file for review and
evaluation by the state [40 CFR 141.76(d)].
Final primacy revisions applications from states with approved two year extension
agreements must be submitted to EPA [40 CFR 142.12(b)(2)].
Systems which need capital improvements to modify the recycle location to comply
with recycle return requirements must have capital improvements completed [40 CFR
141.76(c)].
1.4.2 Timeline and Flowchart for the Filter Backwash Recycling Rule
The timeline on the next page (Figure 1.1) depicts the FBRR requirements and implementation timeline
for states and systems. The flowchart on the following page (Figure 1.2) shows the requirements of the
FBRR.
Implementation Guidance for the FBRR
17
June 2004
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Figure 1.3: Filter Backwash Recycling Rule - Rule Requirements and Implementation Timeline
State Requirements )
V. '
Final Rule
Promulgated
I
h- 6/8/01
state Adopts Rule
Treatment Technique
and Recordkeeping
Requirements Effective
I
Deadline for State \
(without extension) to I
submit Primacy I
Revision Application /
to EPA _y
State reviews
request for
alternative location
(recommended)
Reporting
Requirements
Effective
/Begin review and
| evaluation of system
I recycle flow
\Jnformation
/ Deadline for State with
I extension to submit
I Primacy Revision
\ Application to EPA
6/8/03
12/8/03
Systems submit
justification to State
for alternative
location
(recommended)
Reporting Deadline:
* Notify the State in writing
and provide information
on current practices.
System Requirements
Subpart H public water
system;
Conventional or direct
filtration system; and
Returning spent filter
backwash water,
thickener supernatant,
or liquids from
dewatering processes.
6/8/04
6/8/05-
-6/8/06-
Treatment Technique and
Recordkeeping Deadline:
Retain data on recycle for
review and evaluation by
the State
Return recycle flows to an
appropriate location
Obtain State approval for
use of an alternative
location
Capital improvements
must be complete
June 2004
18
Implementation Guidance for the FBRR
-------
Figure 1.4: Filter Backwash Recycling Rule Provisions
Yes
Does
the system use
urface water or ground water
under the direct
nfluenceofsurfac
water";
Does
the system recycle
spent filter backwash,
thickener supernatant
or liquids from
dewatering'-
Does the system
employ
conventional or
direct filtration?
FBRR does not apply )44
Ttnotify State in wntin
Yes
1
r
Recordkeeping
violation
(PN required)
-
1
M/Rv
(PNre
recycle to State-appro
alternate location
by 6/08/04:
Have capital
improvements been
completed by 6/08/06?
No further requirements
under FBRR
1. Notification includes information specified in 40 CFR 141.76 (b) (1) and (2)
2. Recycle flow information is specified in 40 CFR 141.76 (d) (1) through (6)
Implementation Guidance for the FBRR
19
June 2004
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References
Barwick, R. S., Levy, D. A., Craun, G. F., Beach, M. J. and Calderon, R. L. (2000). Surveillance for
Waterborne-Disease Outbreaks-United States, 1997-1998. Morbidity and Mortality Weekly Report 49
(SS04), 1-37.
Craun, G. and Calderon, R., 1996. Microbial risks in groundwater systems: Epidemiology of waterborne
outbreaks. Under the Microscope: Examining Microbes in Groundwater. Proceedings of the Groundwater
Foundation's 12th Annual Fall Symposium, Boston. September.
EPA's Public Comment and Response Summary for the FBRR (EPA, 2001).
Levy, D. Bens, M. Craun, G., Calderon, R., and Herwaldt, B. 1998. Surveillance for Waterborne Disease
Outbreaks - United States, 1995-1996. MMWR (47:SS-5:l-34).
MacKenzie, W.R., NJ. Hoxie, M.E. Proctor, M.S. Gradus, K.A. Blair, D.E. Peterson, J.J. Kazmierczak,
D.G. Addiss, K.R. Fox, J.B. Rose, and J.P. Davis. 1994. A massive outbreak in Milwaukee of
Cryptosporidium infection transmitted through the public water supply. New England Jour. Med.
331(3):161-167.
June 2004 20 Implementation Guidance for the FBRR
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Section II
Resources and Guidance
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This Page Intentionally Left Blank
June 2004 22 Implementation Guidance for the FBRR
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In addition to this Implementation Guidance, a variety of resource materials and technical guidance
documents have been prepared by EPA to facilitate understanding and implementing the FBRR. This
section is an overview of each of these resources and includes instructions on how to obtain the
documents.
2.1 Technical Guidance Manual
The Filter Backwash Recycling Rule Technical Guidance Manual (EPA 816-R-02-014) focuses on the
background and regulatory issues addressed by the rule, the effect of recycle practices on treatment plant
performance, and useful information on evaluating recycle practices and options for treatment or
equalization of recycle streams. This manual will aid EPA, state agencies, and affected PWSs in
implementing this rule and will help ensure that implementation among these groups is consistent.
The manual provides detailed information on the following subjects:
The background for and intent of the rule to ensure water treatment is not jeopardized by
recycle practices;
Reporting, recycle return location and data collection requirements of the rule;
System reporting and recordkeeping requirements on current recycle practices, such as
residuals that are recycled and recycle return location;
Information on allowed recycle return locations and suggested system information for
State review of alternative recycle return locations;
Assessing hydraulic surge; and,
Discussion of recycle options (including flow equalization, treatment and discharge to
publicly owned treatment works (POTWs)).
The manual also includes suggested worksheets (with completed examples) for use in complying with the
recycle notification and information, and ongoing reporting and recordkeeping information requirements.
The forms presented in the technical guidance manual have been incorporated into section 3: State
Implementation of this document to provide an example of how required information may be collected
from systems. Systems are reminded to check with their primacy agency to determine if these or other
forms are to be used.
2.2 Rule Presentation
A presentation that can be used for workshops for the FBRR is available in PowerPoint format on the
EPA Web site, (http://www.epa.gov/safewater/filterbackwash.html'i
Implementation Guidance for the FBRR
23
June 2004
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2.3 Fact Sheet/Quick Reference Guide/Rule Summary
A Fact Sheet, Quick Reference Guide and Rule Summary for the FBRR may be useful in conveying basic
information to water systems, new personnel, and for educating stakeholders about the rule. These are Xfcj-
stand-alone documents and are included in Appendix C of this guidance. They are:
Fact Sheet: Filter Backwash Recycling Rule
Filter Backwash Recycling Rule: Quick Reference Guide
Filter Backwash Recycling Rule: A Rule Summary for Systems
2.4 Questions and Answers
Questions and Answers (Q & As) on the FBRR are provided in this section. These questions have been
asked of EPA through the Safe Drinking Water Hotline, implementation training, or other means.
2.4.1 Regulated Systems and Streams
Q: My water system is not surface water or ground water under direct influence (GWUDI) of
surface water, but we do use conventional filtration, and we do recycle spent filter
backwash water. Do I have to meet all three qualifications, or do I qualify with just two?
A: All three qualifications must be met for the FBRR to apply to a system. Systems that are
not Subpart H (surface water or GWUDI systems) are not subject to this regulation. The
rule would therefore not apply to this system (40 CFR 141.76(a)).
Q: The FBRR applies to systems that recycle "liquids from dewatering processes." Does this <**%
include facilities which use sand drying beds for dewatering residue which can return the
subnatant water from the bottom of the beds to the headworks of the plant? **"**
A: The subnatant water would be considered a liquid from a dewatering process and would
therefore be a regulated waste stream if recycled. In many systems, the subnatant water is
diverted to the backwash recycling lagoon, then is returned to the head of the plant. By
default in this scenario, both the subnatant and backwash water would be regulated under
the FBRR, and would trigger the requirement that the system comply with the rule (40
CFR141.76(a)).
Q: Is it acceptable to recycle the filter-to-waste stream to the head of the plant although it is
not a regulated stream?
A: The FBRR does not limit the types of streams that can be recycled. In fact, many systems
do recycle their filter-to-waste streams, and this does not violate the requirements of the
rule. If filter-to-waste is recycled by a system covered by the FBRR, it must be shown on
the plant schematic and noted in the recordkeeping information.
Q: If a system pre-oxidizes in a raw water pipeline upstream of the plant would it be required
to return the recycle flow to that point rather than the point just before the primacy
coagulation?
A: The final rule states that the recycle flow must be returned "through the processes of a
system's existing conventional or direct filtration system as defined in 40 CFR 141.2." >*^
This does not include pre-treatment, therefore, the recycle flow does not have to be
NtiilB**^1
returned to that point, unless requested by the state.
June 2004 24 Implementation Guidance for the FBRR
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2.4.2 Data Reporting and Recordkeeping
Q: Notification to the state must be done in writing by December 8, 2003 of plants that recycle
and meet the source water and treatment technology criteria of the FBRR. One of the data
requests is for "highest observed plant flow in the previous year in gpm." Is this only on a
daily basis (max day for 24 hours midnight to midnight) or is another time period to be used
(i.e., peak hourly flow, as required by the CT calculations for the SWTR)?
A: Information on the highest observed plant flow is used to assess whether at any time the
flow rate may exceed the operating capacity of the plant or contribute to a hydraulic
surge. This value should therefore represent the highest instantaneous flows encountered
during the previous year, as measured by meters or other means, considering both raw
water influent flow rate and any recycle returns flows contributing to the plant influent
flow. It should not be an average of daily values or a maximum day production
extrapolated down to gpm.
Q: Our regulatory agency has always stressed the point that recycle water volumes should
never exceed 10 percent of the total plant raw water flow on a gpm basis while recycling is
occurring. It appears the FBRR does not impose a mandatory maximum recycle rate, but
allows states to set that requirement if the data shows that overall water treatment is
compromised during the recycle event. Is this correct?
A: Recognizing that the design, operation, and raw water quality of each water treatment
facility determines the quality of the effluent produced, a one-size-fits-all requirement
was not specified in the final rule. The FBRR therefore does not establish a mandatory
-. maximum recycle rate and relies on the state primacy agency to make any such
determination, whether on a state-wide or system-specific basis.
Implementation Guidance for the FBRR 25 June 2004
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June 2004 26 Implementation Guidance for the FBRR
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Section
State Implementation
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3.1 Overview of Implementation
Target Implementation Timeframe: January 2002 - January 2003.
As a result of the FBRR, several implementation activities and follow-up actions will be necessary. The
main actions expected to face all agencies should be:
Identifying and communicating requirements to affected water systems.
* Providing written notification to affected systems. Providing other forms of
communication.
Encouraging systems to submit notification and system information to state.
Evaluating system schematic and recycle flow information for impact on plant
performance or potential for a hydraulic surge.
» Requiring systems to submit alternate location justification, if necessary.
Evaluating alternate location requests.
Evaluating system-maintained data during sanitary surveys or other site visit and
determine if changes to recycle practices are needed.
Tracking regulated system compliance progress and implement enforcement action as
needed.
The technical guidance manual prepared for the FBRR will be useful to state agencies and water systems
and is noted in section 2. This document was written with water system operators and managers as the
intended audience, but contains information of use in explaining, interpreting and formulating
implementation programs for the FBRR.
While all regulated entities must comply with the Recycle Notification and Reporting and Recordkeeping
requirements, subgroups subject to additional provisions include:
Systems that do not return recycle flows through all processes of the conventional or
direct filtration treatment facility and are requesting an alternate return location.
Systems that do not return recycle flows through all processes of the conventional or
direct filtration treatment facility and are not requesting an alternate return location, but
which may need additional time to make capital improvements.
This section of the Implementation Guidance provides information useful to states and other primacy
agencies in devising and performing implementation activities.
Implementation Guidance for the FBRR 29 June 2004
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3.2 Identifying and Communicating Requirements to Affected Water Systems
State primacy agencies are the fundamental vehicle through which regulated systems learn of and
understand new public water system requirements. Although information is available to systems from a
variety of other professional and technical resources (and states often utilize these sources), state agencies
provide bottom-line compliance details of actual monitoring, reporting and recordkeeping requirements.
Communicating these requirements in an easily understood form is key to the successful implementation
of each regulation.
While some regulations apply to all public water systems, others, like the Filter Backwash Recycling Rule
(FBRR), apply to a relatively small portion of systems. Identifying affected systems will be one of the
first implementation activities required for the FBRR. Identification of affected systems as soon as
practical reduces state agency workload burden for subsequent implementation steps. It is also essential
for tracking FBRR compliance and directing technical assistance and other communications to the
appropriate systems.
Targeting communications to ensure affected systems are identified and notified of their responsibilities is
the subject of this section. Suggested options for accomplishing system identification and notification,
and initiating the implementation process are described below.
3.2.1 Written Notification for Affected Systems
3.2.1.1 Benefits of Written Notification
States should provide public water systems written notice of a final rule. It serves two purposes: 1) the
receiving system obtains a formal notice of upcoming regulatory requirements and a timeline for
compliance (in addition to EPA's publication of the rule in the Federal Register), and 2) if the primacy
agency chooses to keep a record of sending this notice, it provides a hard-copy document the primacy
agency may file and use in subsequent compliance tracking efforts.
For the FBRR, identifying affected systems may be a difficult first-step because regulated entities are a
subgroup not likely identified in current data systems. State databases may adequately identify Subpart
H1 systems due to the regulatory requirements of the SWTR and IESWTR. However, Subpart H systems
that use only conventional or direct filtration and that recycle any of the three regulated waste streams are
a specific subgroup not typically tracked.
To assist compiling a database of affected systems, written notification of the rule requirements may be
designed to serve as a first-step in identifying conventional or direct filtration systems that recycle any of
the regulated waste streams. Once identified, systems added to a compliance tracking database could be
more easily targeted for compliance with the notification, alternate location requests (if applicable),
reporting, and recordkeeping requirements.
3.2.1.2 Identifying the Mailing List
Based on state preferences, written notification of the final FBRR may be provided to all public water
systems, to known Subpart H systems, to a subset of Subpart H systems known to filter using
'Subpart H systems are systems using surface water or ground water under the direct influence of surface
water. The term "Subpart H" is derived from the section of 40 CFR addressing filtration and disinfection of public
water systems.
June 2004 30 Implementation Guidance for the FBRR
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conventional or direct filtration technologies, or to only those systems affected by the rule. The approach
adopted could be determined by consideration of several state-specific items, such as:
The availability of treatment information in the database to identify systems using
conventional or direct filtration treatment of either surface water or ground water under
the direct influence of surface water;
The availability of data or other resources (such as field staff with knowledge of each
system) to identify systems that recycle in general, or specifically recycle any of the
regulated waste streams;
The state's confidence in the accuracy of the database to ensure no affected systems are
overlooked; and
Resource limitations which may restrict a large broadcast mailing.
For many states, mailing an announcement of the FBRR to all systems which filter surface water or
ground water under the direct influence of surface water may be the preferred option. Field personnel
familiar with system-specific treatment configurations may be able to pare-down the list by eliminating
those using filtration technologies other than conventional or direct filtration - to which the FBRR does
not apply.
3.2.1.3 Mailing Enclosures: FBRR Quick Reference Guide/Fact Sheet/Rule Summary for Systems
Appendix C of this guidance includes a Quick Reference Guide, a Fact Sheet and a multi-page FBRR
Rule Summary for Systems. These publications are intended to be distributed to water systems through
mailings, training sessions or other educational forums and may be a beneficial enclosure with the initial
written notification sent to systems. They provide overviews of the FBRR to enable systems to determine
if they are subject to the rule's provisions. One or more of these publications in an initial mailing would
save state effort for summarizing key requirements.
In addition to summarizing FBRR requirements, these resources describe benefits and general
implications of the rule but are not a substitute for actual regulatory language. Once affected systems are
identified, actual rule provisions may be a more appropriate long-term reference. Final rule language is
provided in Appendix B. Copies of the Quick Reference Guide, Fact Sheet and Rule Summary for
Systems may be copied from Appendix C and are available from the EPA web site at
http://www.epa.gov/safewater/filterbackwash.html.
3.2.1.4 Example Notification Letter and Response Form
Reporting forms or other enclosures provided with rule notification may be used to obtain a system
response as to whether they recycle spent filter backwash water, thickener supernatant, or liquids from
dewatering processes. A sample water system notification letter is provided as Example 3.1. In this
scenario, the letter from the state, FBRR Quick Reference Guide and Fact Sheet, and a response form
could be sent to each Subpart H system identified as filtering surface water or ground water under the
direct influence of surface water. This assumes the state agency's readily available data does not
distinguish the type of treatment provided by the system and does not provide information on system
recycle practices. In states with better data availability, the letter could be revised to target missing
information.
In this suggested approach a response would be requested from the system to identify whether
conventional or direct filtration treatment processes are used and what, if any, regulated recycle practices
are employed. This information would determine if the FBRR applies to the system. Example 3.2 is a
Implementation Guidance for the FBRR 31 June 2004
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sample response form which could be enclosed with the written notification. Use of this or a similar
response form is only suggested and is not a requirement of the rule.
Completed Applicability Forms could be used to build a list of systems for the FBRR compliance tracking
database. State staffer technical assistance providers could be used to obtain completed forms from
systems not submitting one on their own. Sanitary surveys or other system-specific information may
provide the necessary detail to complete forms without requiring a system to respond.
June 2004 32 Implementation Guidance for the FBRR
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Example 3.1: Example System Notification Letter
State Letterhead
John Smith, Supt.
Town Water System, PWSID XXXXXXX
Town, ST 12345
RE: Filter Backwash Recycling Rule
Dear Mr. Smith:
On June 8, 2001, the Filter Backwash Recycling Rule was published in the Federal Register. This
letter is being provided to notify you that your public water system may be affected by this rule. If
your system is subject to these requirements, you will need to take specific action by December 8,
2003.
The Filter Backwash Recycling Rule (abbreviated FBRR) applies to public water systems that meet
all of the following criteria:
1. Use surface water or ground water under the direct influence of surface water,
2. Apply conventional or direct filtration treatment, and
3. Recycle spent filter backwash, thickener supernatant, or liquids from dewatering processes.
A Quick Reference Guide and Fact Sheet for the FBRR is enclosed. These resources provide more
information on this regulation and explains each of the regulated recycle streams in more detail.
You are receiving this letter as our data shows your system filters surface water or ground water
under the direct influence of surface water. We are requesting your assistance in determining if the
FBRR requirements apply to your system. To determine if your system is subject to the FBRR,
please complete the enclosed response form, sign it, and return it to the office at the address noted on
the form by [insert date]. By completing and returning the enclosed form, you will provide the
information needed to conclude if your system can be eliminated from further activity under the
FBRR. If your system is affected by the rule, your response will help us target additional information
and assistance to aid your understanding and compliance with these new requirements.
If your system does use conventional or direct filtration and recycle any of the specified waste
streams, the rule applies and you must submit a recycle notification on or before December 8, 2003
(see the enclosed Quick Reference Guide or 40 CFR 141.76(b) for more details).
Please contact this office at XXX-XXXX if you have any questions about this letter or the FBRR and
its effect on your system. We appreciate your attention to this request.
Sincerely,
Enclosures: FBRR Quick Reference Guide and Fact Sheet
FBRR System Applicability Response Form
Implementation Guidance for the FBRR
33
June 2004
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Example 3.2: Example System Applicability Response Form
System Name:
System Address:
Filter Backwash Recycling Rule Applicability Form*
Please complete this form by [insert date]
and return to: [insert contact person/address]
System PWSID Number
Source Water Type:
Name of Treatment Plant:
(If there is more than one treatment plant associated with this PWSID, please complete a form for
each plant)
Please Identify Below All of the Following That Apply to Your Treatment Plant:
D Uses Conventional Filtration Treatment or Direct Filtration Treatment
Conventional filtration - a series of processes including coagulation, flocculation, sedimentation
and filtration.
Direct Filtration - a series of processes including coagulation and filtration, but excluding
sedimentation.
D Recycles Spent Filter Backwash Water
A stream containing particles that are dislodged from filter media when water is forced back
through a filter (backwashed) to clean the filter.
D Recycles Thickener Supernatant
A stream containing the decant from a sedimentation basin, clarifier or other unit that is used to
treat water, solids, or semi-solids from the primary treatment processes.
D Recycles Liquids From Dewatering Processes.
A stream containing liquids generated from a unit used to concentrate solids for disposal.
Please Provide the Name, Title, Signature of Person Completing this Form, and Date:
Name (please print)
Title
Signature and Date
""Completion of this form does not substitute for written notification required by 40 CFR 141.76(b).
June 2004
34
Implementation Guidance for the FBRR
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3.2.2 Providing Other Forms of Communication
3.2.2.1 Slide Presentation
Adult education training emphasizes that people, respond differently to written, verbal and visual
educational techniques. For some audiences, written presentation of the rule alone will not result in
comprehension of system requirements. Slide presentations of the FBRR may be used by state staff and
other technical assistance or training providers to present the background of the rule, rule requirements
and its benefits.
The EPA Drinking Water Academy has developed a training session on the FBRR (available in
PowerPoint format). Copies of the presentation may be used to train other state personnel and technical
assistance resources, water system personnel and the public. EPA's Drinking Water Academy slides are
available electronically by accessing the EPA Web site at
http:www.epa.gov/safewater/filterbackwash.html.
