LEARNING GUIDE
FOR
STATE/LOCAL
DRINKING WATER AGREEMENTS
Developed by:
THE NATIONAL ENVIRONMENTAL HEALTH ASSOCIATION
With grant assistance provided by:
THE UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF GROUND WATER AND DRINKING WATER
Printed on Recycled Paper
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LEARNING GUIDE
STATE/LOCAL
DRINKING WATER AGREEMENTS
Developed by:
THE NATIONAL ENVIRONMENTAL HEALTH ASSOCIATION
With grant assistance provided by:
THE UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF GROUND WATER AND DRINKING WATER
CM
CD
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cknowledgements
Appreciation is expressed to those individuals
who assisted in providing technical direction
and reviewing drafts of this publication:
Richard Clark
Chief, Environmental Health Division
Lincoln, Nebraska
NEHA Member
Patricia Deaham
Mobilization & Indian Land Coordinator
EPA Water Management Division
Drinking Water Branch, Region VIII
Denver, Colorado
Jeff Fontaine
Supervisor, Public Health Engineering
Nevada State Health Division
Carson City, Nevada
NEHA Nevada Affiliate President; Region
IX Representative, Association of State
Drinking Water Administrators (ASDWA)
Robin MeJvin
Attorney at Law
Austin, Texas
Winifred Oyen, MD.
Midland, Michigan
NEHA Member, Representing National
Association of County Health Officers
(NACHO)
Trudy RoOa
Drinking Water Program
Seattle-King County Health Department
Seattle, Washington
NEHA Region I Vice-President
Eldon Savage, PhJX
Dept. of Microbiology & Environmental
Health
Colorado State University
Fort Collins, Colorado
NEHA Grants/Contract Technical Advisor
Conrad Straub, PhD.
Professor Emeritus
Division of Environmental Health
School of Public Health
University of Minnesota
Columbia Heights, Minnesota
JackTeague
Water Systems & Superact
HTS Environmental Health, HSEH
State of Florida
Tallahassee, Florida
Chris Wiant
Director of Environmental Health
Tri-County Health Department
Englewood, Colorado
NEHA First Vice-President
Management of the project and preparation
of this document was provided by:
Nelson E. Fabian
NEHA Executive Director
Larry L. Maroun
NEHA Project Manager
Gerak£ne Stniemee
NEHA Project Assistant
Elizabeth E. HaD
EPA Office of Ground Water &
Drinking Water
Local Health Officials Initiative
Project Officer
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Table of Contents
« . •
Background and Project Overview 3
How To Use The Guide 5
Unit I - Structural Elements of the Agreement: A Checklist 7
Purpose - The Statement of Intent 8
Narrative Discussion 8
Considerations 9
Sample Contract Language 9
Scope of Work 10
Narrative Discussion 10
Considerations - State Agency 11
Considerations - Local Agency 12
Examples 12
Quality Assurance Protocol 16
Narrative Discussion 16
Considerations 16
Examples 19
Financial Provisions 22
Narrative Discussion 22
Considerations 22
Examples 23
Escape, Revision or Modification, Termination, Severability 23
Narrative Discussion 23
Considerations 24
Examples 24
Signatures and Dates 25
Narrative Discussion 25
Considerations 25
Examples 25
Appendix Material 26
Unit n - Actual State Contractual Agreements 27
Using Agreements - Interviews with State and Local Officials 28
Limited Agreements 35
Arizona Department of Environmental Quality 36
Montana Department of Health and Environmental Sciences 50
Comprehensive Agreements 60
Oregon State Health Division 61
Michigan Department of Public Health 85
Pennsylvania Department of Environmental Resources 95
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Appendix Material 109
Overview of NEHA 110
Ensuring Safe Drinking Water 112
EPA - Safe Drinking Water Act/Mobilization Initiative 120
Designated State Drinking Water Primacy Agencies 120
Designated State Drinking Water Non-Primacy Agencies 128
Tabulation of State Contractual Activities 129
Questionnaire on Successful Agreements 134
Good and Useful Critieria for Evaluating Agreements 135
Glossary of Terms 136
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Teaming Guide for Drinking Water Contracts Between State and Local Governments
Background and Project Overview
Increasing regulatory responsibilities and limited pubb'c funding are increasing the challenges
for public officials. Those with responsibilities for overseeing and assisting public water suppliers
have a particularly difficult task. The 1986 Amendments to the Safe Drinking Water Act mandated
sweeping changes in the scope and costs of State Drinking Water Program. States are already
facing funding shortfalls in their drinking water programs and must find ways to increase their
budgets and get the most out of every available dollar. Some States are maximizing available
resources by relying on local governments to carry out some of their drinking water responsibilities.
This guidebook was developed to provide States and local governments using this approach with
practical advice and suggestions about formal agreements related to Safe Drinking Water Act
(SDWA) responsibilities.
The SDWA and associated regulations set forth a number of requirements designed to
assure that the American public has the safest water possible. The 1974 SDWA established the
Public Water System Supervision (PWSS) program and designated specific roles for the Federal
Government, States and public water supplies. In 1986, Congress expanded and strengthened the
SDWA. The 1986 amendments require the U.S. Environmental Protection Agency (EPA) to
regulate many more contaminants (including lead, radionudides and many pesticides), establish
monitoring requirements for unregulated contaminants, regulate surface water treatment and
require disinfection, protect groundwater through wellhead protection and strengthen enforcement.
The greatest impacts of these new requirements fall to the States. A central feature of the
SDWA, and of great importance to this project is Section 1413, "State Primary Enforcement
Responsibility." This section creates state primacy, for the purpose of primary enforcement of the
provisions of the act. It is this "primacy" designation that makes the state entity the lead agency for
enforcement and compliance issues under the SDWA. Specifically, state primacy is conditional
upon:
1. The State adopting drinking water regulations "which are no less stringent than the
national primary drinking water regulations in effect under section 1412(a) and
1412(b) (of the act)";
2. The State adopting and implementing "adequate procedures for the enforcement of
such state regulation."
3. The State adopting a procedure for monitoring, inspection and record keeping of
program activities;
4. The State meeting requirements of the act for procedures and standards related to
the issuing of variances or exemptions of conditions of the act; and
5. The State adopting and implementing an "adequate plan for the provision of safe
drinking water under emergency circumstances."
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J framing Guide for Drinking Water Contracts Between st°**» and TJI*^ Governments
States receive Federal grants and supplement these with State funds to manage the State
drinking water program. However, the 1986 amendments to the Safe Drinking Water Act are
fundamentally increasing the scope of their primacy responsibilities and the cost of doing business.
State Drinking Water Administrators around the country have indicated that existing programs are
already underfunded and implementing the new requirements means that State costs could more
than double. Since Federal funding is not likely to increase significantly, the burden will be placed
on States to finance the funding shortfall Most states are experiencing funding problems of their
own and creative and alternative ways of funding drinking water programs must be sought. Primacy
retention will undoubtedly become an issue if States are unable to adequately expand the capacity
of their drinking water programs.
Cooperative efforts between the States and local units of government, which are the subject
of this guidebook, take on increased importance in light of these increasing primacy responsibilities
and resource limitations. Formal relationships between States and local public health professionals
have emerged as one of the tools which can be used to maximize resources. This is particularly true
in the case of overseeing small systems where local units of government can provide an accessible
source of technical expertise and oversight.
This guidebook represents an extensive review of the best aspects of various State/local
drinking water arrangements, as well as the input of a diverse group of professionals in the field.
It offers some creative and innovative approaches and can serve as a resource document in creating
the blueprint for a successful and efficient PWSS program. The intent of the Learning Guide is to
provide you with knowledge, based upon the experience of others, that will assist you in determining
what will or will not work in your situation.