3.2.2.2 Guidance Documents and Seminars
Materials developed for the Filter Backwash Recycling Rule Technical Guidance Manual are useful for
conveying rule requirements and to discuss subtle implementation aspects of the regulation. These
subtleties may include how to calculate specific plant flows, what a plant schematic may look like, and
how to organize data or use suggested forms to ensure all required information is recorded or submitted.
The guidance document could be used as participant materials in FBRR-specific training events. See
section 2 of this manual for more information on this reference.
3.3 Follow-up Actions
3.3.1 Encouraging Systems to Submit Notification and System Information to State
After the list of regulated entities has been established, all affected systems should be encouraged to
submit the required recycle notification and information, and to collect and maintain recycle flow
information. Encouragement could be provided through mailings, training seminars or through on-site
visits by technical assistance providers or state staff. In each case, it may be helpful to have the recycle
notification and flow information provided in a standardized form. A standardized form provides the state
with a manageable data submission and can serve as a checklist to ensure all required information is
provided.
The Applicability form provided in Example 3.2 is not intended to serve as a notification and information
submission form as it does not include the plant schematic or other required notification data. Chapter 4
of the document, Filter Backwash Recycling Rule Technical Guidance Manual, (EPA 816-R-02-014)
provides a detailed explanation of the required information. Examples 3.3 and 3.4 are worksheets
obtained from that guidance and are provided here as a suggested format to use for system reporting and
recordkeeping. Use of these or similar forms ensures all required information is addressed in the system's
submission or documents. See section 2.1 of this document for additional information on where to obtain
the Filter Backwash Recycling Rule Technical Guidance Manual. Additional information is also available
at http ://www.epa. gov/safewater/filterbackwash.html.
Example 3.3 is an example of a state worksheet that might be sent to systems to aid with the recycle
notification portion of the FBRR. The information contained in the items numbered one through five in
the example is the minimum information required by the rule and must be returned to the state on or
before December 8, 2003 (40 CFR 141.76(b)). States may wish to request other information, some of
Implementation Guidance for the FBRR 35 June 2004
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which is listed on the example form. In addition, states may want to include information for systems that
may request approval of an alternate recycle location (see section 3.3.3, below).
Example 3.3: Example State FBRR Recycle Notification Form
SYSTEM NAME
PWSID
FILTER BACKWASH RECYCLING RULE
RECYCLE NOTIFICATION FORM
DATE
Check with your state or primacy agency to make sure this form is acceptable.
Does your system use conventional or direct filtration?
Does your system recycle spent filter backwash water, thickener supernatant, or liquids from dewatering
processes?
If you answered yes to both questions, please report the following:
1. What is the typical recycle flow (in gpm)?
2. What was the highest observed plant flow for the system in the previous year (in gpm)?
3. What is the design flow for the treatment plant (in gpm)?
4. Has the state determined a maximum operating capacity for the plant? If so, what is it?
5. Please include a plant schematic that shows:
the origin of all recycle flows (spent filter backwash, thickener supernatant, liquids from
dewatering processes, and any other);
the location where all recycle flows re-enter the treatment plant process;
and the hydraulic conveyance used to transport all recycle flows.
Comments:
6. Are you requesting an alternate recycle location?
Yes
No
An alternate recycle location is one that does not incorporate all treatment processes of a conventional filtration
plant (coagulation, flocculation, sedimentation, and filtration) or direct filtration plant (coagulation, flocculation,
and filtration. The state or primacy agency must approve the recycle location by June 8, 2004. Please contact
your state or primacy agency on what additional information may be needed.
Comments:
The system must retain a copy of all information submitted to the state or primacy agency.
June 2004
36
Implementation Guidance for the FBRR
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Example 3.4 is an example of a state worksheet that might be sent to systems to aid with the collection of
recycle information that must be retained on file under the FBRR (40 CFR 141.76(d)). The information
contained in the example is the minimum information required by the rule and must be available for
review and evaluation by the state by June 8, 2004 (40 CFR 141.76(d)). Sample instructions for the
worksheet are on the following page and could be sent to systems with the form. The footnote
demarcations are associated with the instructions. States may wish to request the additional information
listed on the example form or other additional information.
Implementation Guidance for the FBRR 37 June 2004
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Example 3.4: Example State FBRR Recordkeeping Form
FILTER BACKWASH RECYCLING RULE
RECORDKEEPING FORM
SYSTEM NAME
PWSID
Operating Period1
Check with your state or primacy agency to make sure this form is acceptable.
I
I
Type of Recycle Stream
Frequency at which
flow is returned2
Spent Filter Backwash
Thickener Supernatant
Liquids from Dewatering Process
Other
Other
Filter
Information
Average Duration of
Backwash (in minutes)
Maximum Duration of
Backwash (in minutes)
Average Backwash Flow4
(in gpm)
Maximum Backwash
Flow4 (in gpm)
Run Length Time of
Filter5 (include units)
Criteria for Terminating
Filter Run6
Filter Number3
Example
Filters 1-6
20
22
2, 000 gpm
2, 000 gpm
36hrs
Taken off-line
when filter ef-
fluent turbidity
=0.2 NTU
s treatment or equalization provided for rec>
f yes, complete the following table.
rcle flows? Yes No
Example
Type of Treatment Provided Spent filter backwash holding tank
Physical Dimensions of Unit 100>x 10°'x 10' deeP
Typical Hydraulic Loading 2 f
Rate (gpm/ft2)
Maximum Hydraulic Loading - ,,,,
Rate (epm/tf) 2° 8pm/ff
Type of Chemical Used Polymer
Average Dose of Chemical ,
f 0.2 mg/L
(mg/L)
Frequency of Chemical During backwash events-
Addition 4 times per day
June 2004
38
Implementation Guidance for the FBRR
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Example 3.4: Example State FBRR Recordkeeping Form (Continued)
Instructions
Note the operating period for the information provided. Check with your state or primacy
agency for required operating period.
The frequency at which the recycle stream is returned can be described as continuous, once a
day, or as another frequency.
Fill out all information for each of your filters. If some or all filters are operated the same,
note the appropriate filter numbers.
The backwash flow is obtained by multiplying filter surface area (in ft2) by backwash rate
(gpm/ft2). Use the average backwash rate to get the average flow and the maximum
backwash rate to get the maximum flow. If the flow is varied throughout the backwash
process, then the average can be computed on a time-weighted basis as follows:
(Backwash Rate 1 X Duration 1) + (Backwash Rate 2 X Duration 2) + ...
Duration 1 + Duration 2 + ...
The filter run length time is the sum of the time that the filter is producing water between
backwashes.
Describe how run length time is determined. For example, is the run length based on head
loss across the filter, turbidity levels of filter effluent, a predetermined amount of time, or
another method?
Implementation Guidance for the FBRR
39
June 2004
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3.3.2 Evaluating System Schematic and Recycle Flow Information for Impact on Plant
Performance or Potential for a Hydraulic Surge
>^^^*..
Target Implementation Timeframe: June 2003 - May 2004.
The plant schematic and recycle information obtained from the system serves several purposes. The
schematic clarifies the recycle return locations, how the recycle streams are transported, if treatment or
equalization is provided, and if alternate recycle return locations are used. Flow information informs the
state of the typical recycle flow, highest observed plant flow and design flow for the facility. If the state
has assigned an operating capacity for the plant, this is also reported.
While the schematic provides a visual layout of the recycle streams of the treatment facility, the flow
information is intended to indicate if the flow of the recycle process has the potential to cause the plant to
exceed its operating capacity.
Because the initial notification and required information is relatively limited in scope, it provides states
with an initial screen of regulated systems. The required information will indicate the following:
If the facility's recycle return location for any regulated recycle stream incorporates the
processes of the facility's existing conventional and direct filtration system. If the
material in question does not flow to such a location, states will be able to identify
systems that must either change their return location or pursue state approval of an
alternate location.
If the facility has operated at or above its design capacity or maximum permitted
capacity. If so, states may want to obtain additional information on recycle practices ^^
occurring during the period of high plant flow (i.e. for systems at which recycle flow is J~~^
intermittent or controlled, systems should specify if recycling was occurring at any time -«,,*-
when the plant exceeded its design or permitted operating capacity).
If treatment or equalization is in place. Although recycle treatment details are not
required in the notification, the required schematic will likely indicate whether treatment
or equalization of the recycle stream is employed. The use of treatment or equalization
decreases the potential for recycle to adversely impact coagulant chemistry and plant
performance, cause a plant to exceed its operating capacity, or cause hydraulic surges.
In certain instances, recycle practices may compromise plant performance even if recycle is returned to
the required location, the plant is operating below design capacity, and treatment in is in place. One
example may be a system with recycle treatment that is not maintained to remove accumulated sludge, or
that recycles significant volumes during periods of low raw water flow. Recycling to the required location
does not guarantee the recycle stream will not adversely affect effluent water quality. Therefore, states
should evaluate more specific data collected and maintained by systems.
States may find that the information included in written form is insufficient to comfortably determine if
current recycle practices are adequate or if changes are needed. Information obtained from systems
through the notification process may be useful for prioritizing site-specific investigations at certain
facilities where the information indicates a potential problem.
EPA recommends that the state develop a standard approach for evaluating recycle practices as well as
determining whether a system must modify its recycle practices. ,j»im_
June 2004 40 Implementation Guidance for the FBRR
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3.3.3 Evaluating Alternate Location Requests
Target Implementation Timeframe: June 2003 - May 2004.
Although the FBRR requires all affected systems to return the regulated recycle flows to a location so that
the recycle flow is treated by all steps, it recognizes that, in some cases, there may be legitimate reasons
to introduce the recycle stream to other locations within the treatment plant. Systems have the opportunity
(in 40 CFR 141.76(c)) to use an alternate location if state approval is obtained. A state decision to
approve an alternate location should be based on the determination that the recycle stream return location
does not disrupt the chemical treatment and coagulation process or otherwise negatively impact plant
performance.
It is up to the discretion of the state to either grant or deny the use of an alternate recycle location by a
system. To provide for state flexibility, the FBRR did not specify an alternate location request or approval
format. EPA recommends states encourage systems to submit sufficient data and/or other justification
early enough for states to make an informed decision prior to the June 8, 2004 deadline for approval.
States may choose to develop specific requirements for such requests so that a system provides all of the
necessary information. If a system is proposing capital improvements to meet the alternate location, the
alternate location still must be approved by June 8, 2004. The capital improvements must be complete by
the June 8, 2006 deadline regardless of the extent of capital improvements necessary (40 CFR 141.76(c)).
A state may employ any number of methodologies to evaluate an alternate recycle location. States may
want to request qualitative and quantitative information from a system. This information can help the state
understand the background and basics surrounding a system's request and help the state ensure that
granting approval of an alternate recycle location will not negatively impact finished water quality.
Information that the state can consider asking systems to provide include the following:
A written request explaining the reason and/or rationale for using the alternate recycle
location (such as if the plant requires recycle to an alternate location to maintain optimal
finished water quality or if it is an essential component of treatment - such as for lime
softening), including an explanation of why the alternate recycle location would not or
does not cause a negative impact upon the finished water quality.
A plant schematic identifying the alternate recycle location (which may be the schematic
required in 40 CFR 141.76(b)(l) if the alternate location is currently used);
Demonstration of compliance with IESWTR/LT1ESWTR turbidity limits. This may be
achieved through submission of combined filter effluent and/or individual filter effluent
data;
A description of the treatment(s) applied to the recycle stream (if any);
A comparison of plant influent water quality to the recycle stream water quality. Data for
comparison may include, but is not limited to:
> Turbidity;
» Oocysts;
» Oocyst-sized particles;
* Iron and/or manganese;
* Disinfection Byproduct (DBF) levels; and
» Total organic carbon (TOC) and assimilable organic carbon (AOC).
Implementation Guidance for the FBRR 41 June 2004
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Information on sedimentation performance (as evidenced by settled water turbidity);
Submission of design and monitoring data for the alternate recycle location;
Information on the current loading rates of unit processes, and the impact to the loading
rates caused by the alternate location;
Information on flow control during recycle;
An analysis of other impacts that the alternate location may have on finished water
quality.
The state should be provided sufficient information to either grant or deny a system's request. However,
if the information does not lead to a clear decision, additional information or follow-up studies may be
helpful. EPA recommends that in such instances states should require systems to conduct pilot plant work
or conduct studies which specifically characterize the effects of the alternate recycle location on finished
water quality. This site-specific data can then be used to evaluate the impact of the alternate location.
Additionally, states may also consider site visits or inspections as an appropriate component of evaluating
an alternative recycle location, either as a standard practice or only when follow-up is necessary. While
no two systems are the same, EPA recommends that states develop a standard approach and methodology
for granting approvals similar to the approach recommended above by EPA.
3.3.4 Evaluating System-maintained Data During Sanitary Surveys or Other Site Visits and
Determining If Changes to Recycle Practices Are Needed
Target Implementation Timeframe: June 2004 - ongoing.
EPA believes that evaluating a system's recycle practices is an important step in ensuring that microbial
protection and treatment plant performance are not compromised. However, EPA also believes that it is
important to provide states with sufficient flexibility to evaluate a system's recycle practices.
Accordingly, rather than requiring a specific inspection or evaluation, the FBRR has required that systems
collect and retain information on recycle practices for evaluation by the state (40 CFR 141.76(d)).
Systems must collect and retain on file a copy of the recycle notification submitted to the state; a list of
all recycle flows (regulated and unregulated) and the frequency with which they are returned; average and
maximum backwash flow rates and the average and maximum duration of the filter backwash process;
typical filter run length and a summary of how run length is determined; type of treatment provided to the
recycle flow and data on the treatment or equalization units (40 CFR 141.76(d)(l)-(6)). This information
is to be reviewed on site and provides information on the volume and chemical characteristics of the
recycle stream, its contribution to total plant flow, the operations of the facility during recycle, and any
treatment of the waste stream prior to its recycle that may mitigate adverse effects. Staff most
knowledgeable of each of these aspects of a particular facility performance are invaluable in assessing
areas of concern for the FBRR. States should use these evaluations to determine if changes to current
practices are necessary, even if the recycle return location is not an issue.
EPA encourages states to use Sanitary Surveys, Comprehensive Performance Evaluations, or other
periodic inspections to evaluate recycle practices and the recycle information retained by the system.
States must also have the authority to require changes to recycle practices if deemed necessary (40 CFR
142.16(i)(l)(i)). Further information about this portion of the rule may be found in section 4.4 of this
manual, which provides guidance on the special primacy requirement of the rule.
June 2004 42 Implementation Guidance for the FBRR
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EPA recommends that the state develop a standard approach for evaluating recycle practices as well as
determining whether a system must modify its recycle practices.
3.3.5 References for More Detailed Guidance
As indicated, EPA recommends that states develop a standard approach to evaluating and approving
alternate recycle locations submitted by systems and for evaluating recycle practices at systems. In
developing these approaches, EPA recommends that states consider the following references:
Cornwell, D., and Lee, R. 1993. Recycle Stream Effects on Water Treatment.
AWWARF. Denver.
Cornwell, D., and Lee, R. 1994. Waste Stream Recycling: Its Effect on Water Quality.
Journal American Water Works Association (86:11:50-63)
Cornwell, D., 1997. Treatment of Recycle and Backwash Streams. Water Residuals and
Biosolids Management: WED/AWWA, 11pp.
Cornwell, D., MacPhee, M., McTigue, N., Arora, H., DiGiovanni, G., LeChevallier, M.,
and J. Taylor. 2001. Treatment Options For Giardia, Cryptosporidium, and Other
Contaminants in Recycled Backwash Water. AWWARF. Denver.
Environmental Engineering & Technology, Inc. 1999. Background Papers on Potential
Recycle Streams in Drinking Water Treatment Plants. AWWA, 73 pp.
Great Lakes-Upper Mississippi River Board of State and Provincial Public Health and
Environmental Managers. Recommended Standards for Water Works. 1997. Albany:
Health Education Services. (This is commonly referred to as "Ten States' Standards").
USEPA. Filter Backwash Recycling Rule Technical Guidance Manual, EPA 816-R-02-
014, December 2002
3.4 Tracking Regulated System Compliance Progress and Implementing
Enforcement Action as Needed
States may wish to use the federally reportable violations for the FBRR as the basis for development of
the key elements of a tracking system. See section 5.1.1 in section 5 for more information on federally
reportable violations.
Implementation Guidance for the FBRR 43 June 2004
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June 2004 44 Implementation Guidance for the FBRR
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Section IV
State Primacy Revision
Application
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June 2004 46 Implementation Guidance for the FBRR
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40 CFR 142 sets out requirements for states to obtain and/or retain primary enforcement responsibility
(primacy) for the Public Water System Supervision (PWSS) program as authorized by §1413 of the
SDWA. The 1996 SDWA Amendments update the process for states to obtain
and/or retain primacy. On April 28, 1998, EPA promulgated the Primacy Rule to reflect these statutory
changes (63 FR 23361).
4.1 State Primacy Program Revision
Pursuant to 40 CFR 141.12, Revision of State Programs, complete and final requests for approval of
program revisions to adopt new or revised EPA regulations must be submitted to the Administrator no
later than 2 years after promulgation of the new or revised federal regulations (see Table 4.1). Until those
applications are approved, EPA Regions have responsibility for directly implementing the FBRR. The
state and EPA can agree to implement the rule together during this period. However, if a state is eligible
for interim primacy, once it submits a complete and final revision package, it will have full
implementation and enforcement authority. A state may be granted an extension of time, up to two years,
to submit its application package. During any extension period, an extension agreement outlining the
state's and EPA's responsibilities is required.
Table 4.1: State Rule Implementation and Revision Timetable for FBRR
EPA/State Action
Rule published by EPA
State and Region establish a process and agree upon a schedule for application
review and approval (optional)
State, at its option, submits draft program revision package including:
Preliminary Approval Request
Draft State Regulations and/or Statutes
Regulation Crosswalk
Regional (and Headquarters if necessary) review of draft
State submits final program revision package including:
Adopted State Regulations
Regulation Crosswalk
40 CFR 142.10 Primacy Update Checklist
40 CFR 142.14 and 142.15 Reporting and Recordkeeping
40 CFR 142.16 Special Primacy Requirements
Attorney General's Enforceability Certification
EPA final review and determination:
Regional review (program and ORC)
Headquarters concurrence and waivers (OGWDW, OECA)
Public Notice
Opportunity for hearing
EPA's Determination
Rule Compliance Date
Time Frame
June 8, 2001
January 2002
(suggested)
March 2002
(suggested)
Completed within 90 days
of state submittal of Draft
By June 8, 2003*
Completed within 90 days
of state submittal of final
45 days Region
45 days Headquarters
December 8, 2003
* EPA suggests submitting an application by March 2003, to ensure timely approval. EPA regulations allow until
June 8, 2003 for this submittal. An extension of up to 2 additional years may be requested by the state.
Implementation Guidance for the FBRR
47
June 2004
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4.1.1 The Revision Process
The approval of state program revisions is recommended to be a two-step process comprised of
submission of a draft request (optional) and then submission of a complete and final request for program
approval. Figure 4.1 diagrams these processes and their timing.
Draft RequestAt the state's option, it may submit a draft request for EPA review and tentative
determination. The request should contain drafts of all required primacy application materials. A draft
request should be submitted by 9 months after rule promulgation. EPA will make a tentative
determination on whether the state program meets the applicable requirements. The tentative
determination should be made within 90 days.
Complete and Final RequestThis submission must be in accordance with 40 CFR 142.12(c)(l) and
(2) and include the Attorney General's Statement. If the state has submitted a draft request for EPA
review, the state should also address any comments and/or program deficiencies identified in the tentative
determination in their final submission. Regions should make states aware that submission of only a final
request may make it more difficult for the states to address any necessary changes within the allowable
time for state rule adoption.
EPA requests that states submit their complete and final revision package within 21 months of rule
promulgation. This will ensure that states will have interim primacy as soon as possible and will prevent
states from becoming backlogged with revision applications to adopt future federal requirements.
The state and Region should agree to a plan and timetable for submitting the state primacy revision
application as soon as possible after rule promulgationideally within 5 months of promulgation.
4.1.2 The Final Review Process
Once a state application is complete and final, EPA has a regulatory (and statutory) deadline of 90 days to
review and approve or disapprove of the revised program. The Offices of Ground Water and Drinking
Water (OGWDW) and Enforcement and Compliance Assurance (OECA) will conduct detailed reviews of
the first state package from each Region. The Region should submit their comments with the state's
package for Headquarters' (HQ) review. When the Region has identified all significant issues, OGWDW
and OECA will waive concurrence on all other state programs in that Region, although HQ will retain the
option to review additional state programs as appropriate. The Office of General Counsel (OGC) has
delegated its review and approval to the Office of Regional Counsel (ORC).
In order to meet the 90 day deadline for packages undergoing Headquarters' review, the review period
will be equally split giving both the Regions and Headquarters 45 days to conduct their respective
reviews. For the first package in each Region, Regions should forward copies of the primacy revision
applications to the Drinking Water Protection Division Director in OGWDW, who will take the lead on
the review process. OGWDW will provide OECA with a copy for their concurrent review. OECA will
concur on OGWDW approvals.
June 2004 48 Implementation Guidance for the FBRR
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Figure 4.1: Recommended Review Process for State Request for Approval of Program
Revisions
EPA Promulgates FBRR
Timeline
Start
June 2001
Establish Process and
Tentative Schedule for State
Rule Approval
August 2001
2 Months
State Submits Draft
Primacy Revision Application
to EPA (optional)
State
Request for
Extension
§142.12(b)
December 2001
-
6 Months
EPA Review and
Tentative Determination
(within 90 days)
State Submits
Complete and Final
Primacy Revision Application
to EPA
§142.12(d)(2)
March 2003
21 Months
EPA Review and
Determination
(within 90 days)
§142.12(d)(3)
June 2003
24 Months
Implementation Guidance for the FBRR
49
June 2004
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4.2 State Primacy Program Revision Extensions
4.2.1 The Extension Process
Under 40 CFR 142.12(b), states may request that the 2-year deadline for submitting the complete and
final packages for EPA approval of program revisions be extended for up to 2 additional years in certain
circumstances. The extension request must be submitted to EPA within 2 years of the date that EPA
published the regulation. The Regional Administrator has been delegated authority to approve extension
applications. Headquarters concurrence on extensions is not required.
Therefore, the state must either adopt regulations pertaining to the FBRR and submit a complete and final
primacy revision application or request an extension of up to 2 years by June 8, 2003.
4.2.2 Criteria that an Extension Request Must Meet
For an extension to be granted under 40 CFR 142.12(b), the state must demonstrate that it is requesting
the extension because it cannot meet the original deadline for reasons beyond its control, despite a good
faith effort to do so. A critical part of the extension application is the state's proposed schedule for
submission of its complete and final request for approval of a revised primacy program. The application
must also demonstrate at least one of the following:
(i) That the state currently lacks the legislative or regulatory authority to enforce the new or
revised requirements; or,
(ii) That the state currently lacks the program capability adequate to implement the new or
revised requirements; or,
(iii) That the state is requesting the extension to group two or more program revisions in a
single legislative or regulatory action.
In addition, the state must be implementing the EPA requirements to be adopted in its program revision
within the scope of its current authority and capabilities.
4.2.3 Conditions of the Extension
Until the state Primacy Revision Application has been submitted, the state and appropriate EPA Regional
office will share responsibility for implementing the primary program elements as indicated in the
extension agreement. The state and the EPA Regional office should discuss these elements, and address
terms of responsibility in the agreement.
These conditions will be determined during the extension approval process and are decided on a case-by-
case basis. The conditions must be included in an extension agreement between the state and the EPA
Regional office.
Conditions of an extension agreement may include:
Informing PWSs of the new EPA (and upcoming state) requirements and that the Region
will be overseeing implementation of the requirements until they approve the state
program revisions or until the state submits a complete and final revision package if the
state qualifies for interim primacy;
June 2004 50 Implementation Guidance for the FBRR
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Collecting, storing and managing laboratory results, public notices, and other compliance
and operation data required by the EPA regulations;
X^ Assisting the Region in the development of the technical aspects of enforcement actions
and conducting informal follow-up on violations (telephone calls, letters, etc.);
Providing technical assistance to public water systems;
For states whose request for an extension is based on a current lack of program capability
adequate to implement the new requirements, taking steps agreed to by the Region and
the state during the extension period to remedy the deficiency;
Providing the Region with all the information required under 40 CFR 142.15 on state
reporting.
Example 4.1 provides a checklist the Region can use to review state extensions or to create an extension
agreement.
The state and EPA should be viewed as partners in this effort, working toward two very specific public
health-related goals. The first goal is to achieve a high level of compliance with the regulation. The
second goal is to facilitate successful implementation of the regulation during the transition period before
the state has primacy, including interim primacy, for the rule. In order to accomplish these goals,
education, training, and technical assistance will need to be provided to water suppliers on their
responsibilities under the FBRR.
Implementation Guidance for the FBRR 51 June 2004
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Example 4.1: Example Extension Request Checklist
{Date!
{Regional Administrator!
Regional Administrator
U.S. EPA Region (Region)
(Street Address!
(City. State. Zip!
RE: Request/approval for an Extension Agreement
Dear (Regional Administrator}:
The State of {state! is requesting an extension to the date that final primacy revisions are due to
EPA for the Filter Backwash Recycling Rule (FBRR) until (insert date - no later than June 20051. as
allowed by 40 CFR 142.12 and would appreciate your approval. Staff of the (State Department/Agency?
have conferred with your staff and have agreed to the requirements listed below for this extension. This
extension is being requested because the State of (state!:
G Is planning to group two or more program revisions into a single legislative or regulatory action.
Q Currently lacks the legislative or regulatory authority to enforce the new or revised requirements.
Q Currently lacks adequate program capability to implement the new or revised requirements.
(State Department/Agency! will be implementing the FBRR within the scope of its current
authority and capability as outlined in the six areas identified in 142.12(b)(3)(i-vi): "*»t*i*(
i) Informing PWSs of the new EPA (and upcoming state) requirements and that EPA will be
overseeing implementation of the requirements until EPA approves the state revision.
State EPA
Provide copies of regulation and guidance to other state agencies, PWSs, technical
assistance providers, associations, or other interested parties.
Educate and coordinate with state staff, public water supplies (PWSs), the public, and
other water associations about the requirements of this regulation
Notify affected systems of their requirements under the FBRR.
Other
ii) Collecting, storing and managing laboratory results, public notices, and other compliance and
operation data required by the EPA regulations.
State EPA
Devise a tracking system for PWS reporting pursuant to the FBRR.
Keep states informed of SDWIS reporting requirements during development and
implementation.
Report FBRR violation and enforcement information to SDWIS as required.
Other
June 2004 52 Implementation Guidance for the FBRR
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iii) Assisting EPA in the development of the technical aspects of the enforcement actions and
conducting informal follow-up and violations (telephones calls, letters, etc.).
State EPA
Issue notices of violation (NOVs) for treatment technique and monitoring/reporting
violations of the FBRR
Provide immediate technical assistance to PWSs with treatment technique and/or
monitoring/reporting violations to try to bring them into compliance.
Refer all violations to EPA for enforcement if they have not been resolved within 60 days
of the period that triggered the violation. Provide information as requested to conduct and
complete any enforcement action referred to EPA.
Other
iv) Providing technical assistance to public water systems.
State EPA
Conduct training within the state for PWSs on FBRR rule requirements.
Provide technical assistance through written and/or verbal correspondence to PWSs.
Provide on-site technical assistance to PWSs as requested and needed to ensure
compliance with this regulation.
Evaluate requests for alternate recycle return locations in an expedient manner.
Coordinate with other technical assistance providers and organization to provide accurate
information and aid in a timely manner.
Other
v) Providing EPA with all information prescribed by the State Reporting Requirements in 142.15.
State EPA
Report any violations incurred by PWSs for these regulations each quarter.
Report any enforcement actions taken against PWSs for these regulations each quarter.
Report any variances or exemptions granted for PWSs for these regulations each quarter.
Other
vi) For states whose request for an extension is based on a current lack of program capability to
implement the new or revised requirements agrees to take the following steps to remedy the
capability deficiency.
State EPA
Acquire additional resources to implement these regulations (List of specific steps being
taken attached as (List All.
Provide quarterly updates describing the status of acquiring additional resources.
Other
Implementation Guidance for the FBRR 53 June 2004
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I affirm that the {State Department/Agency} will implement provisions of the Filter Backwash
Recycling Rule (FBRR) as outlined above.
(Agency Director or Secretary} Date
(Name of State Agency}
I have consulted with my staff and approve your extension for the aforementioned regulation. I affirm that
EPA Region {Region} will implement provisions of the Filter Backwash Recycling Rule (FBRR) as
outlined above.
Regional Administrator Date
EPA Region (Region}
This Extension Agreement will take effect upon the date of the last signature.
June 2004 54 Implementation Guidance for the FBRR
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4.3 State Primacy Package
The Primacy Revision Application package should consist of the following sections:
G State Primacy Revision Checklist
Q Text of the State' s Regulation
Q Primacy Revision Crosswalk
Q State Reporting and Recordkeeping Checklist
Q Special Primacy Requirement
Q Attorney General's Statement of Enforceability
4.3.1 The State Primacy Revision Checklist (40 CFR 142.12(c)(l))
This section is a checklist of general primacy requirements, taken from 40 CFR 142.10, as shown in Table
4.2. In completing this checklist, the state must identify the program elements that it has revised in
response to new federal requirements. If an element has been revised the state should indicate a "Yes"
answer in the second column next to the list of program elements and should submit appropriate
documentation. For elements that need not be revised, the state need only list the citation and date of
adoption in the second column. During the application review process, EPA will insert findings and
comments in the third column.
Rule BundlingStates may bundle the primacy revision packages for multiple rules. If states choose to
bundle requirements, the Attorney General Statement should reference all of the rules included.
4.3.2 Text of the State's Regulation
Each primacy application package should include the text of the state regulation.
4.3.3 Primacy Revision Crosswalk
The Primacy Revision Crosswalk, found in Appendix A, should be completed by states in order to
identify state statutory or regulatory provisions that correspond to each federal requirement. If the state's
provisions differ from federal requirements, the state should explain how its requirements are "no less
stringent."
Implementation Guidance for the FBRR 55 June 2004
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Table 4.2: State Primacy Revision Checklist
Required Program Elements
§142.10
§142.10(a)
§142.10(b)(l)
§142.10(b)(2)
§142.10(b)(3)
§142.10(b)(4)
§142.10(b)(5)
§142.10(b)(6)(i)
§142.10(b)(6)(ii)
§142.10(b)(6)(iii)
§142.10(b)(6)(iv)
§142.10(b)(6)(v)
§142.10(b)(6)(vi)
§142.10(b)(6)(vii)
§142.10(c)
§142.10(d)
§142.10(e)
§142.10(f)
Primary Enforcement
> Definition of Public Water System*
Regulations No Less Stringent
Maintain Inventory
Sanitary Survey Program
Laboratory Certification Program
Laboratory Capability
Plan Review Program
Authority to apply regulations
Authority to sue in courts of competent
jurisdiction
Right of Entry
Authority to require records
Authority to require public notification
Authority to assess civil and criminal
penalties
Authority to require Consumer
Confidence Reports (CCRs)
Maintenance of Records
Variance/Exemption Conditions (if
applicable)**
Emergency Plans
Administrative Penalty Authority*
Revision to State
Program
EPA
Findings/Comments
-««*»**
* New requirement from the 1996 Amendments. Regulations published in the April 28, 1998 Federal Register.
** New regulations published in the August 14, 1998 Federal Register.
4.3.4 State Reporting and Recordkeeping Checklist (40 CFR 142.14 and 142.15)
The FBRR does not add any new state reporting requirements (40 CFR 142.15), but does include a state
recordkeeping requirement.
The state should use the Primacy Revision Crosswalk, found in Appendix A, to demonstrate that state
recordkeeping requirements are consistent with federal requirements. If state requirements are not the
same as federal requirements, the state must explain how its requirements are "no less stringent" as per 40
CFR 142.10.
June 2004
56
Implementation Guidance for the FBRR
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The Primacy Revision Crosswalk includes state recordkeeping requirements indicating that the state must:
Keep records of decisions made to approve alternate recycle locations, require
modifications to recycle return locations, or require modifications to recycle practices (40
CFR
4.3.5 Special Primacy Requirement (40 CFR 142.16)
Section 4.4 (below) provides guidance on how states may choose to meet the Special Primacy
Requirement.
4.3.6 Attorney General's Statement of Enforceability (40 CFR 142.12(c)(2))
The complete and final primacy revision application must include an Attorney General Statement
certifying that the state regulations were duly adopted and are enforceable (unless EPA has waived this
requirement by letter to the state). The Attorney General Statement should also certify that the state does
not have any audit privilege or immunity laws, or if it has such laws, that these laws do not prevent the
state from meeting the requirements of the SDWA. If a state has submitted this certification with a
previous revision package, then the state should indicate the date of submittal and the Attorney General
need only certify that the status of the audit laws has not changed since the prior submittal. An example of
an Attorney General Statement is presented in Example 4.2.
4.3.6.1 Guidance For States on Audit Privilege and/or Immunity Laws
In order for EPA to properly evaluate the state's request for approval, the State Attorney General or
independent legal counsel should certify that the state's environmental audit immunity and/or privilege
and immunity law does not affect its ability to meet enforcement and information gathering requirements
under the SDWA. This certification should be reasonably consistent with the wording of the state audit
laws and should demonstrate how state program approval criteria are satisfied.
EPA will apply the criteria outlined in its "Statement of Principles" memo issued on 2/14/97 (see
http://es.epa.gov/oeca/oppa/pdf/auditimun.pdf) in determining whether states with audit laws have
retained adequate enforcement authority for any authorized federal programs. The principles articulated in
the guidance are based on the requirements of federal law, specifically the enforcement and compliance
and state program approval provisions of environmental statutes and their corresponding regulations. The
Principles provide that if provisions of state law are ambiguous, it will be important to obtain opinions
from the State Attorney General or independent legal counsel interpreting the law as meeting specific
federal requirements. If the law cannot be so interpreted, changes to state laws may be necessary to obtain
federal program approval. Before submitting a package for approval, states with audit privilege and/or
immunity laws should initiate communications with appropriate EPA Regional Offices to identify and
discuss the issues raised by the state's audit privilege and/or immunity law.
Implementation Guidance for the FBRR 57 June 2004
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Example 4.2: Example of Attorney General Statement
Model Language
I hereby certify, pursuant to my authority as (1) and in accordance with the Safe Drinking Water Act as amended,
and (2). that in my opinion the laws of the [state / commonwealth of (3)] [or tribal ordinances of £4}] to carry out
the program set forth in the "Program Description" submitted by the (5) have been duly adopted and are
enforceable. The specific authorities provided are contained in statutes or regulations that are lawfully adopted at
the time this Statement is approved and signed, and will be fully effective by the time the program is approved.
Model Language
I. For States with No Audit Privilege and/or Immunity Laws
Furthermore, I certify that [state / commonwealth of £3J] has not enacted any environmental audit privilege and/or
immunity laws.
II. For States with Audit Laws that do Not Apply to the State Agency Administering the Safe
Drinking Water Act
Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the [state / commonwealth
of (3)1 does not affect (3) ability to meet enforcement and information gathering requirements under the Safe
Drinking Water Act because the [audit privilege and/or immunity law] does not apply to the program set forth in
the "Program Description." The Safe Drinking Water Act program set forth in the "Program Description" is
administered by (5); the [audit privilege and/or immunity law] does not affect programs implemented by (5), thus
the program set forth in the "Program Description" is unaffected by the provisions of [state / commonwealth of
(3)1 [audit privilege and/or immunity law].
III. For States with Audit Privilege and/or Immunity Laws that Worked with EPA to Satisfy
Requirements for Federally Authorized, Delegated or Approved Environmental Programs
Furthermore, I certify that the environmental [audit privilege and/or immunity law] of the [state / commonwealth
of £3}] does not affect (3) ability to meet enforcement and information gathering requirements under the Safe
Drinking Water Act because [state / commonwealth of (3)] has enacted statutory revisions and/or issued a
clarifying Attorney General's Statement to satisfy requirements for federally authorized, delegated or approved
environmental programs.
Seal of Office
Signature
Name and Title
Date
(1) State Attorney General or attorney for the primacy agency if it has independent legal counsel
(2) 40 CFR 142.1 l(a)(6)(i) for initial primacy applications or 142.12(c)(l)(iii) for primacy program revision
applications..
(3) Name of state or commonwealth
(4) Name of tribe
(5) Name of primacy agency
June 2004 58 Implementation Guidance for the FBRR
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4.4 Guidance for the Special Primacy Requirement of the FBRR
This section contains information and guidance states can use in addressing the single special primacy
requirement of the rule. The rule's only special primacy requirement is as follows:
40 CFR 142.16 Special primacy requirements. (i)(l) State practices or procedures.
(i) Requirements for states to adopt 40 CFR part 141, §141.76 Recycle Provisions. In addition to the
general primacy requirements enumerated elsewhere in this part, including the requirement that the state
provisions are no less stringent than the federal requirements, an application for approval of a state
program revision that adopts 40 CFR part 141, §141.76 Recycle Provisions must contain the information
specified in this paragraph:
(1) State practices or procedures, (i) section 141.76(d) of this chapter - states must have the
proper rules and authority to use Sanitary Surveys, comprehensive performance evaluations
(CPEs), other inspections, or other activities to evaluate recycle data maintained by systems
under §141.76(d) and require modifications to recycle practices.
The treatment technique requirement of the FBRR is met if (by June 8, 2004) the system recycles all
regulated waste streams through the processes of its existing conventional or direct filtration system as
defined in 40 CFR 141.2, or at an alternate location approved by the state. An additional 2-year period is
allowed if capital improvements are required to modify the recycle location to meet this requirement.
However, even if the treatment technique requirement is met, recycle practices may compromise the
system's ability to provide 2-log (99 percent) Cryptosporidium removal by exceeding operating capacity,
creating hydraulic surges, or creating a coagulant chemistry imbalance.
As indicated previously in this manual, EPA believes that evaluating a system's recycle practices is an
important step in ensuring that microbial protection and treatment plant performance are not
compromised. However, EPA also believes that it is important to provide states with sufficient flexibility
to evaluate a system's recycle practices. Accordingly, rather than requiring a specific inspection or
evaluation, EPA has required that systems collect and maintain information on recycle practices for
evaluation by the state through whatever mechanism the state chooses. EPA encourages states to use
Sanitary Surveys, Comprehensive Performance Evaluations, or other periodic inspections to evaluate
recycle practices.
As a result of a filter backwash recycle event or other short-term return of recycle, a large volume of
water may pass through the treatment plant. This additional stream can potentially overload treatment
capability by challenging the ability of each process within a system, including the filters. Some utilities
provide complete treatment of their recycle flow prior to returning the flow to the water treatment plant.
Although such treatment of the recycle stream reduces the number of microbial constituents a recycle
flow may reintroduce into the water treatment process, uncontrolled flow return may still upset treatment
performance.
States should use the information submitted by the system and found on file to evaluate whether recycle
practices may cause a plant to exceed its operating capacity or otherwise compromise its finished water
quality. In the event of such a determination, states must have the ability to require that a system make
appropriate modifications to its recycle practice.
This special primacy requirement can be satisfied by a description of statutes, rules, or other authority the
state can use to evaluate recycle data maintained by systems through inspections and activities such as
sanitary surveys or CPEs and require modifications to recycle practices.
Implementation Guidance for the FBRR 59 June 2004
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June 2004 60 Implementation Guidance for the FBRR
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Section V
C SDWIS Reporting and
SNC Definitions
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2004 62 Implementation Guidance for the FBRR
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5.1 Safe Drinking Water Information System (SDWIS) Reporting Under the
FBRR
SDWIS/FED (Safe Drinking Water Information System/federal version) is an EPA national database
storing routine information about the nation's drinking water. Designed to replace the system known as
FRDS (Federal Reporting Data System), SDWIS/FED stores the information EPA needs to monitor
approximately 175,000 public water systems.
States supervise the drinking water systems within their jurisdictions to ensure that each public water
system meets state and EPA standards for safe drinking water. The SDWA requires states to report
drinking water information periodically to EPA. This information is maintained in SDWIS/FED.
States report the following information to EPA:
Basic information on each water system, including: name, ID number, number of people
served, type of system (year-round or seasonal), and source of water (ground water or
surface water).
Violation information for each water system: whether it has followed established
monitoring and reporting schedules, complied with mandated treatment techniques, or
violated any MCLs.
Enforcement information: what actions states have taken to ensure that drinking water
systems return to compliance if they are in violation of a drinking water regulation.
Sampling results for unregulated contaminants and for regulated contaminants when the
monitoring results exceed the MCL.
EPA uses this information to determine if and when it needs to take action against non-compliant
systems, oversee state drinking water programs, track contaminant levels, respond to public inquiries, and
prepare national reports. EPA also uses this information to evaluate the effectiveness of its programs and
regulations, and to determine whether new regulations are needed to further protect public health.
5.1.1 Federally Reported Violations
Under SDWIS/FED reporting, states only report when violations occur. In the interest of reducing the
reporting burden on states, EPA has limited the number and type of violations to be reported to
SDWIS/FED. However, PWSs must still keep records and report all required information to the state.
Any violation of the rule, whether included in the accompanying table or not, is a basis for a state or
federal enforcement action. Table 5.1 summarizes the federal reporting for the FBRR.
Implementation Guidance for the FBRR 63 June 2004
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Table 5.1: Federal Reporting for FBRR
(States Report Only When Violations Occur)
Failure to recycle regulated streams at the required location or failure to
complete capital improvements by required date.
Failure to submit notification to the state in writing.
Failure to collect and retain required recycle flow information.
Failure to notify public after a violation.
Table 5.2 contains the federally reportable violations for the FBRR in more detail. These violations are
listed by contaminant or requirement and violation type. The table includes the regulatory citation, system
type affected, a detailed description of the violation, and the initial compliance date. This table will allow
a user to better understand violations listed in SDWIS. For more information on how to report FBRR
violations to SDWIS, please refer to Appendix D the Primacy Agency Data Entry Instructions for the
Filter Backwash Recycling Rule.
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r
c
Table 5.2: List of Filter Backwash Rule Violations1
SDWIS
Reporting
Code
39/0500
40/0500
Regulated
Contaminant/
Requirement
Recycle
Notification
Recycle
Return
Location
Citation
§141.76(b)(l)&(2)
§141.76(c)
Violation
Type
M/R Major
TT
System Size and
Type Affected
All Subpart H
systems that employ
conventional
filtration or direct
filtration treatment
and recycle spent
filter backwash,
thickener
supernatant, or
liquids from
dewatering
processes.