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Turning Guide for Drinking Water Contracts Dctwcm State and Local ff••-" ""~*«n
How to Use the Learning Guide
The needs and particular circumstances found in drinking water programs across the country
vary widely with local conditions, State and local law and resources. This Guidebook is intended
to be a flexible resource for addressing the relationship between a state primacy agency and a local
government or agency. It is organized into three principal sections; Unit I - The Checklist, Unit
n - Contracts and Appendixes. The Checklist contains a discussion of the elements of a good
agreement. The section on actual contracts provides examples of contracts that are in use in several
States. The Appendixes contain useful supplementary information.
limited and Comprehensive Agreements
The State primacy agency has ultimate responsibility for implementing the requirements of the
SDWA. In many States, local governments, particularly county health departments, execute some
of those responsibilities. While practices differ widely, there are two basic structural models that
describe this relationship. The basic difference lies in the degree of autonomy and authority
exercised by the local agency. The term, limited agreement, is used in this Learning Guide to
describe a relationship where the state primacy agency retains most of the management of the local
drinking water activities. The state allows the local agency to perform only specific tasks, working
in cooperation with and under the direct supervision of the State. The term, comprehensive
agreement, is used to describe relationships where the local agency has broader responsibility for
the drinking water program. The state provides oversight and technical assistance, but the local
agency bears day to day responsibility for managing the program. In essence, the state "delegates"
it's role to the local agency.
In limited agreements there is more state involvement; and in comprehensive agreements
there is less. There are many variations on this model, but it is a useful distinction to make. The
degree of autonomy is a very important issue to resolve upfront in establishing the relationship
between the primacy agency and the local agency. It should be clearly reflected in the written
agreement. The Learning Guide provides suggestions and considerations for the different elements
of a formal agreement using these different model structures (limited and comprehensive) to
illustrate how the type of structure selected impacts the responsibilities under the agreement. The
type of structure most effective for a given area is purely a decision involving state and local
programs.
UNIT I-The Checklist
The first Unit is "Structural Elements of the Agreement: A Checklist." This Unit outlines
the essential structural elements in a well thought out agreement. A narrative discussion explaining
the role and importance of the individual elements is included. For each element, a checklist of
tasks, responsibilities, and suggestions appear. The individual items in the checklist will not be
appropriate to every agreement, but are examples of the kinds of questions that States and local
Agencies should consider as they plan their program. Finally, sample contracts clauses are included
which illustrate how some of the principles in the checklist might be applied. This format is
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Learning Guide for Drinking Water Contracts Between State and Local Government*
followed for each of the seven basic structural elements that make up an agreement.
UNIT n - Actual State/Local Agreements
Unit II includes a discussion of how State/local drinking water agreements are working "in
the real world." State and local drinking water program managers from several selected States
which currently use agreements were interviewed and their comments are summarized. The
interview results detail both positive aspects and problem areas encountered by the personnel of
the state primacy agency and the local agency.
The agreements themselves are also included as examples. Sections and sentences of these
agreements which are particularly relevant to drinking water programs are highlighted. While much
of the remaining material is important, including the "boiler plate," this may aid the reader in
reviewing these contracts. You can draw on the actual agreements for both style and substance in
drafting your own document.
Appendixes
The Learning Guide contains an Appendix that provides useful supplementary information.
The Appendix contains an overview of the National Environmental Health Association (NEHA)
which discusses its activities, and its cooperative efforts in conjunction with U.S. EPA's mobilization
initiative. Information provided by the Office of Drinking Water, United States Environmental
Protection Agency (U.S. EPA) is included to provide you with the federal perspective on
implementing the Safe Drinking Water Act. A list of State primacy agencies, with addresses and
telephone numbers is provided to assist you in identifying the proper contacts for each state
program. A listing of the "good and useful" criteria appears, from which many of the
recommendations in the Learning Guide were developed. The Appendix also contains a tabulation
of state contractual activities, detailing state activities, extent of system coverage, and dollar values
of agreements where appropriate.
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Guide for Drinking Water Contracts Between State and Local Governments
Unit .1 - Structual Elements of the Agreement: A Checklist
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Leaning Guide for Drinking Water Contracts Dawu-u State and Local Governments
INTRODUCTION
This unit outlines the essential elements that are part of a good agreement. For the
purposes of this Learning Guide they are defined as:
I. Purpose - the Statement of Intent
H. Scope of Work
m. Quality Assurance Protocol
IV. Financial Provisions
V. Escape, Revision or Modification, Termination, Severability.
In actual agreements, the titles and organization of the information contained in each of
these elements varies widely. All are correct. The important point is that the basic concepts are
included and fully communicated.
For each of these sections, there is a narrative discussion explaining the role and importance
of the individual elements. Following this narrative, a checklist of tasks, responsibilities, and
suggestions appear. The individual items in the checklist will not be appropriate to every
agreement, but are items to consider. Finally, sample contract clauses are included which illustrate
how some of the principles in the checklist might be applied.
The Learning Guide is designed to be of use to the widest possible range of users. As such,
this unit offers an inclusive set of considerations and possibilities. The user should be mindful of
this and be prepared to evaluate, select, modify or add to these considerations in light of the needs
and custom of the individual parties to an agreement.
I. PURPOSE - THE STATEMENT OF INTENT
A. Narrative Discussion
The purpose section satisfies many important requirements of an effective agreement. It
clearly states the intent or reason for entering into the agreement, identifies the parties and
summarizes the scope of the agreement. In short, the purpose statement is far more than
legal formality. It contains important up front information about what is to be
accomplished, who is involved, who is responsible for what and by what legal authority all
of this is being done.
All legal statutory authority for the activities that will take place under the agreement should
be identified and referenced. Any other agreements that may have been in place prior to
the agreement that you are drafting need to be noted. A statement as to the effect of these
agreements on the current agreement is essential, (e.g. "All other terms of the prior
agreement are incorporated by reference into this agreement" pj The prior agreement is
superseded by this agreement and has no force or effect.") The most appropriate option
for your situation should be selected, but future confusion or possible litigation can be
avoided if prior agreements are noted.
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fat Drinking Water Contracts Dewcca State •<"< T^ci*1 Governments
All possible parties to the agreement are clearly identified (not by acronyms) in the Purpose
Statement. The state primacy agency is clearly identified by its full legal name, and any
other state agencies that will have responsibilities under the agreement are identified.
The scope of authority is a critical part of the purpose statement. This should include a
clear statement explaining a delegation of authority, and brief discussion of the scope of the
work that will take place under the agreement.
B. Checklist
Identification of the parties
1. Are the parties clearly defined?
2. Are they referenced throughout the agreement?
3. Is the Primacy agency identified?
4. Are all agencies that have responsibility over any aspect of the program
identified? '
5. Is there a clear statement as to what their role will be under this agreement?
6. If more than one agency is involved, are they fully incorporated into this
agreement?
Identification of legal authority
1. Are all appropriate statues, that provide legal authority for work activities
taking place under the agreement, identified?
2. Are other relevant statutes (state & federal) ordinances or prior agreements
that effect activities under the agreement referenced with a statement as to
their effect on the agreement?
Scope of authority
1. Is there a general statement that clearly defines and/or limits the scope of
authority and areas of responsibility for activities occurring under this
agreement?
Example 1
C Sample Contract Language - Purpose
Limited type of agreement
Purpose: The purpose of this contract is to provide for the conduct of comprehensive
sanitary surveys of non-transient non-community public water systems. The (State
Agency) has primacy responsibility for enforcement of the Safe Drinking Water Act
and implementation of (State statute). (Section ~~), requires surveillance and
monitoring of non-community public water systems. Under this agreement the (local
agency) wfll perform such survey activities for non-community water systems within
its jurisdiction as part of its routine surveillance activities.
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Guide for Drinking Water Contracts Between State and Local Governments
Example 2
C. Sample Contract Language - Purpose
Comprehensive type of agreement
"Purpose: The purpose of this agreement is to delineate the responsibilities of
State Department of Health (DOH) and the County Health Department of—
County as they relate to public water supplies in service area of (local agency),
and to assure that each agency's resources are immmweA so that duplicate
inspections are avoided, that gaps in public water supply surveillance are
Tnlnimrw! and that broad efforts are initiated to assure a comprehensive public
water supply protection program for the people of (sendee area of local agency).
Implementation of the program described in this agreement is intended to
enable the local agency to satisfy program requirements for public water supplies
established for environmental health services, under (cite appropriate state
statutes(s)). The (State Department of Natural Resources (DNR) has primacy
authority for those requirements pursuant to the Safe Drinking Water Act The
DNR will coordinate with the DOH pursuant to a Memorandum of Agreement
between the two agencies. The DOH will be the primary contact for the county*
H. SCOPE OF WORK
A. Narrative Discussion
The scope of work section contains the actual tasks, areas of responsibilities and extent of
authority exercised by the respective agencies. The assignment of these responsibilities will
depend upon many variables such as state law, existing contractual relationships, the size of
local agency, the nature of the regulated community, available resources and type of formal
relationship desired by the state and local agencies (comprehensive or limited).
Local agencies may be able to undertake tasks from within a wide range of activities. These
include routine field activities such as inventory updating, monitoring, sample collection,
sanitary surveys and technical assistance as well as the more complicated and sophisticated
tasks of enforcement, data management and plan review. This section suggests some
considerations that should be clearly thought through as an agreement is being negotiated.
It does not describe the best way to "spec" out individual tasks such as sanitary surveys.
Excellent examples of specific scopes of work are represented by the actual State contracts
(Unit H).
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Teaming Guide for Drinking Water Contracts Between State and Local Governments
In identifying appropriate tasks in a scope of work, distinctions need to made within the
broad umbrella of the public drinking water program. The requirements that States and
water systems must address may vary significantly based upon: (1) classification of the
system as a community vs. non-community (2) use of surface or groundwater source (3) the
size of the system or the population served. The implications for your program are
significant. For example, most non-community systems are required to meet only those
standards designed to prevent short term health problems such as bacteria, nitrates and
turbidity. The sampling and reporting requirements are relatively simple. In contrast,
noncommunity systems which serve the same people on a long term basis, such as schools
and factories are defined as non- transient non-community systems. They must meet the
same standards as community water systems.
The scope of work section should be viewed as a compilation of the deliverables under the
agreement. It should adequately address the tasks to be performed by both the State and
local agency, set standards for those tasks, clearly assign responsibility for those tasks and
set time limits for their performance. For tasks where the local agency has some flexibility,
priorities should be established. Specific protocols, procedures, forms, performance
standards and design criteria should be referenced. Processes for keeping the parties
informed about each others ongoing activity should be included. Tasks, such as enforcement
related actions, which require coordination should include a description of how and when
that coordination should take place.
A checklist of possible activities can be used to show which functions within the program are
the State's responsibility and which will be conducted by the local agency. This is
particularly useful when several jurisdictions within a State have different abilities or desire
to take on drinking water activities. The agreement also becomes easier to modify.
B. Scope of Work Checklist
State Agency
1. Is the state primacy agency role, as it relates specifically to enforcement of
the Federal Safe Drinking Water Act and State law, clearly defined?
2. Are roles of any other state agencies identified in the agreement defined?
3. Are state agency tasks and deliverables identified and defined?
4. Are the performance standards, manuals and procedures that the State wants
used specifically referenced?
5. Are all relevant state agency administrative rules and regulations identified?
6. Are all elements related to state agency involvement in enforcement actions
identified and defined?
7. Is the state agency's authority to perform any of the tasks in lieu of the local
agency described?
8. Are all time frames related to the state agency performance under the
agreement clearly stated?
Checklist - Scope of Work
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Learning Guide for Drinking Water Contracts Beti
i State
id Local Coven
Local Agency
1. Is the local agency role clearly defined?
2. Are specific tasks to be performed by the local agency identified in the
agreement?
3. Is the exact geographic area covered by the local agency identified?
4. Are all inventory and other record keeping responsibilities for each task
identified?
5. Are all requirements for adequate performance of each task addressed?
(This could include personnel authorized to perform the task, timeframes,
frequency, reporting format and a specific reference to established
procedures.)
6. Are the limits to the local agency's authorities and responsibilities clearly
stated, (for example, a local agency may be responsible for all informal
enforcement but must refer the case to the State if the system does not
return to compliance.)
7. Are situations that the local agency must inform or consult with the State
spelled out (for example, in the case of MCL violations or a threat to public
health.)
Sample Contract Language - Scope of Work
Limited type of agreement - State responsibilities
Examples
The state agency shall provide current printouts of the public water
supply inventory within the local agency's jurisdiction on a quarterly
basis.
The state agency will supply a list of non-community water systems
which require sanitary surveys. Procedures and forms to be used
for conducting such surveys are included in the appendix.
The state agency shall provide the local agency with technical
assistance, personnel training, and procedures.
The state agency will provide the necessary sample bottles on a
monthly basis and provide for the analysis of water samples.
The state agency wfll provide copies of the analytical results within
30 days.
The state agency shall review and evaluate all sanitary surveys
completed and submitted by the local agency.
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Learning Guide for Drinking Water Contracts Between State and Local Goven
at^EflfUpiC 4
C Sample Contract Language - Scope of Work
Comprehensive type of agreement • State responsibilities
« The state agency shall provide the local agency with consultation and
advice with respect to the local agency's enforcement of state statutes
and administrative rules and reypila*'nTi*
* The Jtofe agency sfaU provide to the focofigemywim consultation and
advice with respect to the *•**»"«"»< operation of drinking water
program. .
• The state agency shall assign one (1) staff person to serve as liaison to
the local agency. This person shall be responsible for maintaining
communications with the local agency with respect to procedures and
activities of the local agency's operations.
* The state agency may, in its sole discretion, take appropriate
compliance or enforcement actions independently or in conjunction
with the local agency.
• The state agency will make every reasonable effort to advise the local
agency of any proposed enforcement action sufficiently in advance of
taking the action to provide an opportunity for comment and
coordination of enforcement strategies.
* The state agency will refer all communications and inquiries regarding
operations and inspections of public water supplies within the
jurisdiction of the local agency to the local agency.
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Learning Guide for Drinking Water Contracts Between State and Local Goven
Example 5
C. Sample Contract Language - Scope of Work
Limited type of agreement - local agency responsibilities
+ The local agency agrees to review die inventory list supplied by the
State and provide update? no less often *han every 6 months.
+ The local agency-rib conduct sanitary survey's of not less than 20 % of
the non-community water supplies within its jurisdiction every year.
Priority will be given to those systems which have not been surveyed
within 5 years or which serve more than 1,000 hookups.
* The local agency must refer all requests for waivers from construction
standards, variances, and permits to the state agency for action. The
county shall assist the state agency in assessing such requests.
* The local agency shall submit to the state agency, on a quarterly basis,
copies of all sanitary surveys completed under the terms of this
agreement
* The local agency shall submit to the state agency a summary report of
its activities under this agreement on quarterly basis. This report shall
contain information relating to number of sanitary surveys conducted,
number of systems in noncompliance, notification procedures,
enforcement action, and outcome or corrective action taken.
* The local agency shall notify the state agency immediately by calling
555-1234 when natural or maninade disasters cause disruption of any
public water supply.
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Learning Guide for Drinking Water Contracts Between Sate and Local Governments
Example 6
C Sample Contract Language - Scope of Work
Comprehensive type of agreement - local agency responsibility
* Hie local agency shall perform all necessary administrative,
professional, and t«r*iniral activities related to sanitary surveys, and
insure compliance with all relevant federal and state statutes
* The local ageney shall provide services and conduct a program
designed to reduce non-compliance rates for water systems under its
jurisdiction by at least 10 % per year.
+ The local agency shaR submit to the state agency on an annual basis, a
summary of activities, and a written statement that all water system
are, in all respects, in compliance with federal and state law for public
drinking water. If all systems are not in compliance the local agency
shall submit an enforcement plan which addresses those systems.
* The local agency shall initiate and perform all enforcement actions
against an individual or facility not in compliance with standards for
public drinking water as defined in (cite relevant state and federal
statutes). Copies of all such actions shall be provided to the state
agencies.
» The local agency shall interpret EPA and State rules, regulations,
policies and recommendations to the owners, operators and managers
of public water supplies and to the general public, upon request by
individuals or the state agency.
* The local agency shall develop, adopt and maintain an emergency
response plan. This plan shall include a procedure for notifying the
state agency about water related emergencies that are, or may be
hazardous to the public.