All Subpart H
systems as above that
recycle spent filter
backwash, thickener
supernatant, or
liquids from
dewatering
processes.
Violation
Failure of system to notify the state that
system meets criteria at left. Notice to state
must include:
A plant schematic showing the
origin of all recycle flows, the
hydraulic conveyance used to
transport the recycle flows, and the
location at which recycle flows are
returned to the plant processes.
> The plant's typical recycle flow in
gallons per minute (gpm), the
highest observed plant flow
experienced in the previous year
(gpm), the design flow for the
treatment plant (gpm), and state-
approved operating capacity for the
plant where the state has made such
determinations.
Failure of system to return these flows
through the processes of a system's existing
conventional or direct filtration system (as
defined in §141.2) or at an alternative
location properly approved by the state by
June 8, 2004.
Compliance
Date
December 8,
2003
June 8, 2004
(or if capital
improvements
are necessary to
modify the
recycle return
location at a
later date
approved by the
state, but not
later than June
8, 2006).
Implementation Guidance for the FBRR
65
June 2004
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Table 5.2 List of Filter Backwash Rule Violations1 (Continued)
SDWIS
Reporting
Code
40/0500
09/0500
Regulated
Contaminant/
Requirement
Completion of
Capital
Improvements
Required to
Modify
Recycle
Location
Records on
Recycle Flow
Kept on Site
Citation
§141.76(c)
§141.76(d)(l)
-(6)
Violation
Type
TT
Record-
keeping
System Size and
Type Affected
All Subpart H
systems as above that
recycle spent filter
backwash, thickener
supernatant, or
liquids from
dewatering
processes.
All Subpart H
systems that employ
conventional
filtration or direct
filtration treatment
and recycle spent
filter backwash,
thickener
supernatant, or
liquids from
dewatering
processes.
Violation
Failure of a system to complete, by June 8, 2006, the
capital improvements required to modify the recycle
location to return recycle flows to its conventional or
direct filtration system (as defined in §141.2) or at an
alternative location properly approved by the state by
June 8, 2004)
Failure of system to collect and retain on file one or
more of the following:
> A copy of the recycle notification and
information submitted to state under
§141.76(b).
> A list of all recycle flows and frequency
with which they are returned.
» Average and maximum backwash flow rate
through the filters and the average and
maximum duration of the filter backwash
process in minutes.
» Typical filter run length and a written
summary of how filter run length is
determined.
* Type of treatment provided for the recycle
flow.
> Data on the physical dimensions of the
equalization and/or treatment units, typical
maximum hydraulic loading rates, type of
treatment chemicals used and average dose
and frequency of use, and frequency at
which solids are removed, if applicable.
Compliance
Date
June 8, 2006
June 8, 2004
1 This chart contains federally reportable violations for the Filter Backwash Rule. In the interest of reducing the reporting burden on states, EPA has limited the
number and type of violations to be reported to SDWIS/FED. However, PWSs must keep records and report all required information to the state. Any violation of
the rule is a basis for a state or federal enforcement action.
June 2004
66
Implementation Guidance for the FBRR
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5.2 FBRR - SNC Definition
Significant noncompliers (SNCs) are community, nontransient noncommunity and transient
noncommunity water systems that have more serious, frequent, or persistent violations. The criteria used
by EPA to designate a system as a SNC vary by contaminant or treatment technique requirement.
SNC Definition for the FBRR
A Public Water System (PWS) is in significant noncompliance of the SDWA Filter Backwash Recycling
Rule (FBRR) if it violates the requirements of the rule by a:
Failure to recycle at an approved location by June 8, 2004, or
Failure to make the required capital improvements by June 8, 2006.
Return to Compliance (RTC) is accomplished by the public water system's recycling of all regulated
recycling streams to an approved location, or finalization of the required capital improvements.
Implementation Guidance for the FBRR 67 June 2004
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June 2004 68 Implementation Guidance for the FBRR
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Section VI
FBRR Public Notification
and Consumer
Confidence Report
Examples
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June 2004 70 Implementation Guidance for the FBRR
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This section provides examples for violations that systems may incur under the FBRR. These examples
address the Public Notification (PN) Rule and Consumer Confidence Report (CCR) Rule requirements for
systems that incur these kinds of violations. Public notification and notification in the CCR are required
follow-up activities for violations of the National Primary Drinking Water Regulations. Also included in
the examples are sample public notices and sample excerpts from CCR reports that would meet these
public notification and CCR requirements. The examples in this section are adapted from examples in
Appendix D the Primacy Agency Data Entry Instructions for the Filter Backwash Recycling Rule. For
more information on system reporting requirements and SDWIS reporting, refer to the Primacy Agency
Data Entry Instructions for the Filter Backwash Recycling Rule and the examples contained therein. (See
Appendix D.)
The following list summarizes the examples discussed in section 6:
Example 1 January 2004 and System A has not submitted the required notification, in writing, to the
state.
Example 2 It is July 1, 2004, and System A is NOT recycling before all processes of the direct
filtration treatment train, has not obtained state approval for use of an alternative location,
and is not pursuing capital improvements.
Example 3 During a Sanitary Survey performed on July 10, 2004, the state determines that System A
has not been collecting or retaining recycle information on file.
Example 4 On January 15, 2004, the system became aware that it had failed to submit the typical
recycle flow information and the state-approved operating capacity of the plant in the
recycle notification sent to the state on December 1, 2003.
System A, referred to in each of the examples, is a direct filtration plant that recycles spent filter
backwash water, liquids from dewatering processes, and thickener supernatant to a location in the
treatment process which is after coagulation but prior to the filtration unit process in this filtration plant
(Figure 6.1). System A is a community water system.
Figure 6.1: System A Water Treatment Plant
Ra
Wa
Inta
Chlorine
1 Alum
w 1 I
er 1 V
ke
Supernatant
Recycle
i- Filter Filtered Water
Clears ^^
Supernatant
iLii
.ThickenerJ
^s^^x-*"^ Siudge
T Sludge ( Thk*«m,
"^^
i,
Supernatant Pmssate
35T""
raymor Cake to
" J | |-» Belt Press »Lancffll,
^ 1 1
Sludge
Implementation Guidance for the FBRR
71
June 2004
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It is January of 2004 and System A has not submitted the required notification, in writing, to the state that
they were recycling spent filter backwash, thickener supernatant, and liquids from the dewatering process
by the reporting requirement deadline of December 8, 2003.
Violation Determination:
System A failed to submit notification to the state by December 8, 2003, that they are recycling spent
filter backwash water, thickener supernatant, or liquids from the dewatering process. As a result, the
system has incurred a monitoring and reporting (M&R) violation.
Return To Compliance:
System A submits the notification in writing with additional required information on February 26, 2004,
and is returned to compliance.
Public Notification/Consumer Confidence Reports:
System A failed to submit the required notification to the state by December 8, 2003, that they are
recycling. This is a monitoring and reporting violation that requires Tier 3 public notification. The system
must provide public notification within one year of learning of the violation. Notification must be
provided by mail or other direct delivery method (such as hand delivery), and any other reasonable
method to reach affected individuals that would not have received the information by mail or the direct
delivery method used. Notice must be provided to each customer receiving a bill and other service
connections to which water is delivered.
Since System A is a community water system, it could use the Consumer Confidence Report (CCR) to
inform the public of the Tier 3 violation if the CCR is released within one year of the system learning of
the violation. For this example, the violation occurred and the system knew of the violation on December
8, 2003. The public could therefore be informed of the violation in the CCR produced for calendar year
2003, if the CCR is released prior to December 8, 2004 (the CCR is required to be released by July 1,
2004, for compliance with the CCR Rule). In this situation, additional public notification would not be
required. However, whether public notification is provided by the CCR for calendar year 2003 or by other
means, this violation would still have to be reported by the system in the CCR produced for the calendar
year 2003, since all violations of National Primary Drinking Water Regulations (NPDWRs) must be
reported in the CCR for the calendar year in which the system became aware of this violation. The
violation report in the CCR should include information similar to what was included in the public notice.
An example of a public notice that fulfills the public notification requirements for this violation is shown
in Example 6.1. An example of a report of this violation in the CCR is shown in Example 6.2.
June 2004 72 Implementation Guidance for the FBRR
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Example 6.1: Example Tier 3 Public Notification for Example 1 - M&R Violation
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Reporting Requirements Not Met for System A
Our system failed to submit a notification about recycle practices in our treatment plant to the state by the
deadline of December 8, 2003. Although this incident was not an emergency, as our customers, you have
a right to know what happened and what we did to correct this situation.
What should I do?
There is nothing you need to do. You do not need to boil your water or take other corrective actions. You
may continue to drink the water. If a situation arises where the water is no longer safe to drink, you will
be notified within 24 hours. We will announce any emergencies on Channel 22 or Radio Station KMMM
(97.3 FM).
What was done?
We submitted notification to the state on February 26, 2004, that we are recycling flows in our treatment
plant and we included all of the required additional information. This situation is now resolved and our
system is in compliance.
For more information, please contact John Johnson, manager of System A, at 555-1234 or write to 2600
Winding Rd., Townsville, SA 12345.
Please share this information with all the other people who drink this water, especially those who may
not have received this notice directly (for example, people in apartments, nursing homes, schools, and
businesses). You can do this by posting this notice in a public place or distributing copies by hand or
mail.
This notice is being sent to you by System A.
State Water System ID# SA1234567. Sent: 4/15/04
Example 6.2: Example of a Notice in the CCR for Example 1 - M&R Violation
Violation
Our water system failed to submit a notification about recycle practices in our treatment plant to
the state by the deadline of December 8, 2003. We submitted notification to the state on February
26, 2004, that we are recycling flows in our treatment plant and we included all of the required
additional information. This violation was resolved and our system is in compliance.
Implementation Guidance for the FBRR
73
June 2004
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Example 2 - TT Violation'
It is July 1, 2004, and as shown in Figure 6.1, System A is NOT recycling spent filter backwash,
thickener supernatant, and liquids from dewatering processes before all processes of the direct filtration
treatment train. The system has not obtained state approval for use of an alternative location and is not
pursuing capital improvements.
Violation Determination:
System A failed to recycle the regulated recycle streams at a location that incorporates all direct filtration
processes and did not receive state approval by June 8, 2004, for an alternate recycle return location. The
system has incurred a treatment technique violation.
Return To Compliance:
System A obtained state approval for the alternative location and began recycling to the approved location
on August 10, 2004, and is returned to compliance.
Public Notification/Consumer Confidence Reports:
System A has incurred a treatment technique violation for failure to recycle a regulated recycle stream at
the required location. This violation requires Tier 2 public notification. The system must provide public
notification as soon as practical but no later than 30 days of learning of the violation. Notification must be
provided by mail or other direct delivery method (such as hand delivery), and any other reasonable
method to reach affected individuals that would not have received the information by mail or the direct
delivery method used. Notice must be provided to each customer receiving a bill and other service
connections to which water is delivered. For any unresolved violation following an initial Tier 2 notice,
notice must generally be repeated every three months for as long as the violation persists. The system was
aware of the violation on June 8, 2004. Repeat public notification was not required in this instance since
the violation was resolved on August 10, 2004.
An example of a public notice that fulfills the public notification requirements for this violation is shown
in Example 6.3.
All treatment technique violations must also be included in the Consumer Confidence Report (CCR). An
explanation of how the system returned to compliance could also be included. An example of a report of
this violation that could be used in the system's CCR for calendar year 2004 is shown in Example 6.4.
June 2004 74 Implementation Guidance for the FBRR
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Example 6.3: Example Tier 2 Public Notification for Example 2 - Treatment Technique
Violation
c
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
System A Does Not Meet Treatment Technique Requirements
Our system did not meet the recycle return location requirement to return all recycle flows to the required
location by the deadline of June 8, 2004, and did not receive state approval for the location other than the
required recycle return location (referred to as an alternate location). Although this incident was not an
emergency, as our customers, you have a right to know what happened and what we did to correct this
situation.
What should I do?
There is nothing you need to do unless you have a severely compromised immune system, have an infant, or
are elderly. These people may be at increased risk and should seek advice about drinking water from their
health care providers. General guidelines on ways to lessen the risk of infection by microbes are available
from EPA's Safe Drinking Water Hotline at 1 (800) 426-4791. If you have specific health concerns, consult
your doctor.
You do not need to boil your water or take other corrective actions. If a situation arises where the water is no
longer safe to drink, you will be notified within 24 hours. We will announce any emergencies on Channel 22
or Radio Station KMMM (97.3 FM).
What does this mean?
This is not an emergency. If it had been, you would have been notified within 24 hours.
Our failure to return our recycled flows at an approved location by the deadline on June 8, 2006, may have
impacted our water. Inadequately treated water may contain disease-causing organisms. These organisms
include bacteria, viruses, and parasites which can cause symptoms such as nausea, cramps, diarrhea, and
associated headaches. However, we were not aware of any health effects on you, our customer, as a result of
our failure to return our recycled flows at an approved location by the deadline.
What is being done?
Our system is seeking approval from the state for our location other than the required recycle return location
(referred to as an alternate location) for the return of recycled flows. We hope to receive approval from the
state by August 31, 2004.
For more information, please contact John Johnson, manager of System A, at 555-1234 or write to 2600
Winding Rd., Townsville, SA 12345.
Please share this information with all the other people who drink this water, especially those who may not
have received this notice directly (for example, people in apartments, nursing homes, schools, and
businesses). You can do this by posting this notice in a public place or distributing copies by hand or mail.
This notice is being sent to you by System A.
State Water System ID# SA1234567. Sent: 7/1/04
Implementation Guidance for the FBRR
75
June 2004
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Example 6.4: Example of a Notice in the CCR for Example 2 - TT Violation
Water Quality Data
Contaminant
Cryptosporidium
MCL/MRDL/
TT
TT
Value
Date
6/8/04
Violation
Yes*
Source
Sewage treatment
plants, septic systems,
agricultural livestock
operations, and
wildlife.
* System A incurred a treatment technique violation for failure to return all recycled flows to the required location or
to receive state approval for the alternate location by the deadline of June 8, 2004. More information about this
violation is provided in the violation section.
Violation
We did not return all recycled flows to the required location by the deadline of June 8, 2004, and
did not receive state approval for the location other than the required recycle return location
(referred to as an alternate location). Our failure to return our recycled flows at an approved
location by the deadline of June 8, 2004, may have impacted our water. Inadequately treated
water may contain disease-causing organisms. These organisms include bacteria, viruses, and
parasites which can cause symptoms such as nausea, cramps, diarrhea, and associated headaches.
However, we were not aware of any health effects on you, our customer, as a result of our failure
to return our recycle flows at an approved location by the deadline.
Our system received approval from the state for our location other than the required recycle
return location (referred to as an alternate location) for the return of recycled flows on August 10,
2004. This violation was resolved.
June 2004
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During a Sanitary Survey performed on July 10, 2004, the state determines that System A has not been
collecting or retaining recycle information on file.
Violation Determination:
System A failed to collect and retain the requisite recycle flow information on file beginning June 8,
2004. As a result, the system has incurred a recordkeeping violation.
Return To Compliance:
The state requested the system collect the required information and submit a copy to the state. The system
collected and submitted the required information on October 3, 2004. The system also retained a copy to
be reviewed by the state during the next visit. Therefore, the system returned to compliance on October 3,
2004.
Public Notification/Consumer Confidence Reports:
System A has incurred a recordkeeping violation for failure to retain recycle information on file
beginning June 8, 2004. This violation requires Tier 3 public notification. The system must provide public
notification within one year of learning of the violation. Notification must be provided by mail or other
direct delivery method (such as hand delivery), and any other reasonable method to reach affected
individuals that would not have received the information by mail or the direct delivery method used.
Notice must be provided to each customer receiving a bill and other service connections to which water is
delivered.
Since System A is a community water system, it could use the Consumer Confidence Report (CCR) to
inform the public of the Tier 3 violation if the CCR is released within one year of the system learning of
the violation. For this particular example, the system knew it was in violation on June 9, 2004. The public
could therefore be informed of the violation in the CCR produced for calendar year 2004, if the CCR is
released prior to June 9, 2005 (the CCR is required to be released by July 1, 2005, for compliance with
the CCR Rule). In this situation, additional public notification would not be required. However, since all
violations of National Primary Drinking Water Regulations must be reported in the CCR, this violation
would have to be reported by the system in its calendar year 2004 CCR even if public notification is
provided by other means. The violation report in the CCR should include information similar to what was
included in the public notice. An example of a public notice that fulfills the public notification
requirements for this violation, for both community and non-community water systems, is shown in
Example 6.5. An example of a report of this violation in the CCR is shown in Example 6.6.
Implementation Guidance for the FBRR 77 June 2004
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Example 6.5: Example Tier 3 Public Notification for Example 3 - Recordkeeping Violation
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Recordkeeping Requirements Not Met for System A
Our water system failed to begin collecting and retaining specific information about our recycling
practices by the deadline of June 8, 2004. Although this incident was not an emergency, as our customers,
you have a right to know what happened and what we did to correct this situation.
What should I do?
There is nothing you need to do. You do not need to boil your water or take other corrective actions. You
may continue to drink the water. If a situation arises where the water is no longer safe to drink, you will
be notified within 24 hours. We will announce any emergencies on Channel 22 or Radio Station KMMM
(97.3 FM).
What was done?
We began collecting and retaining the required information about our recycle practices on October 3,
2004. This situation is now resolved.
For more information, please contact John Johnson, manager of System A, at 555-1234 or write to 2600
Winding Rd., Townsville, SA 12345.
Please share this information with all the other people who drink this water, especially those who may
not have received this notice directly (for example, people in apartments, nursing homes, schools, and
businesses). You can do this by posting this notice in a public place or distributing copies by hand or
mail.
This notice is being sent to you by System A.
State Water System ID# SA1234567. Sent: 11/15/04
Example 6.6: Example of a Notice in the CCR for Example 3 - Recordkeeping Violation
Violation
Our water system failed to begin collecting and retaining specific information about our recycling
practices by the deadline on June 8, 2004. We began collecting and retaining the required
information about our recycle practices on October 3, 2004, at which time this violation was
resolved.
June 2004
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Example 4 - M&R Violation
On December 1, 2003, System A submitted a notice, in writing, to the state that they were recycling spent
filter backwash water, thickener supernatant and liquids from dewatering processes and included the
required schematic of recycle streams and water treatment plant design flow information. However, on
January 15, 2004, the system became aware, that in the notice submitted on December 1, 2003, it had
failed to submit the typical recycle flow information and the state-approved operating capacity of the
plant.
Violation Determination:
System A failed to include all of the required information when it submitted notification to the state by
December 8, 2003, that they are recycling. As a result, the system has incurred an M&R violation.
Return To Compliance:
System A resubmits the notification in writing with all of the additional required information, including
the typical recycle flow information and the state-approved operating capacity for the plant on January
20, 2004, and is returned to compliance.
Public Notification/Consumer Confidence Reports:
System A has incurred a monitoring/reporting violation for failure to include, by the deadline of
,. December 8, 2003, all of the required information in its notification to the state of flow recycling. This
f violation requires Tier 3 public notification. The system must provide public notification within one year
\^_,^ of learning of the violation. Notification must be provided by mail or other direct delivery method (such
as hand delivery), and any other reasonable method to reach affected individuals that would not have
received the information by mail or the direct delivery method used. Notice must be provided to each
customer receiving a bill and other service connections to which water is delivered.
Since System A is a community water system, it could use the Consumer Confidence Report (CCR) to
inform the public of the Tier 3 violation if the CCR is released within one year of the system learning of
the violation. For this particular example, the system became aware of the violation on January 15, 2004.
The public could therefore be informed of the violation in the CCR produced for calendar year 2003, if
the CCR is released prior to January 15, 2005 (the CCR for calendar year 2003 is required to be released
by July 1, 2004, for compliance with the CCR Rule). In this situation, additional public notification would
not be required. However, since all violations of National Primary Drinking Water Regulations must be
reported in the CCR, this violation would also have to be reported by the system in its calendar year 2004
CCR even if public notification is provided by other means. The violation report in the CCR should
include information similar to what was included in the public notice. An example of a public notice that
fulfills the public notification requirements for this violation is shown in Example 6.7. An example of a
report of this violation in the CCR is shown in Example 6.8.
Implementation Guidance for the FBRR 79 June 2004
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Example 6.7: Example Tier 3 Public Notification for Example 4 - Monitoring and
Reporting Violation
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
Reporting Requirements Not Met for System A
Our water system failed to include, by the deadline of December 8, 2003, all of the required information
in our notification about recycle practices in our treatment plant to the state. Although this incident was
not an emergency, as our customers, you have a right to know what happened and what we did to correct
this situation.
What should I do?
There is nothing you need to do. You do not need to boil your water or take other corrective actions. You
may continue to drink the water. If a situation arises where the water is no longer safe to drink, you will
be notified within 24 hours. We will announce any emergencies on Channel 22 or Radio Station KMMM
(97.3 FM).
What was done?
We re-submitted our notification to the state that we are recycling flows on January 20, 2004, and
included all of the required information. This situation is now resolved and the system is in compliance.