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Learning Guide for Drinking Water Contracts Between State and Local Governments
QUALITY ASSURANCE PROTOCOL
A. Narrative Discussion
Quality assurance and accountability are very critical considerations for the primacy agency
when relinquishing direct control of any or all of their primacy responsibilities. The
structural elements addressed in this section are personnel and training, laboratory services,
reporting and oversight and evaluation. These components, taken together, form the basis
of an effective quality assurance protocol. Sometimes these elements are built into the
scope of work.
The personnel and training components set minimum standards for education levels, years
of experience, and professional credentials or certification required for the personnel that
will be undertaking each task. Beyond providing for an effective personnel policy, these
provisions serve to establish clear lines of responsibility for operation of the program. The
training requirements are set to establish or suggest a minimum for ensuring ongoing
training and refresher training. Establishing a training policy within the agreement assures
that this critical element of quality control is performed and that the local agency can
respond to changes in technology as well as in law and regulations that govern the public
drinking water program.
Compliance with MCL standards are based on analytical data. Proper handling of samples
and association with a State certified laboratory form the basis for another critical aspect
of quality assurance. Acceptable State certified laboratories should be included in the
agreement. The actual compliance standards would be appropriate for inclusion in the
appendix of your agreement.
Record keeping and reporting must be of the highest quality. The timing and content of
special and routine reports should be specified. Format and use of compatible data systems
is also important. Timely reporting of violation and enforcement data to EPA is an
important primacy responsibility and quick and accurate transfer of data is essential.
Explicit oversight and evaluation provisions are important vehicles for assuring the
accountability of both the state agency and local agency. Established written procedures for
special and regular program reviews and evaluations, incorporated into the agreement, help
keep the program quality high and expectations realistic. Specific procedures for
communicating and correcting deficiencies should be included.
B. Checklist - Quality Assurance Protocol
Personnel Specification and Training Requirements
1. Are all essential personnel dearly identified with a description of their
function and role in carrying out the drinking water program.
2. Are minimum levels of qualifications for each position addressed in the
agreement? (This should include educational qualifications, years of
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Learning Guide for Drinking Water Contracts Between State and Local Governments
experience, professional credentials, any appropriate substitutions, e.g. a
bachelors degree in-public health shall substitute for two years of
professional experience.)
3. Are specific duties under the agreement clearly linked to the position
qualifications? (e.g. all sanitary surveys must be performed by a registered
sanitarian)
4. If a subcontractor is involved in performing duties under the agreement the
duties and qualifications of the subcontractor should be clearly defined. Are
relevant provisions of the agreement made applicable to the subcontractor?
5. With respect to personnel, does the agreement require that in the selection
or promotion of any employee that there shall be no discrimination, as
required by state and/or Federal law.
6. In the event that state statutes, and/or administrative rules and regulations
of a state agency require minimum staff levels, minimum staff education,
minimum experience or training level, the agreement should include these
requirements and assure they are met.
7. Are there provisions in the agreement that address personnel training
requirements? (This could include identifying the minimum number of
course hours required, references to specific training classes and/or subjects
to be covered.)
8. If appropriate, are there provisions for coordination of training with the
State agency? (This would include a minimum number of hours, specific
subjects, etc.)
9. Are provisions for technical assistance by the state agency or outside entity
addressed? (This would be provisions for ensuring that the local staff
remained current with respect to new technologies and with changes in
law(s), or regulations.)
10. Are there provisions for local staff attendance at outside workshops,
conferences, or seminars as part of formal training program for all personnel
with responsibilities under the drinking water program?
11. Is there a staff person clearly identified as having responsibility for training
requirements of the staff, assuring minimum training hours are met, and
coordination of training opportunities?
12. Are there provisions for the state agency to provide professional journals,
trade journals, textbooks, and other reference material to ensure the local
agency has access to current information related to the public drinking water
program? (technical and legal)
13. Has a manual been developed that can serve as a reference source for
employees and orient new employees?
Laboratory Services
1. Are provision in place detailing methods and procedures for collection and
transmission of samples? (This should include provisions for sample bottles,
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Guide for Drinking Water Contracts Between State and Local Government*
chain of custody procedures, reporting forms to be used, and postage paid
mailing containers.) -.
2. Is the frequency of sample collection specified? Is the interval between
collection and when the sample must be received by the lab specified?
3. Does the agreement specifically address which State certified laboratory or
laboratories are authorized to receive each kind of samples?
4. Are procedures identified for corrective action in the event laboratory
analysis indicates a violation related to a contaminant level for drinking
water?
5. Are there provisions for providing the local agency with technical assistance,
if necessary, related to collection of samples or analysis of laboratory results?
Reporting and Record Retention
1. Are there provisions for data management and other statistical reporting on
the programs? (This provision should detail if the state or local agency is
responsible for this function, what format it should be in, and how frequently
these reports should be generated.)
2. Are the content, format and timing of quarterly and annual reports included?
(Standardized reporting can include items such as sanitary surveys
conducted, enforcement actions taken, sampling and monitoring results, well
permits issued, water quality reports, etc.)
3. Does the agreement address tabulation and analysis of data?
4. Is it clear that the state agency can review the files at any time?
5. Does the agreement specify when the state should be notified immediately
of an action (such as issuance of well permits?)
6. Are record-keeping standards included?
7. Does the agreement specify if copies of certain documents should be
submitted to the state? Does it specify when the copies should be sent (i.e.
immediately, monthly, as part of regular reporting?)
Oversight and Evaluation of the Program
1. Are criteria for evaluating the performance of the programs standardized
and clearly defined by the agreement?
2. Is the frequency and format for reporting problems to the state agency
defined?
3. Are there provisions detailing: what procedures are involved in a state audit
or review of the local programs; how often it should occur; and established
deadlines for corrective action by the local agency as a result of the state
audit?
4. Does the agreement specifically allow joint inspection and activities?
5. Are there provisions that detail the consequences of a local agency failing to
perform its duties under the agreement? (Any state law or administrative
rule or regulation, that is relevant to oversight and review of a local agency
by the state, should be cited in this section of the agreement.)
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Learning Guide for Drinking Water Contracts Between State and Local Coven
Example?
C. Sample Contract Language - Quality Assurance *
* Please note: actual examples for the quality assurance elements involve protocols
that can be included in either type of agreement (comprehensive or limited).
These examples will suggest provisions appropriate for personnel and training,
laboratory services, and oversight and evaluation without making further
{listfrictions as to the "type" of HEfccment involved.
.1. Minimum Personnel Qualifications and Training Requirements
a. Minimum Personnel Qualifications
The following minimum personnel qualifications shall apply to
individuals with water quality compliance and/or management
responsibilities.
* Duties shall be performed by a Professional
Engineer, licensed in the state of .who
possess at least years of experience in
sanitary engineering or a closely related field; (or)
* Duties shall be performed by or under the direct
supervision of a Professional Engineer (or);
+ Duties shall be performed by a Registered Sanitarian,
licensed in the state of , with a minimum
of years of professional experience in
public health sanitation; (or)
* Duties shall be performed by or under the direct
supervision of a Registered Sanitarian (or);
* Duties shall be performed by a person with a
bachelors degree from an accredited college or
university with a major in Engineering,
Environmental Health or closely related field and
under the direct supervision of a licensed
professional Engineer or Registered Sanitarian.
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Learning Guide for Drinking Water Contrart» Between State and Local Goven
Examples
Sample Contract Language - Quality Assurance
b. Training Requirements
To ensure that the public water supply personnel remain proficient in all
methods and procedures related to the program the following training
procedures shall apply.
« Personnel shall attend at least one (1) formal training
program related to water supply issues every three (3) years.
* Each staff member shall participate at least once annually in
an inspection of the public drinking water system.
«• At least one (1) professional or trade journal in field of
water supply and other relevant material (text books,
reference material) shall be made accessible for review by
the staff.
* A minimum of thirty-six hours of in-service training
involving technical operations, laws and regulations,
procedures under the operations manual, and other relevant
materials and/or case studies shall be provided to each staff
member on an annual basis.
Example 9
Laboratory Services
+ Water samples will be collected and sent to a state certified
laboratory for analysis using approved sample bottles and
standardized reporting forms.
«• AH water samples analyzed by the laboratory will be evaluated
by the parameters as identified in the appendix of this
agreement.
* All laboratory analysis shall be conducted in accordance with
standard methods for examination of water and waste water or
alternate methods prescribed by the UJ5. Environmental
Protection Agency (US. EPA).
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Example 10
Sample Contract Language - Quality Assurance
d Reporting and record retention
* The program activity data needed by the state agency for its
information system will be submitted on forms or in the format
established by the state agency policies and procedures.
• If the local agency issues permits for construction of new wells
the local agency shall send the state agency annually a report of
the number of permits issued through December 31 of the
reporting period and maintain available for State review a copy
of each permit it issues.
* The local agency shall maintain complete up to date files on its
public water systems and program activities. Authorized
representatives of the state agency shall have access to all such
records for audit purposes.
* Immediate notice of canceled permits will be supplied to the
state agency.
* Each quarter the local agency wfll complete a copy of the
Activity Summary Form and submit it to the state agency no
later than the 10th day of the month. The state agency may
request additional supporting documentation for any items of
particular interest
Example 11
Sample Contract Language - Quality Assurance
4. Evaluation and Oversight
* The state agency wfll conduct a formal evaluation of the local
agency's program not more than once a year and not less than
every three years to determine continued compliance with this
agreement A written report on the results of the evaluation
including progress made since the last evaluation and
identification of deficiencies shall be submitted to the local
agency. The local agency is then required to submit a plan for
correction within 60 days. If the deficiencies are not corrected
the state agency wfll initiate termination or modification of the
agreement
• State agency representatives may accompany employees of the
local agency on inspections and review all records relating to
the performance of activities under this agreement Where
practicable, such inspections wfll be conducted only after prior
notice is provided to the local agency.
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ide for Drinking Water Contracts DtUnxu State and Local Governments
IV. FINANCIAL PROVISIONS
A. Narrative Discussion
The financial provisions of the agreement are an outgrowth of the scope of work provisions.
Their purpose is to further detail the cost factors in operating the program. It may well be
that for some programs all costs are allocated to either the state agency or the local agency,
and therefore the agreement between the two agencies need not address financial
considerations. Another model involves some transfer of funds from the state agency for
activities directly related to the work being done under the agreement.
In a well drafted financial provisions section, all allowable costs are listed and clearly
defined. The agreement must address the type of payment being made (for example is it
a grant of a lump sum of money, is it a matching fund formula based on the local program
costs, is it a percentage formula, etc.). The classification as to the type of payment being
made will serve to clarify allowable costs, as well as helping to define the type of agreement
(comprehensive or limited) best suited to the cost allocations agreed upon. All elements
of the program operation that have direct cost implications should be addressed, with a
provision for time and manner of payment. Finally, provisions for maintaining financial
records, inspection of records, and financial audits should be addressed. Beyond ensuring
the proper expenditure of funds, these provisions will assist both state and local agencies in
documenting expenses, setting rates, and future budget planning.
B. Checklist - Financial Provisions
1. Are all allowable costs for payment or reimbursement under the agreement
identified?
2. Are all items under allowable costs clearly defined?
3. Are all formulas for determining payments to be made under the agreement
clearly defined? (i.e. Payments may be direct or based on a subsidy or
matching fund arrangement. It is critical that the method for determining
the amount of the payment be identified in the agreement.)
1. Are all time schedules for payment or reimbursement defined?
2. If there is a state statute that authorizes payment for any aspect of the
program, is it cited?
3. If there is a maximum amount which program costs may not exceed, is it
stated in the agreement?
4. Are procedures for maintaining financial records, invoicing of expenses, and
reporting of financial condition identified?
5. Are there provisions allowing for financial audits of the program? (This
should include provisions detailing for conducting the audit, maintaining of
financial records, inspection of financial records, and reporting audit results.)
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T Darning Guide for Drinking Water Contracts Between State and Local Government*
Example 12
C Sample Contract Language - Financial Provisions
Financial Provisions - limited type of agreement
State agency payment pursuant to this agreement wfll be based upon the
actual number of water supplies surveyed at a rate of per
survey. The rate is based upon the established pay rate for Class II
Sanitarians times 1.75 number of hours per survey. Payments to the local
agency under this formula shall not (greed . Reimbursement will
be made within 60 days of receipt of a proper invoice.
Financial Provisions - comprehensive type of agreement
• The local agency shall perform all inspection, enforcement,
sampling and monitoring functions outlined under the
provisions of this agreement without cost to the state agency.
* The local agency may receive special subsidy funds, grant
awards for specific activities, and other funding by direct
legislative appropriation as the state agency may direct
« The local agency shall be responsible for maintaining all
financial records, invoices, and for providing an independent
financial audit of program operations.
* The local agency shall make a full financial report to the state
agency accounting for all expenditures involved in operating
the local program.
4 All fees generated by the local agency by drinking water
activities wfll remain with the local agency.
V. ESCAPE, REVISION OR MODIFICATION, TERMINATION, SEVERABUJTY
A. Narrative Discussion
The items discussed in this section of the structural elements outline are non-technical in
the sense that they are common to all well drafted agreements. Many people refer to these
items as "boiler plate*. This does not, however, diminish their importance. The presence
of these items serves to protect all parties to the agreement in that they identify and define
each agency's rights and responsibilities in fulfilling the terms of the agreement. Secondly,
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Tj^p}*'"g Guide for Drinkiog Water Contracts Dctwixu State and Local Governments
they identify and resolve many potential problems arising under the agreement, saving both
time and money involved in resolving disputes that may occur. The manner in which these
items are drafted, and the particular provisions that both parties agree upon, are less
important than assuring that these items are considered when the agreement is being
negotiated and written. To the extent that legal counsel is available, it is strongly
recommended that an attorney review the agreement to ensure that it is properly drafted
and executed under the laws of your state.
B. Checklist - Escape, Modification, Termination, Severability
1. Does the agreement address liability issues? (This should include a clear
statement of rights and responsibilities of each agency, as well as any
subcontractor, with respect to potential liability for activities occurring under
the agreement.)
2. Is there a provision that addresses the rights of the parties to modify or
assign duties and obligation under the agreement? (This should include a
statement whether modification is permitted. If it is permissible, the
procedures for modifying or assigning terms of the agreement, who may do
so and the effect on the terms of the agreement from having done so, should
be addressed.)
3. Is there a severability clause to the agreement that will protect other
provisions of the agreement if any one or more of the other provisions are
found to be invalid or unenforceable?
4. Is there a provision that clearly states, when the agreement is in effect, for
how long it is in effect, and when it terminates? (There should also be a
provision for early termination of the agreement, with a procedure identified
for terminating the agreement.
or
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Timing Guide for Drinking Water Contracts Dctweui State and Local Governments
VL SIGNATURES AND DATES
A. Narrative Discussion
These items are self explanatory. Consider the possibility of a "certification clause", which
appears above the signature blocks. This is simply a statement that the persons(s) signing
the agreement for the agency are empowered to legally obligate the agency to the terms and
provisions of the agreement. (An example of a certification clause appears below.)
B. Checklist- Signature and Dates
1. Is there a signature line for each party to the agreement?
2. Is the person signing for the agency the proper person, and the person with
the authority to legally commit the agency to the terms of the agreement?
3. Are there lines that correspond to the signature lines, for dates on which the
agreement was signed to be entered?
4. If the agreement has been reviewed by an attorney, is there a signature line
for the attorney to so certify?
Example 14
Sample Contract Language - Signatures and Dates
Certification
This contract shall be in full force and effective as of the date signed
below and upon the signing of this contract by agents of the contracting
parties who are fully empowered to sign and thereby obligate the
respective parties to the terms and condition of this agreement.
Director, State Agency Director, Local Agency
Date Date
APPROVED AS TO FORM AND EXECUTION;
* ;
Assistant Attorney General State of
Date_, __
j- . f •
' • ' "- . 25
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Learning Guide for Drinking Water Contracts Between State and Local Governments
VIL APPENDIX MATERIAL
The appendix of the agreement can provide important information that is essential to work
activities performed under the agreement. It can further provide material that serves to
define and explain items in the agreement. The appendix is the appropriate section in
which to place such things as relevant statutes, administrative rules and regulations, technical
standards for water quality, parameters for laboratory analysis, specifications for physical
structures, and the like. Definitions of commonly used terms in the agreement would be
helpful appendix material. Any other relevant material, that by its terms would be too
detailed or technical to include in the agreement itself, would be properly placed in the
appendix. In short, the format of the appendix should be flexible enough to include any
material that serves to further explain or define the roles of the respective parties, the
activities to be performed, or the objectives of public drinking water program.