For more information, please contact John Johnson, manager of System A, at 555-1234 or write to 2600
Winding Rd., Townsville, SA 12345.
Please share this information with all the other people who drink this water, especially those who may
not have received this notice directly (for example, people in apartments, nursing homes, schools, and
businesses). You can do this by posting this notice in a public place or distributing copies by hand or
mail.
This notice is being sent to you by System A.
State Water System ID# SA1234567. Sent: 6/15/04
Example 6.8. Example of a Notice in the CCR for Example 4 - Monitoring and Reporting
Violation
Violation
Our water system failed to include, by the deadline of December 8, 2003, all of the required
information in our notification about recycle practices in our treatment plant to the state. We re-
submitted our notification to the state on January 20,2004, and included all of the required
information. This violation was resolved and the system is in compliance.
June 2004
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Example 5 - TT Violation
As shown in Figure 2.1, System A is NOT recycling their recycle streams prior to or at the point of
coagulation, therefore, their recycle location is an alternate location. The system applied to the state on
May 12, 2004, for approval of an alternate location, but the state did not approve the alternate location.
Capital improvements to re-locate the chlorine and alum addition with rapid mix to a point downstream of
the recycle stream return location are required in order for the system to return recycle flows through the
system's existing processes. The system is required to complete any necessary capital improvements by
June 8, 2006, but was not able to complete all capital improvements until September 22, 2006.
Violation Determination:
System A failed to complete capital improvements necessary to modify the recycle location by June 8,
2006. Therefore, the system has incurred a treatment technique violation.
Return To Compliance:
System A completed all capital improvements by September 22, 2006 and returned to compliance.
Public Notification/Consumer Confidence Reports:
System A has incurred a treatment technique violation for failure to complete capital improvements to
relocate the recycle return by June 8, 2006. This violation requires Tier 2 public notification. The system
must provide public notification as soon as practical but no later than 30 days of learning of the violation.
Notification must be provided by mail or other direct delivery method (such as hand delivery), and any
other reasonable method to reach affected individuals that would not have received the information by
mail or the direct delivery method used. Notice must be provided to each customer receiving a bill and
other service connections to which water is delivered. For any unresolved violation following an initial
Tier 2 notice, notice must generally be repeated every three months for as long as the violation persists.
Unless the state specifies otherwise, repeat public notification is required in this instance since the
violation was incurred on June 8, 2006, and was not resolved until September 22, 2006.
All treatment technique violations must be reported in the Consumer Confidence Report (CCR).
An example of a public notice that fulfills the public notification requirements for this violation is shown
in Example 6.9. An example of a report of this violation in the CCR is shown in Example 6.10.
Implementation Guidance for the FBRR 81 June 2004
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Example 6.9: Example Tier 2 Public Notification for Example 5 - Treatment Technique
Violation
IMPORTANT INFORMATION ABOUT YOUR DRINKING WATER
System A Does Not Meet Treatment Technique Requirements
Our system failed to complete the necessary plant modifications to relocate the return location for our
recycled flows by the deadline on June 8, 2006. Although this incident was not an emergency, as our
customers, you have a right to know what happened and what we did to correct this situation.
What should I do?
There is nothing you need to do unless you have a severely compromised immune system, have an infant,
or are elderly. These people are at increased risk and should seek advice about drinking water from their
health care providers. General guidelines on ways to lessen the risk of infection by microbes are available
from EPA's Safe Drinking Water Hotline at 1 (800) 426-4791. If you have specific health concerns,
consult your doctor.
You do not need to boil your water or take other corrective actions. If a situation arises where the water is
no longer safe to drink, you will be notified within 24 hours. We will announce any emergencies on
Channel 22 or Radio Station KMMM (97.3 FM).
What does this mean?
This is not an emergency. If it had been, you would have been notified within 24 hours.
Our failure to relocate the return location for our recycle flows by the deadline of June 8, 2006, may have
impacted our water. Inadequately treated water may contain disease-causing organisms. These organisms
include bacteria, viruses, and parasites which can cause symptoms such as nausea, cramps, diarrhea,
and associated headaches. However, we were not aware of any health effects on you, our customer, as a
result of our failure to complete modifications by the deadline.
What is being done?
Our necessary plant modifications are still in progress and we hope to have them completed by the end of
September, 2006.
For more information, please contact John Johnson, manager of System A, at 555-1234 or write to 2600
Winding Rd., Townsville, SA 12345.
Please share this information with all the other people who drink this water, especially those who may
not have received this notice directly (for example, people in apartments, nursing homes, schools, and
businesses). You can do this by posting this notice in a public place or distributing copies by hand or
mail.
This notice is being sent to you by System A.
State Water System ID# SA1234567. Sent: 7/1/06
Note: This system must re-issue this public notification again since more than three months lapsed
between the initial violation (June 8, 2006) and when the violation was resolved (September 22, 2006).
June 2004
82
Implementation Guidance for the FBRR
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Example 6.10: Example of a Notice in the CCR for Example 5 - Treatment Technique
Violation
Water Quality Data
Contaminant
Cryptosporidium
MCL/MRDL/
TT
TT
Value
Date
6/8/06
Violation
Yes*
Source
Sewage treatment
plants, septic systems,
agricultural livestock
operations, and
wildlife.
* System A incurred a treatment technique violation for failure to complete capital improvements to relocate the
return location for recycled flows by the deadline of June 8, 2006. More information about this violation is provided
in the violation section.
Violation
Our system failed to complete the necessary plant modifications to relocate the return location for
our recycled flows by the deadline of June 8, 2006.
Our failure to relocate the return location for our recycle flows by the deadline on June 8, 2006,
may have impacted our water. Inadequately treated water may contain disease-causing organisms.
These organisms include bacteria, viruses, and parasites which can cause symptoms such as
nausea, cramps, diarrhea, and associated headaches. However, we were not aware of any health
effects on you, our customer, as a result of our failure to complete modifications by the deadline.
Our construction was completed on September 22, 2006. This violation was resolved.
Implementation Guidance for the FBRR
83
June 2004
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June 2004 84 Implementation Guidance for the FBRR
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Index
Alternate Recycle Location 10, 12, 16, 36, 41, 42
Assimilable Organic Carbon v, 41
Capital improvements 12, 15, 17, 29, 41, 59, 64-67, 71, 74, 81, 83
Coagulant 10, 40, 59
Coliforms 3
Consumer Confidence Report v, 15, 69, 71, 72, 74, 77, 79, 81
Conventional filtration 5, 7, 24, 34, 36, 65, 66
Cryptosporidiosis 4, 9
Cryptosporidium 3, 5, 6, 8, 9, 11-13, 20, 43, 59, 76, 83
Design flow 10, 36, 40, 65, 79
Direct filtration 3, 5, 7, 8, 11, 12, 16, 17, 24, 29-31, 33, 34, 36, 40, 59, 65, 66, 71, 74
Disinfection byproducts v, 3-6
DBF v, 3-6, 41
Equalization 10, 13, 14, 23, 38, 40, 42, 66
Extension request 50, 52
Filter backwash . 1, v, vii, 3, 5-11, 13, 16-19, 23, 24, 30, 31, 33-36, 38, 42, 43, 52, 54, 59, 64-67, 71, 72,
74,79
Filter run length 13, 39, 42, 66
Finished water 5, 6, 41, 42, 59
Giardia 4, 43
Giardiasis 3
Ground water under the direct influence v, 3, 7, 16, 30, 31, 33
Haloacetic acids v, 5
Health risks 3-5
Interim Enhanced Surface Water Treatment Rule v
IESWTR v, 5, 9, 11, 30, 41
Liquids from dewatering processes 3, 5, 7, 8, 10, 11, 16, 17, 24, 31, 33, 34, 36, 65, 66, 71, 74, 79
Long Term 1 Enhanced Surface Water Treatment Rule v, 5
LT1ESWTR v, 5, 9, 11, 41
Maximum Contaminant Level v, 3
MCL v, 3, 63, 76, 83
Maximum Contaminant Level Goal v
MCLG v, 3
Implementation Guidance for the FBRR 85 June 2004
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Microbial contaminants 4
Microbial pathogens 3, 5, 6, 14
Notification v, vii, 9-15, 23, 25, 29-36, 40, 42, 56, 64-66, 69, 71-75, 77-82
Oocysts 5, 6, 9, 11, 41
Operating capacity 10, 25, 36, 40, 59, 65, 71, 79
Pathogens 3-6, 14
Plant flow 10, 14, 25, 36, 40, 42, 65
Primacy application 15, 48, 55
Recordkeeping 13, 15, 23-25, 29, 30, 35, 38, 39, 47, 55-57, 64, 77, 78
Recycle flow 6, 10, 12-15, 17, 24, 29, 35, 36, 40-42, 59, 64-66, 71, 77, 79
Recycle return location 11-13, 23, 40, 42, 65, 74-76
Safe Drinking Water Act 3, v, vii, 58
SDWA 3, v, vii, 3-5, 47, 57, 63, 67
Safe Drinking Water Information System v, vi, 63
SDWIS v, vi, 52, 61, 63-66, 71
Schematic 10, 14, 16, 17, 24, 29, 35, 36, 40, 41, 65, 79
Significant noncomplier vi
SNC vi, 61, 67
Spent filter backwash 3, 5-8, 10, 11, 16, 17, 24, 31, 33, 34, 36, 38, 65, 66, 71, 72, 74, 79
Subpart H system 7,31
Surface water v, vi, 3-7, 9, 16, 24, 30, 31, 33, 63
Thickener supernatant 3, 5, 7, 8, 10, 11, 16, 17, 31, 33, 34, 36, 38, 65, 66, 71, 72, 74, 79
Total Coliform Rule vi, 3
TCR vi, 3, 5
Total Organic Carbon vi, 5, 41
TOC vi, 5, 41
Total Trihalomethanes vi, 3
TTHM vi, 3-5
Treatment v, vi, 3-16, 23-25, 29, 31, 33, 34, 36, 38, 40-43, 53, 59, 63-67, 71, 73-76, 79-83
Treatment technique 4, 6, 9, 11-13, 15, 16, 53, 59, 64, 67, 74-76, 81-83
TT 6, 16, 17, 65, 66, 74, 76, 81, 83
Trihalomethanes vi, 3
THM vi
Viruses 4, 75, 76, 82, 83
Waste flows 3
June 2004 86 Implementation Guidance for the FBRR
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Appendix A
Primacy Revision
Crosswalk
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Implementation Guidance for the FBRR A - 2 June 2004
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o
r
o
FEDERAL REQUIREMENT
FEDERAL
CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? EXPLAIN
ON SEPARATE SHEET
; : ;
§141.76 RECYCLE PROVISIONS
Applicability. All subpart H systems that employ conventional
filtration or direct filtration treatment and that recycle spent filter
backwash water, thickener supernatant, or liquids from dewatering
processes must meet the following requirements:
Reporting. A system must notify the state in writing by December
8, 2003, if the system recycles spent filter backwash water,
thickener supernatant, or liquids from dewatering processes. This
notification must include, at a minimum:
» A plant schematic showing the origin of all flows which
are recycled (including, but not limited to, spent filter
backwash water, thickener supernatant, and liquids from
dewatering processes), the hydraulic conveyance used to
transport them, and the location where they are
reintroduced back into the treatment plant.
» Typical recycle flow in gallons per minute (gpm), the
highest observed plant flow experienced in the previous
year (gpm), design flow for the treatment plant (gpm),
and state-approved operating capacity for the plant where
the state has made such determinations.
Treatment technique requirement. Any system that recycles spent
filter backwash water, thickener supernatant, or liquids from
dewatering processes must return these flows through the
processes of a system's existing conventional or direct filtration
system as defined hi §141.2 or at an alternate location approved by
the state by June 8, 2004. If capital improvements are required to
modify the recycle location to meet this requirement, all capital
improvements must be completed no later than June 8, 2006.
Recordkeeping. The system must collect and retain on file recycle
flow information for review and evaluation by the state beginning
June 8, 2004.
§141. 76 (a)
§141. 76 (b)
§141.76 (b) (1)
§ 141. 76 (b) (2)
§141.76 (c)
§141.76 (d)
Implementation Guidance for the FBRR
A-3
June 2004
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FEDERAL REQUIREMENT
Copy of the recycle notification and information submitted to
the state under paragraph (b) of this section.
> List of all recycle flows and the frequency with which they are
returned.
» Average and maximum backwash flow rate through the filters
and the average and maximum duration of the filter backwash
process in minutes.
> Typical filter run length and a written summary of how filter
run length is determined.
> The type of treatment provided for the recycle flow.
> Data on the physical dimensions of the equalization and/or
treatment units, typical and maximum hydraulic loading rates,
type of treatment chemicals used, average dose, frequency of
use, and frequency at which solids are removed, if applicable.
FEDERAL
CITATION
§141.76 (d)(l)
§ 141. 76 (d) (2)
§141.76 (d) (3)
§ 141. 76 (d) (4)
§ 141. 76 (d) (5)
§141.76 (d) (6)
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? EXPLAIN
ON SEPARATE SHEET
Appendix A to SubpartQ of Part 141 - MPDWK Violations and Other Situations Requiring Public Notice
Filter Backwash Recycling Rule violations:
MCL/MRDL/TT violations
Tier of Public Notice Required Citation
2 141.76
Monitoring and testing procedure violations
Tier of Public Notice Required Citation
3 141.76
I.A.8
June 2004
A-4
Implementation Guidance for the FBRR
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r
o
O
FEDERAL REQUIREMENT
FEDERAL
CITATION
STATE CITATION (DOCUMENT
TITLE, PAGE NUMBER,
SECTION/PARAGRAPH)
DIFFERENT FROM FED.
REQUIREMENT? EXPLAIN
ON SEPARATE SHEET
Appeadk B to Subpart Q of Part 141 - Standard Health Effects Lttguage fat PabEe Notification
B. Standard Health Effects Language for Surface Water Treatment
Rule (SWTR), Interim Enhanced Surface Water Treatment Rule
(IESWTR) and Filter Backwash Recycling Rule (FBRR)
violations:
Contaminant MCLG MCL Standard Health Effects
mg/L mg/L Language for PN
7. Cryptosporidium
(IESWTR/FBRR)
B.7
Implementation Guidance for the FBRR
A-5
June 2004
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1
FEDERAL REQUIREMENT
FEDERAL
CITATION
EXPLANATION OF STATE POLICIES AND
PROCEDURES
§ 142.14 RECORDS KEPT BY STATES
Section 141.76- Any decisions made to approve alternate recycle
locations, require modifications to recycle return locations, or require
modifications to recycle practices.
§142.14(a)(4)(ii)
(A) (9)
§ 142.16 SPECIAL PRIMACY REQUIREMENTS
Section 141.76(d) of this chapter- States must have the proper rules and
authority to use Sanitary Surveys, comprehensive performance
evaluations (CPEs), other inspections, or other activities to evaluate
recycle data maintained by systems under § 141 .76(d) of this chapter
and require modifications to recycle practices.
§ 142.16 (i)(l)(i)
June 2004
/
A-6
Implementation Guidance for the FBRR
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Appendix B
FBRR Regulatory
Language
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June 2004 B - 2 Implementation Guidance for the FBRR
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PART 9 - [AMENDED]
1. The authority citation for part 9 continues to read as follows:
Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 2003, 2005, 2006, 2601-2671; 21 U.S.C.
33 Ij, 346a, 348; 31 U.S.C. 9701; 33 U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318, 1321, 1326-1330,
1324, 1344, 1345 (d) and (e), 1361; E.G. 11735, 38 FR 21243, 3 CFR, 1971-1975 Comp. p. 973; 42
U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-l, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300J-1, 300J-2,
300J-3, 300J-4, 300J-9, 1857 et seq., 6901-6992k, 7401-7671q, 7542, 9601-9657, 11023, 11048.
2. In § 9.1 the table is amended by adding under the indicated heading the new entry in numerical order
to read as follows:
§9.1 OMB Approvals under the Paperwork Reduction Act
* * * * *
40 CFR citation OMB Control No.
National Primary Drinking Water Regulations
* * * *
141.76
* * * *
*
2040-0224
*
PART 141 - National Primary Drinking Water Regulations
3. The authority citation for part 141 continues to read as follows:
Authority: 42 U.S.C. 300f, 300g-l, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300J-4, 300J-9, and 300J-11.
4. Subpart H is amended by adding § 141.76 to read as follows:
§ 141.76 Recycle Provisions.
(a) Applicability. All subpart H systems that employ conventional filtration or direct filtration treatment
and that recycle spent filter backwash water, thickener supernatant, or liquids from dewatering processes
must meet the requirements in paragraphs (b) through (d) of this section.
(b) Reporting. A system must notify the State in writing by December 8, 2003, if the system recycles
spent filter backwash water, thickener supernatant, or liquids from dewatering processes. This
notification must include, at a minimum, the information specified in paragraphs (b)(l) and (2) of this
section.
(1) A plant schematic showing the origin of all flows which are recycled (including, but not limited to,
spent filter backwash water, thickener supernatant, and liquids from dewatering processes), the hydraulic
conveyance used to transport them, and the location where they are re-introduced back into the treatment
plant.
(2) Typical recycle flow in gallons per minute (gpm), the highest observed plant flow experienced in the
previous year (gpm), design flow for the treatment plant (gpm), and State-approved operating capacity for
the plant where the State has made such determinations.
(c) Treatment Technique Requirement. Any system that recycles spent filter backwash water, thickener
supernatant, or liquids from dewatering processes must return these flows through the processes of a
system's existing conventional or direct filtration system as defined in §141.2 or at an alternate location
approved by the State by June 8, 2004. If capital improvements are required to modify the recycle
location to meet this requirement, all capital improvements must be completed no later than June 8, 2006.
(d) Recordkeeping. The system must collect and retain on file recycle flow information specified in
paragraphs (d)(l) through (6) of this section for review and evaluation by the State beginning June 8,
2004.
(1) Copy of the recycle notification and information submitted to the State under paragraph (b) of this
section.
(2) List of all recycle flows and the frequency with which they are returned.
Implementation Guidance for the FBRR B - 3 June 2004
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(3) Average and maximum backwash flow rate through the filters and the average and maximum
duration of the filter backwash process in minutes.
(4) Typical filter run length and a written summary of how filter run length is determined.
(5) The type of treatment provided for the recycle flow.
(6) Data on the physical dimensions of the equalization and/or treatment units, typical and maximum
hydraulic loading rates, type of treatment chemicals used and average dose and frequency of use, and
frequency at which solids are removed, if applicable.
5. Appendix A to Subpart Q of Part 141 is amended by adding a new entry "8." in numerical order under
LA. to read as follows:
APPENDIX A TO SUBPART Q OF PART 141.-NPDWR VIOLATIONS AND OTHER
SITUATIONS REQUIRING PUBLIC NOTICE1
Contaminant
MCL/MRDL/TT violations2
Monitoring & testing
procedure violations
Tier of public
notice required
Citation
Tier of public
notice
required
Citation
I. Violations of National Primary
Drinking Water Regulations
(NPDWR):3
A. Microbiological Contaminants
* * *
8. Filter Backwash Recycling Rule
violations
141.76
141.76
Appendix A - Endnotes
1. Violations and other situations not listed in this table (e.g., reporting violations and failure to prepare
Consumer Confidence Reports), do not require notice, unless otherwise determined by the primacy
agency. Primacy agencies may, at their option, also require a more stringent public notice tier (e.g., Tier
1 instead of Tier 2 or Tier 2 instead of Tier 3) for specific violations and situations listed in this
Appendix, as authorized under §141.202(a) and §141.203(a).
2. MCL~Maximum contaminant level, MRDLMaximum residual disinfectant level, TT~Treatment
technique.
3. The term Violations of National Primary Drinking Water Regulations (NPDWR) is used here to
include violations of MCL, MRDL, treatment technique, monitoring, and testing procedure requirements.
6. Appendix B to Subpart Q of Part 141 is amended by revising B and entry "7." under B. to read as
follows:
June 2004
B-4
Implementation Guidance for the FBRR
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APPENDIX B TO SUBPART Q OF PART 141.-STANDARD HEALTH EFFECTS LANGUAGE
FOR PUBLIC NOTIFICATION
Contaminant
MCLG1 mg/L
MCL2 mg/L
Standard health effects
language for public notification
National Primary Drinking Water
Regulations (NPDWR):
B. Surface Water Treatment Rule
(SWTR), Interim Enhanced
Surface Water Treatment Rule
(IESWTR) and Filter Backwash
Recycling Rule (FBRR) violations:
7. Cryptosporidium
(IESWTR/FBRR).
Appendix BEndnotes
1. MCLGMaximum contaminant level goal
2. MCLMaximum contaminant level
PART 142-NATIONAL PRIMARY DRINKING WATER REGULATIONS IMPLEMENTATION
7, The authority citation for Part 142 continues to read as follows:
Authority: 42 U.S.C. 300f, 300g-l, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300J-4, 300J-9, and 300J-11.
* * * * *
8. Section 142.14 is amended by removing the word "and" at the end of the paragraph (a)(4)(ii)(A)(7)
and revising paragraph (a)(4)(ii)(A)(5) and adding paragraph (a)(4)(ii)(A)(P) to read as follows:
§ 142.14 Records kept by States.
(a) ***
(4)***
(ii) ***
(A) ***
(5) Section 141.75(b)(2)(iv) - Any decision to allow reduced reporting by a filtered public water system;
and
(£) Section 141.76 - Any decisions made to approve alternate recycle locations, require modifications to
recycle return locations, or require modifications to recycle practices.