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Learning Guide for Drinking Water Contracts Dawceu State and Local Governments
Unit II - Actual State Contractual Agreements
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Guide for Drinking Water Contracts Between State and Local Governments
Using Agreements - Interviews with State and Local Officials
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Learning Guide for Drinking Water Contract! Detwtcu State and Local Coven
Using Agreements - Interviews with State & Local Officials
As part of the evaluation process in developing the Learning Guide, the advisory panel
using criteria that is outlined the appendix material, selected five actual agreements for inclusion
in the Guide. The agreements were selected on the basis of style, function, and clarity. They
represent good examples of actual functional agreements currently in use.
Beyond providing these examples for your consideration, state and local administrators
having responsibilities for the implementation of these agreements were contacted and
interviewed. The rational being that these individuals, with direct responsibilities for the
drinking water program in their state or local region, could provide valuable insight and advice
as to the process of developing effective agreements. To insure structure and uniformity for the
information presented in this unit, a questionnaire consisting of eight questions was prepared.
A copy of the questionnaire appears in the appendix of the Learning Guide. Each administrator
was asked these same questions. The administrators selected represent the programs from
which the actual contracts were selected and represent a balance of both state and local
administrators. Each question is reproduced with a summary of thoughts and responses from
those interviewed appearing below each question. The interviews do not constitute a survey in
the formal sense, nor do they purport to represent a statistically quantifiable analysis of
opinions. Rather the interviews were conducted on the rationale that by interviewing those
individuals responsible for and most knowledgeable of their particular drinking water program,
specific and useful recommendations could be obtained that would be beneficial to the user of
the Learning Guide.
How and when was the agreement developed?
Was it at state or local initiative?
It is interesting to note that all of the actual agreements that appear in the Learning
Guide have been developed in the last five years. Although some programs were involved in
establishing contractual relationships between the state and units of local government prior to
the last five years, all agreements in current use have been revised or modified within the last
five years. This is significant because it illustrates the changing character of the drinking water
program and need for programmatic flexibility. In addition, it is a clear indication that none of
the state-local programs utilizing agreements are significantly ahead of other programs that are
in the formative stages of the agreement process.
In every instance, the agreements were initiated at the state level. The local agencies,
however, in a number of cases played key roles in the development of the agreements by being
involved in the planning and implementation of the agreement in cooperation with state
program personnel. In one instance a local administrator indicated that the entire contractual
process in his state moved forward, after several false starts, because of the willingness of his
program to "serve as a pilot program". From these efforts a state-wide drinking water
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T Darning Guide for Drinking Water Contract* Between State and Local Governments
contractual program was established. Unquestionably, state and local programs have vital roles
to play in initiating and developing effective agreements.
Has the agreement itself or the relationship between state and local
agencies changed over time?
For all programs taking part in this interview, the relationship between the state and
local agencies, as well as the agreement itself had undergone changes. There was a wide
variance as to the degree of change. Generally, the program responsibilities and legal
requirements (both federal and state) were the driving force behind the changing relationship.
It was the feeling of several state administrators that the agreements were useful in
implementing these changes. The agreements served to define program responsibilities, so that
the changes necessitated by legal/regulatory or technical requirements were easier to evaluate
and make accommodations for the needed changes. It was strongly stressed by a number of
administrators that the agreements, in order to be effective, must reflect the institutional
relationship between the state and local program. A certain degree of flexibility must be
maintained so that the agreements can be modified to reflect the changes in responsibilities or
requirements that are inevitable. One state program manager suggested that "as a matter of
policy" the agreements should be reviewed every three years to insure that they adequately
describe the relationship, in terms of role and function, between the state and local agency. This
standardized review process also serves as mechanism to make any needed changes to improve
program performance.
What is the degree and quality of the communication between the
state primacy agency and the local agency? Is a third agency
Involved?
In the vast majority of cases the communication between the state primacy agency and
the local agency was described as good to excellent. Of particular interest, for purpose of the
Learning Guide, was the program administrators impressions as to the effect of their
agreements on the communication between the state and local agencies. It was pointed out that
where communications problems exist, the existence of a written agreement between the two
agencies will not solve those difference in philosophy, priorities, or goals that underlie the
communications problem. Interestingly enough, those programs that indicated they had
communications problems, while acknowledging that the agreements had not solved those
problems, were equally emphatic that the agreements were not the source of those difficulties.
On a more positive note, many administrators felt the contractual relationships that were
in place served to improve communication. This occurs primarily because the agreement by
requiring interaction between the agencies (regular training sessions, or regular reporting
requirements for example) serve as a "catalyst for continuing improvements in communication
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Learning Guide for Drinking Water Contracts Between s>«*^ and Local
o
and trust" (between agencies). Other comments reflected the observation that the agreements
which clearly define local responsibilities and duties allow the local agency to serve as a field
office in effect, thereby allowing for greater cooperation and communication between state and
local programs. Another noteworthy observation was the feeling of one state administrator that
the agreements afforded the local programs a measure of control over the program which
resulted in a feeling of "ownership" in the program. It was his belief that this sense of
"ownership" and control had greatly improved an already good relationship between the
programs.
Another tangible consideration effecting communication between state and local
programs is funding. In many programs the agreements serve the additional function of being
the funding mechanism for the local unit of government having responsibilities under the
drinking water program. The agreements clearly define local program "deliverables" under the
agreement with the state, and tie those deliverables to a pre-determined formula for funding
reimbursement. The general opinion among states that have financial provisions in their
agreements was that this arrangement allowed for improved planning and performance at the
local level, thereby improving the communications between local and state agencies. Finally, the
impact of the agreements on interagency communication was highlighted by one administrator
who observed that "in a time of rapid changes in SDWA, we hold workshops with agencies
under contract, meet with them individually, and make it a priority to provide them with
information they need in order to make the decisions for their program".
With respect to the third agency involvement, most programs do not involve a third
agency. For those that do the most common model is that the primary agreement is between a
state department of environment or natural resources and the local agency, with secondary
involvement from the state health department.
What kinds of SDWA enforcement activities are performed by the
local agency?
This question produced the widest and most varied responses. Factors such as the size
of the local agency, the type of agreement (comprehensive or limited) that is in place, the
organizational structure and philosophy of the state agency, and individual state statutes all
affect the answer to this question. In a few programs the local agency maintained total
enforcement authority and took responsibility for follow up compliance. The more common
model is a hybrid between shared state and local enforcement with the local agency having
responsibility for the initial enforcement procedures. Perhaps, of most interest is the fact that
all local programs have some enforcement and compliance responsibilities under their
agreements. Typically this involves monitoring and sampling, posting notices of violation, follow
ups testing for compliance, and issuing written violation charges with follow up legal action if
necessary.
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T^nni''"g Guide for Drinking Water Contracts Detwcca State and Local Governments
What recommendations would you have, based on your experience
with this agreement, for programs that are just now drafting and
implementing agreements?
The question solicited a number of useful and concrete suggestions and observations that
should be useful to you if your program is at the beginning stages of drafting and implementing
an agreement. Rather than presenting a narrative summary of the responses, a list of
suggestions and observations is presented for your consideration.
* Expectations and requirements must be understood
by all parties prior to contracting.
* There should be a mechanism for evaluation and
input from both local and state agencies. This
mechanism should be formal and identified in the
agreement.
« Contingencies for non-performance must be
outlined in advance and implemented when
necessary.
* Should consider establishing in the agreement, a
mechanism to adjust work specifications and
program expectations in the event of funding cuts
or significant new requirements without
corresponding adjustments in program resources.
• Inventory the local agencies capabilities, so that the
performance expectations in the agreement match
what the local agency is capable of doing.
* Define jurisdictional responsibilities so that there is
no overlap of function or duplication of effort.
• Formalize contacts between the state and local
agencies in the agreement (e.g. require: quarterly
reporting; set number1 of training sessions; etc.)
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learning Guide for Drinking Water Contracts Dctwuui State and Local Governments
What are the particular strengths of the agreemnt? What are the
strengths of the relationship between the state and local agencies?
In both cases, why do they work?
"The strengths of the agreement are that it provides substantial annual funding and
encourages program efficiency; allows local agencies to run a complete program, and allows for
evaluations of each agency promoting communications, understanding and trust. The key to any
relationship is understanding and trust. If the agreement fosters communication and
understanding, each agency can gain confidence in the other and work together to accomplish
the task."
This observation from one state administrator captures the essence of the responses and
clearly highlights the value of having a contractual relationship in place. Other positive impacts
of establishing a contractual relationship between state and local agencies include.
• Allowing for some local control and authority over
the program.
* Establishing a means of local input into state
program planning and priorities.
* Improves the performance of the state agency by
allowing the state to assign program responsibilities
to the local program.
* Provides a means of quality control over the
program by establishing standards and evaluating
performance as part of the contract requirements.
* Promotes accountability in the program because
responsibilities are clearly defined.
* Improves performance of agency personnel by
establishing requirements for education, training,
and continuing education.
• Promotes efficient planning by establishing program
standards and goals for a set period of time.
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Does this agreement function m the "real world", the way it appears
on paper?
The most frequent answer to this question is also the most obvious, "not completely".
However, the most significant point to make here is that an effective agreement should, to the
extent possible, reflect the way the program actually functions once performance standards are
established. The vast majority of programs felt that with respect to critical activities, or as one
administrator put it "the things that really matter", the agreements do in fact reflect how the
program really functions. Another interesting point was the observation by one administrator
that the agreement gave both state and local agencies goals to "shoot for". In short, to the
extent that the programs did not function the way it appeared to under the agreement, the
existence of those standards in the agreement made both agencies aware of what changes had to
be made to improve the performance of the agencies.
Do you expect the agreement to remain the same or change, given
the new state responsibilities under the SDWA and the
accompanying increase in federal rules and regulations?
Every program administrator expects substantial program changes in light of the
requirements of the Safe Drinking Water Act. Interestingly, although they recognize this will
involve changes in the contractual relationship between the state and local programs, they felt
the coming changes and increased regulation were the single most compelling reason for keeping
the contracts in place. Similarly, they were unanimous in their view that this was the single most
important reason for establishing a contractual relationship between state and local programs in
those states that currently have no agreements.
The ability of the state agencies to maintain primacy and the ability of the local
programs to meet increased regulatory standards are enhanced by establishing written
agreements for responsibilities under the drinking water program. One final point for your
consideration is the widely held concern over available resources for the drinking water
program. It is generally acknowledged that in moving toward full implementation of the SDWA,
scarce program resources will be stretched even further. In recognition of these facts, all the
administrators urged active consideration of establishing and maintaining contractual
relationships between state and local programs. While certainly these contracts alone will not
solve your resource allocation problems or your regulatory compliance requirements, they should
be viewed as a valuable tool in maximizing your resources for the challenges that lie ahead.
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Learning Guide for Drinking Water Contracts Between -^ittf •*"* 1-***^ Governments
Limited Agreements
Some of the following sections and sentences within the actual contracts are shown in
bold print to highlight sections and sentences which are particularly relevant to drinking water
programs.
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Learning Guide for Drinking Water Contracts Between State and Local Govern
Arizona
This agreement is between the Arizona Department of Environmental Quality and the
County Health Department of Yavapai County. This is an example of a limited agreement.
The county undertakes certain specified activities within the State program. While the county
has delegated authority for those activities, its scope of responsibility is relatively limited and the
State has a strong oversight role.
The agreement authorizes the county to approve design and construction of new and
existing drinking water facilities and to do compliance inspections of most noncommunity
systems. The State retains authority for inspecting community systems and any noncommunity
systems serving dairy operations or the county and those owned or operated by the State or
Federal Government. The county cannot approve construction for a facility which is in violation
unless the construction is intended to solve the compliance problem. The agreement also covers
other functions relating to waste water treatment facilities, septic tank systems, swimming pools
and mobile home parks.
The county has the authority to initiate enforcement actions. In addition, the county
does follow-up when a system is required to do microbiological check sampling and is authorized
to pick up a sample if the system is not responsive.
Interesting features in this agreement include the use of a checklist to specify authorized
activities and description of a specific procedure, called a training loop, for ensuring the quality
and consistency of plan reviews. The section on personnel requirements is very thorough.
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jfatTfttn^ Guide for Drinking Water Contracts Between State and Local Governments/Limited Agreements/Arizona
Delegation Agreement
Between
Arizona Department of Environmental Quality
and
Yavapai County Health Department
Whereas A.ILS. 49-107, authorizes the Director of the Arizona Department of
Environmental Quality (DEQ) to delegate to a health department or county board of health any
functions, powers, and duties which the Director believes can be competently, efficiently, and
property performed by the county health department, and
Whereas the Yavapai County Health Department (CHD) is a health department or county
board of health as defined in A.R.S. 49-107, and
Whereas the CHD is required by A.R.S. 36-1863 and A.HS. 49-106 to enforce and observe
rules adopted by the Arizona department of Health Services (DHS) and by DEQ and laws of
the State of Arizona pertaining to the preservation of public health and protection of the
environment, and
Whereas A.R.S. 11-201.3 authorizes the CHD to enter into contracts as necessary to exercise Its
powers, and
Whereas the CHD deems that it is in the best interests of the county to accept such delegation,
Therefore, the Director of DEQ delegates to the CHD, and the CHD agrees to accept
delegation of authority to perform those functions, and duties described in Appendices A-C on
behalf of DEQ on the terms and conditions contained herein.
A. RECORDS AND INSPECTIONS:
1. CHD agrees to prepare and maintain records relating to the performance of the
activities specified in this Agreement, for a period of three years, unless otherwise
required by statute or rule.
2. DEQ representatives may accompany employees of the CHD on inspections and review
all records relating to the performance of the activities set forth in this Agreement
Where practicable, such inspections will be conducted only after prior notice is provided
by DEQ to the CHD. CHD representatives may accompany DEQ inspectors on
inspections for purposes of training, information sharing or to coordinate CHD and
DEQ activities.
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yarning Gukfe for Drinking Water Contracts Dclwccu State and Local Gtivtmmenttfl jipft*** Agreements/Arizona
B. OPERATING GUIDANCE:
1. DEQ will provide CHD with a Manual of Operating Guidance for use in implementing
the terms of this Agreement The manual will contain copies of, or references to, DEQ
Engineering Bulletins, DEQ Information Memoranda, third party design publications,
procedural guidelines and other material that may assist the CHD in making decisions
necessary to carry out the functions, powers and duties contained in this Delegation
Agreement (Agreement). DEQ wfll update the contents of this manual periodically as
the need arises. CHD is encouraged to use the manual and to contact DEQ at any time
to request clarification or to request that additional guidance be added to cover a
particular topic.
C. ENFORCEMENT:
1. In carrying out its duties under this Agreement, CHD shall comply with the provisions of
A.R.S. 36-1863 and A.R.S. 49-106 and observe and enforce the rules of DEQ and the
DHS and laws of the State of Arizona pertaining to the preservation of public health and
protection of the environment.
2. The CHD shall be responsible for initiating timely and appropriate enforcement actions
against individuals and facilities to resolve violations of statues and rules applicable to
this Agreement as indicated in Section A of each Appendix hereto. DEQ retains
complete authority to take enforcement action against any individual, facility or violator
covered by this Agreement or, at its sole discretion, to refrain from exercising such
authority if enforcement action taken by CHD is timely, appropriate and effective.
3. The CHD shall respond to imminent health hazards which fall under the CHD's
delegated functions, powers, and duties. DEQ also retains authority to respond to, abate
or eliminate an imminent and substantial danger to public health or the environment.
4. In accordance with A.R.S. 49-106, the CHD is authorized to adopt and enforce
ordinances and rules which are consistent with, and at least as restrictive as, those of the
DEQ.