9. Section 142.16 is amended by adding paragraph (i) to read as follows:
§ 142.16 Special primacy requirements.
*****
(i) Requirements for States to adopt 40 CFRpart 141, §141.76 Recycle Provisions. In addition to the
general primacy requirements enumerated elsewhere in this part, including the requirement that the State
provisions are no less stringent than the federal requirements, an application for approval of a State
program revision that adopts 40 CFR part 141, §141.76 Recycle Provisions must contain the information
specified in this paragraph:
Implementation Guidance for the FBRR
B-5
June 2004
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(1) State practices or procedures, (i) Section 141.76(d) of this chapter - States must have the proper rules
and authority to use Sanitary Surveys, comprehensive performance evaluations (CPEs), other inspections,
or other activities to evaluate recycle data maintained by systems under §141.76(d) and require
modifications to recycle practices.
(ii) [reserved]
(2) [reserved]
Billing Code 6560-50-P
June 2004 B - 6 Implementation Guidance for the FBRR
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Appendix C
Rule Fact Sheet / Quick
Reference Guide / Rule
Summary for Systems
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June 2004 C - 2 Implementation Guidance for the FBRR
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United States
Environmental Protection
Agency
Office of Water
(4606)
EPA816-F-01-033
December 2001
Fact Sheet:
Filter Backwash Recycling Rule
The Filter Backwash Recycling Rule (FBRR) addresses the return of certain
recycle streams to a conventional or direct filtration facility's treatment process
and is intended to reduce the opportunity for recycle practices to adversely affect
plant performance. It is expected to prevent microbes such as Cryptosporidium
from passing through filters into finished drinking water.
Your PWS must comply with the FBRR if it is a surface water or GWUDI* system that -
Q Employs conventional or direct filtration; and
Q Recycles spent filter backwash water, thickener supernatant, or liquids from dewatering
processes.
* Ground Water Under the Direct Influence (of surface water)
Implementation Guidance for the FBRR
C-3
June 2004
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The FBRR requires affected systems to report recycle practices to the state, maintain specific records, and
return recycle to an appropriate location.
What Must I Report?
You must notify the state, in writing, that you practice recycle by December 8, 2003. The notification
must include, at a minimum, the following information:
/ A plant schematic showing the origin of all recycle streams, the hydraulic conveyance
used to transport them, and the location where they are recycled back into the plant.
i^ Typical recycle flow in gallons per minute (gpm), the highest observed plant flow
experienced in the previous year (gpm), design flow for the treatment plant (gpm), and
state-approved operating capacity of the plant where the state has made such
determinations.
Where Must I Return My Recycle Streams?
Spent filter backwash water, thickener supernatant, and liquids from dewatering processes must be ^N
returned through the processes of the existing conventional or direct filtration treatment plant or at an
alternate location approved by the state by June 8, 2004.
What if I don't recycle to a point which allows processing of the water through the processes
of my conventional or direct filtration plant?
You must either:
1) request approval from the state to recycle to an alternative location, or
2) begin capital improvements to return your recycle stream to a state-approved location.
If capital improvements are necessary for compliance, you must complete all improvements by
June 8, 2006.
June 2004 C - 4 Implementation Guidance for the FBRR
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What Other Information Must I Collect?
You must collect and maintain information on specific recycle and backwash flow, frequency, and
duration and treatment data. The information must be available for state review and evaluation beginning
June 8, 2004. The information may be used as the basis to require modification of your recycle location
or recycle practices if it is determined your practices may adversely affect the ability of your system to
achieve 2-log, or 99 percent, Cryptosporidium removal. This information includes:
A copy of the recycle notification and information submitted to the state .
A list of all recycle flows and the frequency with which they are returned.
The average and maximum backwash flow rate through the filters and the average and
maximum duration of the filter backwash process in minutes.
A typical filter run length and a written summary of how filter run-length is determined.
The type of treatment provided for the recycle stream.
Data on the physical dimensions of the equalization and/or treatment units, typical and
maximum hydraulic loading rates, type of treatment chemicals used and average dose and
frequency of use, and frequency at which solids are removed, if applicable.
For more information, contact EPA's Safe Drinking Water Hotline [800-426-4791], or see the EPA
website http://www.epa.gov/safewater/mdbp/mdbp.html
c
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June 2004 C - 6 Implementation Guidance for the FBRR
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&EPA
United States
Envlronmtnial Protection
Agency
Filter Backwash Recycling Rule:
A Quick Reference Guide
Overview of the Rule
Title
Purpose
General
Description
Utilities
Covered
Filter Backwash Recycling Rule (FBRR)
66 FR 31086, June 8, 2001, Vol. 66, No. 111
Improve public health protection by assessing and changing, where
needed, recycle practices for improved contaminant control, particularly
microbial contaminants.
The FBRR requires systems that recycle to return specific recycle flows
through all processes of the system's existing conventional or direct
filtration system or at an alternate location approved by the state.
Applies to public water systems that use surface water or ground water
under the direct influence of surface water, practice conventional or
direct filtration, and recycle spent filter backwash, thickener supernatant,
or liquids from dewatering processes.
Public Health Benefits
Implementation of
FBRR will result in
Estimated impacts of
the FBRR include ...
Reduction in risk of illness from microbial pathogens in
drinking water, particularly Cryptosporidium.
FBRR will apply to an estimated 4,650 systems serving
35 million Americans.
Fewer than 400 systems are expected to require capital
improvements.
Annualized capital costs incurred by public water systems
associated with recycle modifications are estimated to be
$5.8 million.
Mean annual cost per household is estimated to be less
than $1.70 for 99 percent of the affected households and
between $1.70 and $100 for the remaining one percent of
affected households.
Conventional and Direct Filtration
Conventional filtration, as defined in 40 CFR 141.2, is a series of processes including
coagulation, flocculation, sedimentation, and filtration resulting in substantial
particulate removal. Conventional filtration is the most common type of filtration.
Direct filtration, as defined in 40 CFR 141.2, is a series of processes including
coagulation and filtration, but excluding sedimentation, and resulting in substantial
particulate removal. Typically, direct filtration can be used only with high-quality raw
water that has low levels of turbidity and suspended solids.
-------
For additional information oil
the FBRR
Call fte Safe Drinking Water
hteine at 1-80&42M791; visit
the EPA web site at
www.epa.gov/safewater; or
contact your state drinking water
I
Additional material is available at
www.epa.gov/safewater/
filterbackwash.html.
r (4606)
Recycle Flows
Spent Filter Backwash Water - A stream containing particles that are dislodged from
filter media when water is forced back through a filter (backwashed) to clean the filter.
Thickener Supernatant - A stream containing the decant from a sedimentation basin,
clarifier or other unit that is used to treat water, solids, or semi-solids from the primary
treatment processes.
Liquids From Dewaterina Processes - A stream containing liquids generated from a
unit used to concentrate solids for disposal.
Critical Deadlines and Requirements
December 8,2003
June 8, 2004
June 8, 2006
Submit recycle notification to the state.
Return recycle flows through the processes of a system's
existing conventional or direct filtration system or an alternate
recycle location approved by the state (a 2-year extension is
available for systems making capital improvements to modify
recycle location).
Collect recycle flow information and retain on file.
Complete all capital improvements associated with relocating
recycle return location (if necessary).
June 8, 2003
June 8, 2005
States submit FBRR primacy revision application to EPA
(triggers interim primacy).
Primacy extension deadline - all states with an extension must
submit primacy revision applications to EPA.
What does a recycle notification include?
Plant schematic showing origin of recycle flows, how recycle flows are conveyed,
and return location of recycle flows.
Typical recycle flows (gpm), highest observed plant flow experienced in the previous
year (gpm), and design flow for the treatment plant (gpm).
State-approved plant operating capacity (if applicable).
What recycle flow information does a system need
to collect and retain on file?
Copy of recycle notification and information submitted to the state.
List of all recycle flows and frequency with which they are returned.
Average and maximum backwash flow rates through filters, and average and
maximum duration of filter backwash process (in minutes).
Typical filter run length and written summary of how filter run length is determined.
Type of treatment provided for recycle flows.
Data on the physical dimension of the equalization and/or treatment units, typical
and maximum hydraulic loading rates, types of treatment chemicals used,
average dose, frequency of use, and frequency at which solids are removed, if
applicable.
EPA 816-F-01-019
www.epa.gov/safewater
June 2001
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vvEPA
United States
Environmental Protection
Agency
c
Filter Backwash Recycling Rule
A Rule Summary for Systems
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Office of Water (4606M)
EPA816-R-02-013
www.epa.gov/safewater
August 2002
This document does not substitute for EPA regulation
nor is this document regulation itself. Thus, it cannot
impose legally-binding requirements on EPA, States, or
the regulated community, and may not apply to a
particular situation based upon the circumstances.
Printed on Recycled Paper
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Filter Backwash Recycling Rule:
A Rule Summary for Systems
BACKGROUND
What is the purpose of the rule?
The Filter Backwash Recycling Rule (FBRR) is intended to reduce the opportunity for
recycle practices to adversely affect the performance of drinking water treatment plants and
to help prevent microbes, such as Cryptosporidium, from passing through treatment systems
and into finished drinking water. Customers may become ill if they drink such contaminated
water.
What is Cryptosporidium?
Cryptosporidium is an intestinal parasite that can be passed
through a water treatment plant and into the drinking water
supply. Infection can cause gastro-intestinal illness, lasting
up to two weeks, and may even be life-threatening for
people with weakened immune systems. Several outbreaks
of cryptosporidiosis have been traced to Cryptosporidium in
drinking water. The worst outbreak occurred in Milwaukee
in 1993 when more than 400,000 people fell ill with flu-like
symptoms. Cryptosporidium is difficult to treat (inactivate)
because it is resistant to most disinfectants used by water
treatment systems. Consequently, other treatment processes,
such as sedimentation and filtration, must be effective in
removing Cryptosporidium oocysts from raw water and
recycle streams.
Spent filter backwash water,
thickener supernatant, and liquids
from dewatering processes can
contain microbial contaminants,
often in very high concentrations.
Recycling these streams can
reintroduce microbes and other
contaminants to the treatment
system. Additionally, large
volumes of recycle streams may
upset treatment processes, allowing
contaminants to pass through the
system. To minimize these risks,
the FBRR requires that recycle
streams pass through all the
processes of a system's existing
conventional or direct filtration
system (as defined in 40 CFR 141.2) that the Environmental Protection Agency (EPA) has
recognized as capable of achieving 2-log (99 percent) Cryptosporidium removal. The FBRR
also allows recycle streams to be reintroduced at an alternate location, if the location is
State-approved.
Which systems are affected by the FBRR?
(Rule reference: 40 CFR 141.76(a))
Public water systems that meet all of the following criteria are subject to the FBRR:
The system is a Subpart H system, (i.e. uses surface water or ground water under the
direct influence of surface water (GWUDI)).
The system treats water using conventional or direct filtration. (See the box on page
2 for definitions of conventional and direct filtration.)
The system recycles one or more of the following: spent filter backwash water,
thickener supernatant, or liquids from dewatering processes.
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Conventional Filtration
Conventional filtration treatment, as defined in 40 CFR 141.2, is a series of processes including
coagulation, flocculation, sedimentation, and filtration resulting in substantial particulate removal.
Conventional filtration is the most common type of filtration.
Direct Filtration
Direct filtration, as defined in 40 CFR 141.2, is a series of processes including coagulation and filtration,
but excluding sedimentation, and resulting in substantial particulate removal. Typically, direct filtration
can be used only with high-quality raw water that has low levels of turbidity and suspended solids.
What are the requirements of the FBRR?
The FBRR has three main components:
1. Reporting. The FBRR requires a system to notify the State in writing about its
recycle practices if the system is a Subpart H system, practices conventional or
direct filtration, and recycles one or more of the regulated recycle streams. More
information on reporting is contained in Section 1 beginning on page 3.
2. Recycle Return Location. The FBRR requires regulated recycle streams to be
returned through all processes of a system's existing conventional or direct
filtration system, as defined in 40 CFR 141.2. However, a system may recycle at
an alternate location if approved by the State. More information on recycle
return location is provided in Section 2 beginning on page 4.
3. Recordkeeping. The FBRR includes recordkeeping requirements related to
recycling procedures. These requirements are outlined in greater detail in
Section 3 beginning on page 6.
Recycle and Regulated Recycle Flows
Recycle - The act of returning recycle streams to a plant's primary treatment process.
Recycle Flows - Any water, solid or semi-solid generated by a plant's treatment processes, operational
processes, and residual treatment processes that is returned to the plant's primary treatment process.
Also referred to as recycle streams.
Spent Filter Backwash Water - A stream containing particles that are dislodged from filter media
when water is forced back through a filter (backwashed) to clean the filter. Spent filter backwash
water contains particles including coagulants, metals, and microbes such as Cryptosporidium.
Thickener Supernatant - A stream containing the decant from a sedimentation basin, clarifier or
other unit that is used to treat water, solids, or semi-solids from the primary treatment processes. The
"clear water" that exits the units after particles have been allowed to settle out is thickener supernatant
(or sludge thickener supernatant).
Liquids from Dewatering Processes - A stream containing liquids generated from a unit used to
concentrate solids for disposal. Processes may consist of centrifuges, filter presses, belt presses,
vacuum filters, monofills, or other sludge concentrating equipment. Such equipment may be used to
dewater sludge from treatment units used in recycling processes or sludge from units found in the
primary processes.
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SECTION 1
REPORTING REQUIREMENTS
(Rule reference: 40 CFR 141.76(b))
What information must be submitted to the State?
Each system that uses conventional or direct filtration and recycles spent filter backwash
water, thickener supernatant, or liquids from dewatering processes must provide the State
with the following written information by December 8, 2003:
A plant schematic showing the origin of all flows which are recycled, how the flows
are transported, and the location where the flows are reintroduced back into the
treatment process;
Typical recycle flow, highest observed plant flow experienced in the previous year,
and design flow for the treatment plant (all flows must be reported in gallons per
minute); and
The State-approved operating capacity for the plant, if the State has made such a
determination.
The submitted data will be evaluated by the State to determine whether the system's current
recycle return location is acceptable or if the system must make modifications. A system
that fails to submit this information to the State commits a monitoring/reporting violation,
which requires Tier 3 public notification (see box below). Failure to notify the public within
the appropriate time period is a public notification violation. Table 2 lists the information
that must be submitted to the State.
Violations & Public Notification
EPA has assigned each violation and situation requiring public notice to one of three categories, or
tiers, based on the risk of adverse health effects. After you learn of a violation or situation, public
notice must be provided according to the following requirements:
Tier 1 -requires public notice within 24 hours by broadcast media, hand delivery, posting, or another
method to reach others.
Tier 2 - requires public notification within 30 days by mail, hand delivery, or another method to reach
others.
Tier 3 -requires public notification within one year by mail, hand delivery, or another method to
reach others.
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SECTION 2
RECYCLE RETURN LOCATION
(Rule reference: 40 CFR 141.76(c))
Why is the point of return for recycle streams important?
Recycle streams must be introduced at a point in the treatment plant that incorporates all
treatment processes of a conventional or direct filtration system to reduce the opportunity for
recycle practices to adversely affect plant performance. An alternate location may also be
approved by the State. The point of introduction should ensure effective mixing and
thorough dispersion of the recycle stream with raw water prior to subsequent treatment. The
continuous and steady introduction of recycle streams tends to have a much less negative
impact on the water treatment process than the sporadic introduction of larger volume
recycle streams that vary in quality and quantity.
How can a plant that currently does not return its recycle streams through all
treatment processes comply with the FBRR?
A system whose recycle streams currently do not pass through all the direct or conventional
treatment plant's unit processes has two options:
Begin the necessary capital improvements to move the recycle location. Any such
capital improvements must be completed by June 8, 2006.
Request approval of an alternate recycle location. Any requests for alternate recycle
locations must be approved by the State no later than June 8, 2004. If capital
improvements are required to return recycle streams to a State- approved recycle
location, all capital improvements must be completed by June 8, 2006.
What factors will the State consider in deciding whether to approve an
alternate location?
Each State has the flexibility to determine the criteria and factors they will utilize in
evaluating and approving alternate recycle locations. Examples of factors that a State may
use to evaluate requests for alternate recycle locations include (but are not limited to):
Does the plant require recycle to an alternate recycle location to maintain optimal
finished water quality?
Does the plant have unique treatment requirements or processes that require the
return of recycle streams to an alternate location?
Is the plant in compliance with the turbidity limits established in the Interim
Enhanced Surface Water Treatment Rule/Long Term 1 Enhanced Surface Water
Treatment Rule?
What impacts would the use of the alternate recycle location have on treatment
processes and finished water quality?
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What if a proposed or current alternate recycle location has not received
State approval?
If a system returns recycle to a location which does not provide treatment by all
conventional or direct filtration processes (as defined in 40 CFR 141.2) without State
approval, it commits a treatment technique violation which requires Tier 2 public
notification. (See the box on page 3 for a discussion of violation categories.) Failure to
notify the public within the appropriate time frame will result in a public notification
violation. A system has until June 8, 2004, to receive State approval of its alternate recycle
location.
What if a system does not complete capital improvements within the specified
timeperiod?
If capital improvements are required to comply, a system must complete such improvements
no later than June 8, 2006. A system that does not complete capital improvements by the
required date commits a treatment technique violation, which requires Tier 2 public
notification. Failure to notify the public within the appropriate time frame is a public
notification violation.
Are funds (grants, loans, etc.) available for making capital improvements?
No special funds have been set aside for improvements to meet the FBRR. However, the
Drinking Water State Revolving Loan Fund is available to assist in funding infrastructure
upgrades that will ensure safe drinking water. More information about the Drinking Water
State Revolving Loan Fund is available at www.epa.gov/safewater/dwsrf.html. Systems
may also contact the Safe Drinking Water Hotline at 1-800-426-4791, or by e-mail at
hotline-SDWA@epa.gov. EPA also provides funding to States that have primary
enforcement responsibility for their drinking water programs through the Public Water
Systems Supervision (PWSS) grants program. Other Federal funds may be available
through the U.S. Department of Housing and Urban Development Community Development
Block Grant Program and the Rural Utilities Service of the U.S. Department of Agriculture.
Individual States may have other loan or grant programs that could provide additional
funding for necessary capital improvements. Contact your State for more information
regarding such programs.
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TABLE I:
Recycle Return Location Compliance Schedule
If:
Capital improvements are necessary to
relocate the point of recycle return . . .
You are planning to request State approval
for use of an alternate location . . .
You are planning to request State approval
for use of an alternate location AND capital
improvements are necessary . . .
You already return flows through the
processes of your existing conventional or
direct filtration system . . .
(No capital improvements are necessary and
you are not seeking approval for an alternate
location)
You Must:
complete all improvements . . .
receive approval from the State . . .
receive approval from the State for
alternate recycle return location . . .
complete all improvements . . .
meet only the reporting and record-
keeping requirements of the FBRR.
ky:
June 8, 2006
June 8, 2004
June 8, 2004
June 8, 2006
See the Reporting and
Recordkeeping Checklist
on page 8.
SECTIONS
RECORDKEEPING REQUIREMENTS
(Rule reference: 40 CFR 141.76(d))
What additional data must be collected and maintained?
In addition to the information submitted to the State, a system must collect and maintain the
following data to comply with the FBRR.
A copy of all information that is submitted to the State (see Section 1).
A list of recycle streams and the frequency with which they are returned.
Average and maximum backwash flow rates through the filters and the average and
maximum durations of the filter backwash process, in minutes.
Typical filter run length and a written summary of how filter run length is
determined (headloss, turbidity, time, etc.).
The type of treatment provided for the recycle stream before it re-enters the
conventional or direct filtration process.
If applicable, data about the physical dimensions of the equalization or treatment
units, typical and maximum hydraulic loading rates, type of treatment chemicals
used, average dose of chemicals, frequency of chemical addition, and frequency of
solids removal.
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This information must be collected by June 8, 2004. Systems are not required to submit this
information unless requested to do so by the State. However, the information must be
retained and made available at the treatment plant for State review during sanitary surveys,
Comprehensive Performance Evaluations (CPEs), or other site visit activities. After the
State reviews this information, a system may be required to modify its recycling practices.
Failure to comply with the reporting requirements is a recordkeeping violation, which
requires Tier 3 public notification. Failure to notify the public within the appropriate time
frame is a public notification violation. Table 2 provides a list of information the system
must collect and retain.
What are other sources of information on the FBRR and other drinking
water treatment issues?
A number of documents can be found at www.epa.gov/safewater/filterbackwash.html.
The Filter Backwash Recycling Rule - This document contains the preamble and
regulatory language of the Filter Backwash Recycling Rule, as published in the Federal
Register.
The Filter Backwash Recycling Rule Technical Guidance Manual - This document
provides greater detail on many of the topics mentioned in this document.
Copies of these documents may be ordered through EPA's Safe Drinking Water Hotline (1-
800-426-4791), the National Service Center for Environmental Publications (1-800-490-
9198 ), or the National Technical Information Service at (1-800-553-6847) or www.ntis.gov.
EPA's Safe Drinking Water Hotline (1-800-426-4791) can also provide general drinking
water information. You may e-mail the Safe Drinking Water Hotline at hotline-
SD WA@epa.gov. The EPA Office of Ground Water and Drinking Water web page is also a
good source of general drinking water information (www.epa.gov/safewater).
7
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Table 2:
Reporting and Recordkeeping Checklist
Information Qualifying Systems Must Submit to the State by December 8, 2003
Plant Schematic
Origin of recycle streams
Recycle stream transport
Point where recycle stream enters treatment train
Typical recycle flow (in gpm)
Highest observed plant flow (in gpm) for previous year
Design flow for treatment plant (gpm)
State-approved operating capacity
Information Qualifying Systems Must Collect and Retain Onsite by June 8, 2004
Copy of information submitted to the State
List of recycle streams
Frequency with which recycle streams are returned
Average backwash flow rate
Maximum backwash flow rate
Average duration of filter backwash (in minutes)
Maximum duration of filter backwash (in minutes)
Typical filter run length (in minutes)
How is run length determined (turbidity, time, head loss, other)
Type of treatment provided for the recycle flow
Dimensions of equalization unit(s) (if applicable)
Dimensions of treatment unit(s) (if applicable)
Typical/average hydraulic loading rates
Maximum hydraulic loading rates
Type of treatment chemicals used
Average dose of chemicals
Frequency of chemical use
Frequency of solids removal
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Appendix D
Data Entry Instructions
with Examples for the
Filter Backwash
Recycling Rule
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June 2004 D - 2 Implementation Guidance for the FBRR
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Table of Contents
List of Tables D - 4
List of Exhibits D - 4
List of Examples D - 4
List of Figures D - 4
Acronyms and Abbreviations D-5
Section 1 Introduction
Introduction D-9
1.1 What is the Purpose of this Guidance Document? D-9
1.2 How is this Document Organized? D-9
1.3 What is the Benefit of the FBRR? D-9
1.4 What is the General Applicability of the FBRR? D-9
1.5 What is SDWIS and How Does it Work? D - 11
1.6 How is this Document Used? D - 11
Section 2 Federal Reporting Requirements
Federal Reporting Requirements D - 15
2.1 System Notification to the State (Reporting Requirements) D-15
2.2 FBRR Recycle Return (Treatment Technique) Requirements D-15
2.3 Recordkeeping Requirement D - 16
2.4 FBRR Violations D - 16
2.4.1 Monitoring & Reporting (M&R) Violations D - 19
2.4.2 Treatment Technique (TT) Violations D - 25
2.4.3 Recordkeeping Violations D - 30
2.5 FBRR Violation Codes D - 33
2.6 Returned to Compliance and Enforcement Actions D - 33
2.6.1 Associated Violation IDs (Y5000) - Federal Fiscal Year (FY) & Violation
ID Number D - 33
2.7 Public Notice D - 34
2.8 Significant Non-Compliance (SNC) D - 34
Section 3 SDWIS/FED Data Transmittal
SDWIS/FED Data Transmittal D - 37
3.1 Data Transfer Format (DTP) Format D - 37
Section 4 Sources of Additional Information
Sources of Additional Information D - 41
4.1 User Support and Other Resources D - 41
Implementation Guidance for the FBRR D - 3 June 2004
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List of Tables
Table 2-la. Types of Violations Applicable to the FBRR D -17
Table 2-lb. FBRR - SDWIS/FED Violation Entry Information D - 18
Table 2-2. M&R Violations Under the FBRR D - 20
Table 2-3. TT Violations Under the FBRR D - 25
Table 2-4. Recordkeeping Violations Under the FBRR D - 30
Table 3-1. SDWIS/FED DTP Format D - 36
Table 3-2. SDWIS/FED DTP Cl 100 - Violation Record Data Elements D - 37
List of Exhibits
Exhibit 2-1. DTP for Example 2-1. M&R Violation D - 22
Exhibit 2-2. DTP for Example 2-2. M&R Violation D - 24
Exhibit 2-3. DTP for Example 2-3. TT Violation D - 27
Exhibit 2-4. DTP for Example 2-4. TT Violation D - 29
Exhibit 2-5. DTP for Example 2-5. Recordkeeping Violation D - 32
List of Examples
Example 2-1. M&R Violation D - 21
Example 2-2. M&R Violation D - 23
Example 2-3. TT Violation D - 26
Example 2-4. TT Violation D - 28
Example 2-5. Recordkeeping Violation D - 31
List of Figures
Figure 1-1. Recycle Flow Streams D - 10
Figure 2-1. System A Water Treatment Plant D - 19
June 2004
D-4
Implementation Guidance for the FBRR
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Acronyms and Abbreviations
CFR
DBF
DTF
EPA
FBRR
FR
gpm
GWUDI
MCL
M&R
M/DBP Cluster
PWS
PWS-ID
RTC
SDWA
SDWIS/FED
SDWIS/STATE
SNC
Subpart H
TT
Code of Federal Regulations
Disinfection Byproduct
Data Transfer Format
Environmental Protection Agency
Filter Backwash Recycling Rule
Federal Register
Gallons Per Minute
Ground Water Under the Direct Influence of Surface Water
Maximum Contaminant Level
Monitoring and Reporting
Microbial-Disinfectants/Disinfection Byproducts Cluster
Public Water System
Public Water System Identification Number
Return to Compliance
Safe Drinking Water Act
Safe Drinking Water Information System/Federal Version
Safe Drinking Water Information System/State Version
Significant Non-Compliance
PWS using surface water or ground water under the direct influence of
surface water
Treatment Technique
Implementation Guidance for the FBRR
D-5
June 2004
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June 2004 D - 6 Implementation Guidance for the FBRR
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Section 1
Introduction
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June 2004 D - 8 Implementation Guidance for the FBRR
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Introduction
1.1 What is the Purpose of this Guidance Document?
The purpose of this document is to define the reporting requirements and related Safe Drinking Water
Information System/Federal Version (SDWIS/FED) Data Transfer Format (DTP) file layout for
information required under the Filter Backwash Recycling Rule (FBRR) published in the Federal Register
on June 8, 2001 (66 FR 31086). This document addresses the requirements for State reporting to EPA
regarding violations of reporting, recycle return location (treatment technique) and recordkeeping, as well
as return to compliance data. Such reporting is required under Section 1445 of the Safe Drinking Water
Act (SDWA) and 40 CFR 142.15.
In this guidance, the term "State" refers to primacy agencies including both States and Indian Tribes with
primacy (e.g., the Navajo Nation).
This guidance document is designed for use by State program officials. However, States may, at their
discretion, share components of this guidance with public water systems (PWSs), drinking water
laboratories, and others in the drinking water community.
1.2 How is this Document Organized?
The document includes an introduction in Section 1 and three additional sections as follows: Section 2
discusses SDWIS/FED reporting requirements for the FBRR; violation determination; when, where and
what to report; and provides five examples of violation types applicable to the FBRR. Section 3 provides
SDWIS/FED Data Transmittal information. Section 4 describes additional resources for information on
the FBRR.
1.3 What is the Benefit of the FBRR?
The FBRR is part of a series of rules, the "Microbial-Disinfectants/Disinfection Byproducts Cluster"
(M-DBP Cluster) that are intended to control microbial pathogens while minimizing the public health
risks of disinfectants and disinfection byproducts (DBPs). The FBRR is designed to further protect public
health by requiring PWSs, where needed, to institute changes to the return of recycle flows to a plant's
treatment process that may otherwise compromise microbial control.
1.4 What is the General Applicability of the FBRR?
The FBRR applies to PWSs that meet all of the following criteria:
Subpart H systems (systems using surface water or groundwater under the direct
influence of surface water [GWUDI]).
Employ direct or conventional filtration treatment processes.
Recycle any of the following:
Spent filter backwash.
Thickener supernatant.
Liquids from dewatering processes.
Implementation Guidance for the FBRR D - 9 June 2004
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The regulated waste streams are described below and illustrated in Figure 1-1: Recycle Flow Streams.
Thickener supernatant and liquids from dewatering processes are not as commonly used in direct filtration
plants but are still regulated if recycled at these facilities.
Spent filter backwash is a waste stream containing particles that are dislodged from filter media
when water is forced back through a filter (backwashed) to clean the filter. Spent filter backwash
water contains particles including coagulants, metals, and microbes such as Cryptosporidium.
Spent filter backwash water does not include water used in a filter-to-waste process, unless the
filter-to-waste water is combined with the spent filter backwash water prior to its return to the
plant.
Thickener supernatant (or sludge thickener supernatant) is a waste stream containing the decanted
water from a sedimentation basin, clarifier, or other unit used to treat waste streams generated in
the water treatment process. Such units may be used to treat spent filter backwash water, or
sludge solids or semi-solids from a clarifier or sedimentation basin. The water that exits the units
after particles have been allowed to settle out is thickener supernatant.
Liquids from dewatering processes are waste streams containing liquids generated from a unit
used to concentrate solids for disposal. Such solids concentration units may consist of
centrifuges, filter presses, belt presses, vacuum filters, monofills (sludge-only landfill), or other
sludge concentrating equipment. Such equipment may be used to dewater sludge from treatment
units used in waste stream treatment processes or sludge from units found in the primary
processes.
Figure 1-1. Recycle Flow Streams
* Liquids from dewatering processes
are typically returned to a clarifier or
other basin prior to recycle
** Solids should be
removed from spent filter
backwash prior to recycle
June 2004
D-10
Implementation Guidance for the FBRR
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1.5 What is SDWIS and How Does it Work?
SDWIS/FED (Safe Drinking Water Information System/Federal Version) is an EPA national database
storing routine information about the Nation's drinking water.
States supervise the drinking water systems within their jurisdictions to implement and enforce the
SDWA and State and Federal drinking water regulations. The SDWA requires reporting drinking water
information periodically to EPA. This information is maintained in SDWIS/FED.
States report the following information to EPA:
I. Basic information on each water system, including: name, Public Water System
Identification Number (PWSID), number of people served, type of system (year-round or
seasonal), and source of water (ground water or surface water).
II. Violation information for each water system: whether it has failed to follow established
monitoring and reporting schedules, complied with mandated treatment techniques, or
violated any Maximum Contaminant Levels (MCLs).
III. Enforcement information: what actions States have taken to ensure that drinking water
systems return to compliance if they are in violation of a drinking water regulation.
IV. Monitoring results for unregulated contaminants and for regulated contaminants in
certain instances when the monitoring results exceed the MCL.
EPA uses this information to determine if and when it needs to take action against non-compliant
systems, oversee State drinking water programs, track contaminant levels, respond to public inquiries, and
prepare national reports. EPA also uses this information to evaluate the effectiveness of its programs and
regulations, and to determine whether new regulations are needed to further protect public health.
1.6 How is this Document Used?
Primacy Agency personnel should evaluate whether each system needs to comply with the provisions of
the FBRR. For those systems required to comply with the FBRR, this document provides information on
how to report compliance for each FBRR requirement (e.g., required system reporting to the State,
system public notice, and reporting by the State to SDWIS/FED). The descriptions of the example
system scenarios in this document include the information necessary to determine compliance with the
requirements of the FBRR. Example SDWIS/FED data transfer format (DTP) tables show how the data
describing violations of the FBRR are to be encoded to be entered into the SDWIS/FED system.
Implementation Guidance for the FBRR D - 11 June 2004
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June 2004 D - 12 Implementation Guidance for the FBRR
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Section 2
Federal Reporting
Requirements
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June 2004 D - 14 Implementation Guidance for the FBRR
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Federal Reporting Requirements
This section discusses the SDWIS/FED FBRR reporting requirements for the PWSs to which the FBRR
applies. Compliance, violations, follow-up and enforcement actions, and "return to compliance"
reporting requirements are defined.
2.1 System Notification to the State (Reporting Requirements)
Under the FBRR, any conventional or direct filtration water treatment plant that uses either surface water
or GWUDI and recycles spent filter backwash water, thickener supernatant, or liquids from dewatering
processes is required to notify the State in writing by December 8, 2003 that they practice recycling (40
CFR 141.76(b)). Systems must include the following information:
1. A plant schematic showing the origin of all recycle streams including the hydraulic
conveyance used to transport the recycled flows and the location where they are recycled
back into the plant;
2. The typical recycle flow (in gallons per minute [gpm]);
3. The highest observed plant flow experienced in the previous year (in gpm);
4. The water treatment plant design flow (in gpm); and
5. The State-approved operating capacity for the plant (if the State has made that
determination).
Additional information including treatment or equalization of the recycle stream, operational practices
such as when the recycle stream is introduced into the main line (e.g., during minimum plant flow),
changes in the main treatment process to accommodate recycle flows such as increased chemical addition,
and any other pertinent information regarding recycle streams may also be submitted with the required
information to assist States in understanding the affects recycle streams have on individual systems.
2.2 FBRR Recycle Return (Treatment Technique) Requirements
Any conventional or direct filtration water treatment plant that recycles spent filter backwash water,
thickener supernatant, or liquids from dewatering processes is required by the FBRR to return these
streams to a defined location by June 8, 2004 (40 CFR 141.76(c)). More specifically, systems are
required to direct recycled streams to a location that allows the recycled water to be processed by each
unit operation of a direct or conventional filtration system as defined in 40 CFR 141.2 or to an alternate
location approved by the State.
Systems that already have their recycle stream return line in an acceptable location, whether it be before a
direct or conventional filtration treatment train or an alternate location approved by the State, will be
compliant with the recycle return requirement (referred to in the remainder of the document as the
treatment technique [TT] requirement). However, if capital improvements are required in order to be in
compliance under the TT requirement, the FBRR allows systems an additional 24 months from the
original requirement date of June 8, 2004 to make the appropriate improvements. Therefore, capital
improvements must be completed by June 8,2006 to comply with the FBRR.
Implementation Guidance for the FBRR D - 15 June 2004
-------
2.3 Recordkeeping Requirement
Beginning June 8, 2004, systems must collect, and retain on file, recycle flow information for review and
evaluation by the State (40 CFR 141.76(d)). The information includes:
1. A copy of the recycle notification and information submitted to the State under 40 CFR
141.76(b);
2. A list of all recycle flows and frequency with which they are returned, the average and
maximum backwash flow rate through the filters and the duration of the filter backwash
process (in minutes);
3. Typical filter run lengths (in minutes) and a written summary of how filter run-length is
determined;
4. The type of treatment provided for the recycle flow; and
5. The data describing on the treatment process used for recycle flows, including the
physical dimensions of the equalization and/or treatment units, the typical maximum
hydraulic loading rates, the types of treatment chemicals used and the average dose and
frequency of use, and solid removal frequencies, if applicable.
The FBRR does not directly specify the length of time files should be kept on record. However, files
should be kept for the length of time required by the State or at least until State officials have the
opportunity to review them such as during a sanitary survey or other inspection/activity. EPA does
recommend that recycle flow information be retained on file for a minimum of 10 years.
2.4 FBRR-Violations
In general, SDWIS/FED accepts the entry of a violation only one time, for each type of violation, for each
compliance period even though the PWS may have had multiple violations of the same type and for
the same compliance period. State files must maintain a record of each of the PWS's multiple FBRR
violations. Since all the FBRR violations are defined as open-ended, (i.e., the water system is out of
compliance until it meets "returned to compliance" criteria), then in most situations, only one violation is
to be reported per water system, when incurred.
States must report monitoring and reporting (M&R), TT, and recordkeeping violations to SDWIS/FED
within 45 days of the end of the quarter in which the State learns of the violation. Tables 2-la and 2-lb
provide guidance about the violation fields that need to be reported for each of the violations. This
section of the document provides details for construction of the violation transactions for transmission to
EPA. Additional detailed transaction coding instructions are contained in the SDWIS/FED Data Entry
Instructions.
»*«*'
June 2004 D - 16 Implementation Guidance for the FBRR
-------
o
n
Table 2-1 a. Types of Violations Applicable to the FBRR
Violation Definition
Description
Major/
Minor
Violation Type
Details
Type 39/0500
A failure to provide written notification to the
State, including all required elements of
information, that regulated waste streams are
recycled (that the facility practices recycling of
regulated waste streams).
Report
one violation per
water system.
Major
Monitoring &
Reporting
Report the statute's effective date of December 8,
2003 for system reporting requirements as the
Compliance Period Begin Date.
Do not report a Compliance Period End Date
until the date is known and then report it as a
"returned to compliance" enforcement action and
link it to the original M&R violation.
Type 40/0500
A failure to return recycled flows through all
process elements of a system's existing
conventional or direct filtration system (as
defined in 40 CFR 141.2) or to an alternative
process location properly approved by the State
no later than June 8, 2004.
Report
one violation per
water system.
N/A
Treatment
Technique
Report the statute's effective date of June 8, 2004
for system reporting requirements as the
Compliance Period Begin Date. Do not report a
Compliance Period End Date until the date is
known and then report it as a "returned to
compliance" enforcement action and link it to the
original TT violation.
Type 40/0500
A failure to complete, by no later than June 8,
2006, the capital improvements required to
modify the recycle location to return recycle
flows through all process elements (as defined
in 40 CFR 141.2) or to a State-approved
alternative location.
Report
one violation per
water system.
N/A
Treatment
Technique
Report the statute's effective date of June 8, 2006
for system reporting requirements as the
Compliance Period Begin Date. Do not report a
Compliance Period End Date until the date is
known and then report it as a "returned to
compliance" enforcement action and link it to the
original TT violation.
Type 09/0500
A failure to collect and retain on file for
inspection by the State recycle flow information
as described in 40 CFR 141.76, beginning no
later than June 8, 2004.
Report
one violation per
water system.
N/A
Recordkeeping
Failure to collect and retain on file certain recycle
flow information.
Implementation Guidance for the FBRR
D-17
June 2004
-------
Table 2-lb. FBRR - SDWIS/FED Violation Entry Information
Violation Description
A failure to provide written notification
to the State, including all required
elements of information, that regulated
waste streams are recycled (that the
facility practices recycling of regulated
waste streams).
A failure to return recycled flows
through all process elements of a
system's existing conventional or direct
filtration system (as defined in 40 CFR
141.2) or to an alternative process
location properly approved by the State
no later than June 8, 2004.
A failure to complete, by no later than
June 8, 2006, the capital improvements
required to modify the recycle location
to return recycle flows through all
process elements (as defined in 40 CFR
141.2) or to a State-approved alternative
location.
A failure to collect and retain on file for
inspection by the State recycle flow
information as described in 40 CFR
141.76, beginning to later than June 8,
2004.
Type of
Violation
M&R
XT
TT
Record-
keeping
Contaminant
Code
(C1103)
0500
0500
0500
0500
Type
Code
(C1105)
39
40
40
09
Compliance
Period Begin
Date
(C1107)
12/8/2003
(20031208)
6/8/2004
(20040608)
6/8/2006
(20060608)
6/8/2004
(20040608)
Compliance Period
End Date
(C1109)
Do not report an end date. When
the water system meets the
returned to compliance criteria,
enter the returned to compliance
enforcement action and link it to
the original violation.
Do not report an end date. When
the water system meets the
returned to compliance criteria,
enter the returned to compliance
enforcement action and link it to
the original violation.
Do not report an end date. When
the water system meets the
returned to compliance criteria,
enter the returned to compliance
enforcement action and link it to
the original violation.
Do not report an end date. When
the water system meets the
returned to compliance criteria,
enter the returned to compliance
enforcement action and link it to
the original violation.
Major
Violation
Indicator
(C1131)
Always major
Do not report
Do not report
Do not report
June 2004
D-18
Implementation Guidance for the FBRR
-------
The SDWIS/FED filter backwash recycle contaminant code for violation reporting is 0500.
Types of violations for the FBRR are described in the following sections.
System A is used as an example to illustrate various types of M&R, TT, and recordkeeping violations in
the following sections. System A recycles spent filter backwash water, liquids from dewatering
processes, and thickener supernatant to a location in the treatment process which is after coagulation but
prior to the filtration unit process in this filtration plant (Figure 2-1).
Figure 2-1. System A Water Treatment Plant
Raw
Water
Intake
Chlorine
Alum
..I
Supernatant
Recycle
,_ Filter Filtered Water
Backwash J~~__
Supernatant
I 1
Sludge
Thickener] ==-
^"^"*^ ^^^^ Sludge
11 Sludge ^ ThWce
\^
_>To
Clearwell Distrtoution
4 k
Supernatant Pressale
Poymor Cake to
3r I __fc Rftlt priMua; 1**. .-...
i II* woitKroiKi Landfttt
' \ 1
Sludge
2.4.1 Monitoring & Reporting (M&R) Violations
General Discussion of Monitoring and Reporting (M&R) Violations
Because M&R requirements relate to gathering and reporting information, the violation associated with
the system notification to the State requirement (also known as the reporting requirement) is defined as a
M&R violation. SDWIS/FED M&R violations are expressed with severity indicators of Major or
Minor. There are no Minor M&R violations associated with the FBRR.
M&R violations of the FBRR are reported for Subpart H systems that have failed to notify the State in
writing by December 8, 2003 if they employ conventional filtration or direct filtration treatment and
recycle spent filter backwash water, thickener supernatant, or liquids from dewatering processes in
accordance with 40 CFR 141.76(b)(l)&(2). An M&R violation for the FBRR is incurred when a system
fails to submit the written notification with all the required information described in Section 2.4 of this
document by December 8, 2003.
The contaminant code 0500 is utilized for the FBRR violations reported to SDWIS/FED. Only one M&R
violation may be reported for a water system for each violation type.
Implementation Guidance for the FBRR
D-19
June 2004
-------
In SDWIS/FED, the FBRR M&R violations will have a beginning date of December 8, 2003. The ending
date is considered "open ended" until the system meets the FBRR requirement and is based on the return
to compliance (RTC) definition (Section 2.6).
Table 2-2. M&R Violations Under the FBRR
Violation
Code
39
Contaminant
Code
0500
Monitoring and Reporting Violations
Major: Failure to notify the State in writing
and include all informational elements by
December 8, 2003 if the system employs
conventional filtration or direct filtration
treatment and recycles spent filter backwash
water, thickener supernatant, or liquids from
dewatering processes.
Section Where Discussed in
This Document
Section 2.4
'-««*"
June 2004
D-20
Implementation Guidance for the FBRR
-------
Example 2-1. M&R Violation
The State Agency reviewed their files on January 1, 2004 and determined that System A (SA1234567)
had not submitted the required notification, in writing, to the State that they were recycling spent filter
backwash, thickener supernatant, and liquids from the dewatering process by the reporting requirement
deadline of December 8, 2003.
Violation Determination:
System A failed to submit notification to the State by December 8, 2003 that they are recycling. As a
result, the system has incurred a M&R violation. Under the FBRR, all M&R violations are considered
Major.
The State would then report the following violation information:
FBRR Major M&R Violation incurred in December of 2003.
Return To Compliance:
System A submits the notification in writing with additional required information on February 26, 2004
and is returned to compliance.
The DTP transactions for the violation and RTC are shown in Exhibit 2-1.
Implementation Guidance for the FBRR D - 21 June 2004
-------
Exhibit 2-1. DTF for Example 2-1. M&R Violation
Data Elements:
NumberName Value or Comment
C0101 PWS-ID Qualifier 1
CHOI Violation ID Qualifier 2
C1103 Contaminant 0500
C1105 Violation Type 39
Cl 107 Compliance Period Begin Date 2003 1208
C 1 1 09 Compliance Period End Date A date should not be provided with the
original violation report to SDWIS/FED.
SDWIS/FED processing will generate a
default date of 1 2/3 1 720 1 5 . When the State
has determined that the PWS has returned to
compliance, then the State should submit a
"returned to compliance" enforcement action
and link it to the original monitoring and
reporting violation. The date of the action
should be the date the State made that
determination. SDWIS/FED processing will
modify the end date of the original violation
to be the same date as the "returned to
compliance" reported.
C1203 Enforcement Action Date 20040226
C1205 Enforcement Follow-Up Action SOX (Returned to compliance)
Y5000 Associated Violation ID 04 1 1 222
DTF Transactions:
1-2, 3-11 12^18 lt*25 :-!
Dl SA1234567 411222
Dl SA1234567 411222
Dl SA1234567 411222
El SA1234567 400359
El SA1234567 400359
El SA1234567 400359
16 1 27,31 32-71 1 72-74 1 75-80
i cno3 iosoo
1
I C1105 J39
I C1107 J20031208
-; .. 4 ;!',:.;>: - .,_"-.
'. '. '' "' Y'|<']»'| '-'' ' " ~ ' ' ,
I C1203 S20040226
I C1205 isOX
I Y500oi411222
June 2004
D-22
Implementation Guidance for the FBRR
-------
Example 2-2. M&R Violation
On December 1, 2003 System A submitted notification, in writing, to the State that they were recycling
spent filter backwash water, thickener supernatant and liquids from dewatering processes and included the
required schematic of recycle streams and water treatment plant design flow information. However, on
January 15, 2004 the State reviewed the system's files and became aware that the system had failed to
submit the typical recycle flow information and the State-approved operating capacity of the plant. The
State notified System A of the missing information on January 15, 2004.
Violation Determination:
Although System A met the December 8, 2003 deadline for notification, System A failed to include all of
the required information when it submitted notification to the State that they were recycling. As a result,
the system has incurred an M&R violation. Under the FBRR, all M&R violations are considered Major.
The State would then report the following violation information:
FBRR Major M&R Violation incurred in December of 2003.
Return To Compliance:
System A resubmits the notification in writing with all of the additional required information, including
the typical recycle flow information and the State-approved operating capacity for the plant on March 1,
2004 and is returned to compliance.
The DTP transactions for the violation and RTC are shown in Exhibit 2-2.
Implementation Guidance for the FBRR D - 23 June 2004
-------
Exhibit 2-2. DTF for Example 2-2. M&R Violation
Data Elements:
NumberName
Value or Comment
C0101 PWS-ID Qualifier 1
CHOI Violation ID Qualifier 2
C1103 Contaminant 0500
C1105 Violation Type 39
Cl 107 Compliance Period Begin Date 2003 1208
C1109 Compliance Period End Date A date should not be provided with the
original violation report to SDWIS/FED.
SDWIS/FED processing will generate a
default date of 12/31/2015. When the State
has determined that the PWS has returned to
compliance, then the State should submit a
"returned to compliance" enforcement action
and link it to the original monitoring and
reporting violation. The date of the action
should be the date the State made that
determination. SDWIS/FED processing will
modify the end date of the original violation
to be the same date as the "returned to
compliance" reported.
C1203 Enforcement Action Date 20040301
C1205 Enforcement Follow-Up Action SOX (Returned to compliance)
Y5000 Associated Violation ID 0400012
DTF Transactions:
.-.;-:. '. .-vv. .< f j
:,|^;\!: "341 ;^|||i:|»4$|3
Dl SA1234567 ! 400012 !
Dl SA1234567 \ 400012 !
Dl SA 1234567 ! 400012 !
j j
El SA 1234567 ! 400903 ! !
I
El SA1234567 \ 400903 ! \
j
El SA1234567 \ 400903 \ \
i i I
- 1 , ; , '.
*|;;;ipi, { . :'3*^:^ ;
I C1103 !0500
I C1105 !39
I C1107 120031208
ti
I ! C1203 !20040301
I ! C1205 ISOX
I ! Y5000 !400012
- ' ",
^*. J:- ./ if&m
**.'',' :.'. --'fw?8*'
f*t. : > > % ' ' v« '
. j. .'"','
1
1
1
1
1
1
1
June 2004
D-24
Implementation Guidance for the FBRR
-------
2.4.2 Treatment Technique (TT) Violations
General Discussion of Treatment Technique Violations
Treatment technique violations are reported for any one of a number of required actions which a water
system fails to take, when it fails to meet prescribed performance standards, or when it performs
incorrectly or incompletely. All FBRR violations are reported as violations of the FBRR, rather than of a
specific contaminant. The contaminant code 0500 is utilized for the FBRR violations reported to
SDWIS/FED.
Table 2-3. TT Violations Under the FBRR
Violation
Code
Contaminant
Code
Treatment Technique Violations
Section Where Discussed in
This Document
40
0500
Failure to return recycled flows through the
processes of the system's existing
conventional or direct filtration system (as
defined in § 141.2) or at an alternative
location properly approved by the State by
June 8, 2004.
Section 2.4
40
0500
Failure to complete, by June 8, 2006, the
capital improvements required to modify the
recycle location to return recycle flows to the
processes of its conventional or direct
filtration system (as defined in §141.2) or at
an alternative location. The alternative
location must be approved by the State and
construction of that location must be
completed by June 8, 2006.
Section 2.4
In accordance with 40 CFR 141.76(c), Subpart H systems that employ conventional filtration or direct
filtration treatment and recycle spent filter backwash water, thickener supernatant, or liquids from
dewatering processes are required to return the recycled stream to a defined location or location approved
by the State.
In SDWIS/FED, FBRR TT violations will have a beginning date on or after June 8, 2004 for systems not
requiring capital improvements and on or after June 8, 2006 for systems needing capital improvements to
meet the requirement. The ending date is considered "open ended" until the system meets the FBRR
requirement and is based on the RTC definition (Section 2.6).
Implementation Guidance for the FBRR
D-25
June 2004
-------
Example 2-3. TT Violation
The State Agency conducted a sanitary survey, reviewed their files July 1, 2004 and determined that
System A is recycling spent filter backwash, thickener supernatant, and liquids from dewatering processes
through a location that is not before all processes of the direct filtration treatment train, as shown in
Figure 2-1. The system has not obtained State approval for use of an alternative recycling location and is
not pursuing capital improvements.
Violation Determination:
System A failed to recycle the regulated streams at a location that incorporates all direct filtration
processes and did not receive State approval by June 8, 2004 for an alternate recycle return location. The
system has incurred a TT violation.
The State would then report the following violation information:
FBRR TT Violation incurred in June of 2004.
Return To Compliance:
System A submitted an application for an alternate recycle location after the sanitary survey and obtained
State approval for the alternative location on August 10, 2004. System A is returned to compliance on
August 10, 2004.
The DTP transactions for the violation and RTC are shown in Exhibit 2-3.
June 2004 D -26 Implementation Guidance for the FBRR
-------
Exhibit 2-3. DTP for Example 2-3. TT Violation
Data Elements:
NumberName
Value or Comment
C0101
CHOI
C1103
C1105
C1107
C1109
PWS-ID
Violation ID
Contaminant
Violation Type
Compliance Period Begin Date
Compliance Period End Date
C1203
C1205
Y5000
Enforcement Action Date
Enforcement Follow-Up Action
Associated Violation ID
Qualifier 1
Qualifier 2
0500
40
20040608
A date should not be provided with the
original violation report to SDWIS/FED.
SDWIS/FED processing will generate a
default date of 12/31 /2015. When the State
has determined that the PWS has returned to
compliance, then the State should submit a
"returned to compliance" enforcement action
and link it to the original treatment technique
violation. The date of the action should be
the date the State made that determination.
SDWIS/FED processing will modify the end
date of the original violation to be the same
date as the "returned to compliance"
reported.
20040810
SOX (Returned to compliance)
0401234
DTF Transactions:
1-2
Dl
Dl
Dl
El
El
El
3-11
SA1234567
SA1234567
SA1234567
SA1234567
SA1234567
SA1234567
12-1*
401234
401234
401234
:
. . .
'
400251
400251
400251
19-2S
26
I
I
I
I
I
I
27-31
C1103
C1105
C1107
C1203
C1205
Y5000
32-71 _ -
0500
40
20040608
' '
20040810
SOX
401234
72-
74
-
75-80
.
Implementation Guidance for the FBRR
D-27
June 2004
-------
Example 2-4. TT Violation
As shown in Figure 2-1, System A is NOT recycling their recycle streams prior to or at the point of
coagulation, therefore, their recycle location is an alternate location. The system applied to the State on
May 12, 2004 for approval of an alternate location, but the State denied approval for the alternate
location. Capital improvements are required to re-locate the chlorine and alum addition with rapid mix to
a point downstream of the recycle stream return location. When capital improvements are needed, the
FBRR requires the system to complete capital improvements by June 8, 2006. On June 20, 2006, the
system notified the State that it would not complete the capital improvements until late September 2006.
On September 30, 2006 the State reviewed a sanitary survey of System A performed September 25, 2006.
During the review, the State learned that the capital improvements had been completed on September 22,
2006.
Violation Determination:
System A failed to complete capital improvements by June 8, 2006. Therefore, the system has incurred a
TT violation.
The State would then report the following violation information:
FBRR TT Violation incurred in June of 2006.
Return To Compliance:
System A completed all capital improvements by September 22, 2006 and is returned to compliance.
The DTP transactions for the violation and RTC are shown in Exhibit 2-4.
June 2004 D - 28 Implementation Guidance for the FBRR
-------
Exhibit 2-4. DTF for Example 2-4. TT Violation
c
Data Elements:
NumberName Value or Comment
CO 101 PWS-ID
CHOI Violation ID
C1103 Contaminant
Qualifier 1
Qualifier 2
0500
C1105 Violation Type 40
C 11 07 Compliance Period Begin Date 20060608
C 1 1 09 Compliance Period End Date A date should not be provided with the
original violation report to SDWIS/FED.
SDWIS/FED processing will generate a
default date of 12/31/2015. When the State
has determined that the PWS has returned to
compliance, then the State should submit a
"returned to compliance" enforcement action
and link it to the original treatment technique
violation. The date of the action should be
the date the State made that determination.
C 1 203 Enforcement Action Date
SDWIS/FED processing will modify the end
date of the original violation to be the same
date as the "returned to compliance"
reported.
20060922
C1205 Enforcement Follow-Up Action SOX (Returned to compliance)
Y5000 Associated Violation ID 0602123
DTF Transactions:
i i
1-2 I 3-11 \ i2-m IMS is
Dl SA 1234567 602123 I
Dl SA1234567 602123 I
Dl SA1234567 602123 I
El SA1234567 600416 I
El SA1234567 600416 I
El SA1234567 600416 ! I
i
27-31 32-71 , :
C1103 !0500
C1105 J40
i
C1107 120060608
j
i -
C1203 i20060922
C1205 isOX
Y5000 602123
72-
74: ...:.
Implementation Guidance for the FBRR
D-29
June 2004
-------
Exhibit 2-5. DTP for Example 2-5. Recordkeeping Violation
Data Elements:
NumberName
Value or Comment
C0101
CHOI
C1103
C1105
C1107
C1109
C1203
C1205
Y5000
PWS-ID
Violation ID
Contaminant
Violation Type
Compliance Period Begin Date
Compliance Period End Date
Enforcement Action Date
Enforcement Follow-Up Action
Associated Violation ID
Qualifier 1
Qualifier 2
0500
09
20040608
A date should not be provided with the
original violation report to SDWIS/FED.
SDWIS/FED processing will generate a
default date of 12/3172015. When the State
has determined that the PWS has returned to
compliance, then the State should submit a
"returned to compliance" enforcement action
and link it to the original recordkeeping
violation. The date of the action should be
the date the State made that determination.
SDWIS/FED processing will modify the end
date of the original violation to be the same
date as the "returned to compliance"
reported.
20041003
SOX (Returned to compliance)
0412322
o
o
o
June 2004
D-32
Implementation Guidance for the FBRR
-------
2.5 FBRR Violation Codes
The SDWIS/FED violation type code, name and descriptions applicable to the FBRR are listed in Table
2-la.
For each filter backwash recycling violation listed in Table 2-la, the State must report the following data
to SDWIS/FED. Section 3 - SDWIS/FED Data Transmittal explains these data elements in more detail.
A PWS-ID for the water system that has incurred the violation
A unique violation ID
A code identifying the contaminant for which the violation applies - 0500 for FBRR
A code describing the type of violation - 39, 40, or 09 for M&R, TT, and recordkeeping
violations respectively.
Calendar date of the beginning of the compliance period
For M&R violations only, a code designating whether the violation is Major or Minor -
the FBRR M&R code must be designated as Major in all instances.
2.6 Returned to Compliance and Enforcement Actions
When a system incurs a M&R, TT, or recordkeeping violation has been incurred, it must be reported to
SDWIS/FED. In addition, the State must report that a system has returned to compliance within 45 days
of the end of the quarter in which the State determines that the violation has been appropriately resolved.
Return To Compliance (RTC) is defined for an M&R violation as a system that is reporting in accordance
with requirements. RTC is defined for a TT violation as the date that the recycle stream return location is
moved to the required location (including any necessary capital improvements, if applicable) in
accordance with the requirements. RTC is defined for a recordkeeping violation as a system that is
collecting and retaining recycle flow information in accordance with the requirements.
In addition, all formal enforcement actions taken against systems in violation of the FBRR are required to
be reported to SDWIS/FED. Both "returned to compliance" and formal enforcement actions must be
linked to the specific violation(s) they address. The following describes the appropriate ways in which
enforcement and follow-up actions, both formal and informal (including returned to compliance), may be
linked to FBRR violations.
2.6.1 Associated Violation IDs (Y5000) - Federal Fiscal Year (FY) & Violation ID Number
Entering the specific violation ID(s) to which the enforcement action is related will establish a link
between the enforcement record and each violation record matching the specific violation ID. If no links
are established (reported violation IDs not found/matched on the data base) the enforcement record will
be rejected.
Refer to the SDWIS/FED Data Entry Instructions for more detailed information.
Implementation Guidance for the FBRR D - 33 June 2004
-------
2.7 Public Notice
Systems must provide public notice for violations. FBRR M&R violations and recordkeeping violations
require a Tier 3 public notice (40 CFR 141.204(a)) to be provided as soon as practicable, but no later than
12 months after the system learns of the violation (40 CFR 141.204(b)(l)). Tier 3 notices are to be
repeated annually for as long as the violation or situation exists. The public notice can also be included in
the system's annual Consumer Confidence Report detailing all violations and situations that occurred
during the previous twelve months, as long as the report is available within 12 months of when the system
leams of the violation (40 CFR 141.204(b)(2)).
FBRR TT violations require a Tier 2 public notice (40 CFR 141.203(a)) to be provided as soon as
practicable, but no later than 30 days after the system learns of the violation. The public notice must be
repeated every three months as long as the violation persists, unless the State determines a different
frequency in writing (40 CFR 141.203(b)).
Within ten days of completing the public notification requirements under 40 CFR Subpart Q, the PWS
must certify to the State "that it has fully complied with the public notification regulations" and include a
representative copy of each type of notice distributed, published, posted and made available to the persons
served by the system and to the media (40 CFR 141.31(d) as revised May 4, 2000 (65 FR 25982)).
Refer to the Final State Implementation Guidance for the Public Notification Rule (EPA-816-R-01-010,
October 2001) for more detailed information.
2.8 Significant Non-Compliance (SNC)
A Public Water System (PWS) is in significant noncompliance of the SDWA Filter Backwash Recycling
Rule (FBRR) if it violates the requirements of the rule by a:
Failure to recycle at an approved location by June 8, 2004, or
Failure to make the required capital improvements by June 8, 2006.
Return to Compliance (RTC) is accomplished by the public water system's recycling of all regulated
recycling streams to an approved location, or finalization of the required capital improvements.
Refer to the SDWIS/FED Data Entry Instructions and the SDWIS/FED Significant Non-Compliance
Specifications for more detailed information.
June 2004 D - 34 Implementation Guidance for the FBRR
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Section 3
SDWIS/FED Data
Transmittal
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June 2004 D - 36 Implementation Guidance for the FBRR
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SDWIS/FED Data Transmittal
3.1 Data Transfer Format (DTF) Format
The DTF is the only format by which data can be entered into the SDWIS/FED data base.
Each DTF record is 80 characters in length and has the following format:
Definition
Form ID
Qualifier 1
Qualifier 2
Qualifier 3
Action Code
Data Element Number
Data Value
Reserved for SDWIS/FED
Batch Sequence Number
Positions
1 -2
3-11
12-18
19-25
26
27-31
32-71
72-74
75-80
Example
Dior El*
PWS-ID
VIOLATION-ID
D, I, or M**
Cnnnn
NNNNNN***
* Dl is Violation Data, El is Enforcement Data
** D = DELETE, I = INSERT, and M = MODIFY
*** A format of MMDDYY is highly recommended
Table 3-1. SDWIS/FED DTF Format
Form
ID
37622
Data Address Qualifiers
Quail
3-11
Qual2
12-18
Qual3
19-25
Act.
Code
26
Data Elem.
Num.
27-31
Data Value
32-71
N/A
72-74
Batch Sequence
Number
75-80
Implementation Guidance for the FBRR
D-37
June 2004
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The following table presents the SDWIS/FED violation record data elements for reporting FBRR
violations.
Table 3-2. SDWIS/FED DTF C1100 - Violation Record Data Elements
DTF
Number
C101
cnoi
C1103
C1105
C1107
C1109
C1131
Format
Character 9
Character 7
Character 4
Character 2
Date 8
(YYYYMMDD)
Date 8
(YYYYMMDD)
Character 1
Description
PWS-ID
Violation ID
Contaminant Code
Violation Type Code
Compliance Period Begin Date
Compliance Period End Date
Major Violation Flag Code
Permissible Values
Must be included within
SDWIS/FED inventory
Characters 1 & 2 must be the
Federal FY in which the State
became aware of the violation
0500 - Filter Backwash Recycling
39 - M&R
40 -TT
09 - Recordkeeping
Date compliance period begins
Date compliance period ends
Y - Yes for Major
June 2004
D-38
Implementation Guidance for the FBRR
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Section 4
Sources of Additional
Information
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June 2004 D - 40 Implementation Guidance for the FBRR
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Sources of Additional Information
4.1 User Support and Other Resources
Additional technical information on SDWIS/FED reporting information can be obtained by contacting
SDWIS/FED User Support at (703) 292-6121 or from the following resources:
Implementation Guidance for the Filter Backwash Recycling Rule (EPA-816-R-03-020,
December 2003)
Filter Backwash Recycling Rule: A Rule Summary for Systems (EPA 816-R-02-013,
June 2002)
Filter Backwash Recycling Rule Technical Guidance Manual (EPA 816-R-02-014,
December 2002)
Final State Implementation Guidance for the Public Notification Rule (EPA-816-R-01 -
010, October 2001)
Consolidated Summary of State Reporting Requirements for the Safe Drinking Water
Information System (SDWIS)
SD WIS/FED Data Entry Instructions
SD WIS/FED Online Data Dictionary
SDWIS/FED Significant Non-Compliance Specifications
Implementation Guidance for the FBRR D-41 June 2004
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June 2004 D - 42 Implementation Guidance for the FBRR
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