D. TERMINATION:
1. This Agreement may be terminated in whole or in part by either party, upon providing
30 days advance written notice by certified mail to the other party.
2. The CHD shall, prior to the termination of all or part of this Agreement, forward to the
DEQ Director, all pending applications received by the CHD for those functions, powers,
and duties being terminated and a summary status report of those functions, powers, and
duties, and shall provide written notification to all persons with pending applications and
to all regulated facilities affected by such termination.
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Learning Guide for Drinking Water Contracts Between State and Local Governments/Limited Agreements/Arizona
E. AMENDMENT:
1. This Agreement may be amended upon approval of both parties by executing and filing
with the Secretary of State an addendum which contains the desired amendments.
2. It is acknowledged that the rules cited in this Agreement may reflect authorities vested
in DHS under Title 9 of the Arizona Administrative Code. The rules of DHS pertaining
to those authorities that are transferred to DEQ will be renumbered. The CHD will be
notified by DEQ of the new rule numbers when they become available. Upon issuance of
such notifications, the new rule numbers shall become a part of this Agreement.
F. TERM OF AGREEMENT:
The effective date of this Agreement is the date of filing with the Secretary of State. The
expiration date of this Agreement is (insert date).
Director, County Health Department Director, AZ Dept of Environmental Quality
Date Date
COUNTY BOARD OF SUPERVISORS by
Chairman
Date
ATTEST:
by
Clerk of the Board
Date
APPROVED AS TO FORM: APPROVED AS TO FORM:
by by
County Attorney Assistant Attorney General
Date Date
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APPENDIX A
WATER Quality MANAGEMENT
A. DELEGATED RESPONSIBILITIES:
The CHD agrees to perform those water quality management functions and duties which
are indicated in the first column of the following table. Applicable rules include both
those that authorize the described activities and those that are to be enforced during the
conduct of those activities:
Delegated?
Functions and
Duties
Approval of design and
construction of line
extensions for existing
drinking water facilities
Approval of design and
construction of new
drinking water facilities
Compliance inspections
of community drinking
water systems
Compliance inspections
of non community
drinking water systems
Approval of design and
construction of tine
extensions for existing
wastewater facilities
Approval of design and
construction of new
wastewater facilities
Compliance inspections
of wastewater systems
not subject to federal
discharge permit re-
quirements under Sec-
tion 402 and 404 of the
Federal Clean Water
Act
Applicable
Rules
R9-8-230 thru
234
R9-8-250 thru
253
R9-8-233, 236,
260 thru 267
R9-8-233, 236,
260 thru 267
R9-8-313.314A
thru J, 317, 321,
325, 326, 329
R9-8-315,317,3-
25,326
R9-8-323, 324,
327
Personnel
Qualification
1,3,4
1,3,4
1,3,4
1 or 2, 4
1,3,4
1,3,4
1,3,4
Standards of
Performance
1-3
6,7
10
10
1-5
6,7
11
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Delegated?
Functions and
Duties
Applicable
Rules
Personnel
Qualification
Standards of
Performance
Compliance inspections
of wastewater systems
not subject to federal
discharge permit re-
quirements, that serve
fewer than 1000 per-
sons or have a design
flow less than 100,000
gallons per day
Approval of plans and
construction of septic
tank systems having a
design flow of 20,000
gallons per day or less
Approval of plans and
construction of alter-
nate individual on-site
disposal systems
Approval of plans for
mobile home and RV
parks
Approval of sanitary
facilities for sub-
divisions which connect
to existing water supply
facilities and either
connect to existing
wastewater facilities or
utilize individual sew-
age disposal systems
Approval of plans for
public and semipublic
swimming pools
Approval of construc-
tion of public and semi-
public swimming pools
R9-8-323, 324,
327
1 or 2, 4
11
R9-8-313, 314,
315, 321, 324-
327, 329
R9-8-313, 314,
315, 317, 321,
324-327, 329
R9-8-521, 522,
531, 533
R9-8-1011 thru
1036
R9-8-831 thru
847
R9-8-838, 852
1 or 2, 4, 5, 6
1, 2, 6-9
1,3,4
1,3,4
1,3,4
1, 2, 6, 7, 9
1-3, 6, 7
1-5, 13
1,3,4
1 or 2, 4, 5, 6
1, 2, 6, 7
6, 7, 12
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B. EXCEPTIONS AND SPECIAL PROVISIONS: .
1. Functions, powers and duties of DEQ are not delegated for drinking water and
wastewater facilities owned or operated by the federal government, the State of Arizona,
septic tank systems owned and operated by the U.S. Forest Service or drinking water
facilities serving daily producing or dairy processing operations and Yavapai County.
This exception does not apply to any county special district that has a board of directors
separate from the county board of supervisors.
2. National Pollutant discharge Elimination System (NPDES) inspections of wastewater
systems with discharge permits are not delegated. This does not preclude the CHD from
performing discretionary inspections of such facilities in accordance with County
programs and authorities.
3.
CHD may use individuals meeting Personnel Qualification 5 to perform construction
inspections of standard design water distribution and wastewater collection lines.
4. Within the City of Sedona, functions, powers and duties, including those relating to plan
review, of DEQ relating to plan review, of DEQ relating to wastewater facilities other
than septic tank systems having a design flow of 2, 000 gallons per day or less, are not
delegated.
5. Review and approval of projects which include provisions for new water treatment
facilities or new central wastewater treatment facilities which have a design flow in excess
of 100,000 gallons per day or are subject to federal NPDES permitting requirements, are
not delegated.
6. For septic tank systems with a design flow between 2,000 and 20,000 gallons per day, and
for which the disposal field application rates mandate the issuance of aquifer protection
permit (APP) by DEQ, CHD shall withhold issuance of the septic tank permit until
DEQ has issued the APP, or has issued a notice of intent to do so.
7. All delegated plan review functions, with the exception of individual on-site wastewater
disposal systems with design flow less than 2,000 gallons per day and water and
wastewater line extensions to the City of Prescott systems, shall be subject to the
following oversight provision. They shall henceforth be known as the Training Loop."
The purpose of these provisions is to ensure that the reviews conducted by, and the
approvals issued by, CHD comport with the reviews that DEQ would conduct, and the
approvals that DEQ would issue, on the same projects.
a. When CHD completes its review, and believes that a project is ready for
approval, CHD shall prepare a Certificate of Approval to Construct or and
Approval of Sanitary Facilities for Subdivisions, as appropriate, and forward a
copy of it, along with the complete plan review file, to DEQ for review by the
manager of the Technical Review Unit.
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o
b. DEQ staff wfll review the project and, if everything is in order, the Technical
Review Unit Manager wfll so notify CHD and authorize it to sign and mafl the
approval to the applicant The plan review file, wfll be returned to CHD. DEQ
wfll make every effort to do so within 10 working days of receipt of the file from
CHD.
c. If DEQ determines that more information or work is necessary before an
approval can be issued, any deficiencies wfll be noted and the file returned to
CHD. When all deficiencies are rectified or resolved, steps a. and b. (above) shall
be repeated.
d. If, at any time during which the Han Review Loop is in effect, CHD issues an
approval on a project which is subject to the loop without forwarding the project
to DEQ for review, CHD's approval shall be subject to invalidation. If at any
time during which the Training Loop is not in effect, CHD issues an approval on
a project which does not comply with applicable environmental rules and statutes
governing said project, CHD's approval shall be subject to invalidation. In such
cases, CHD shall notify the applicant in writing that its approval is rescinded.
Such notice shall be sent within 5 working days of receipt of written notice from
DEQ that the approval is invalid.
e. The Training Loop shall remain in effect for a nominal period of 6 months from
the effective date of this Amended Delegation Agreement DEQ may terminate
use of the loop early for specific classes of projects if it determines that CHD has
demonstrated the capability to properly execute such reviews. DEQ may, also at
its option, extend use of the loop beyond 6 months if it determines that such
capability has not been demonstrated.
f. Following this period, DEQ wfll evaluate CHD's execution of the plan review
function. If DEQ determines that CHD is satisfactorily implementing all elements
of the review process, DEQ wfll authorize CHD to discontinue use of the
Training Loop. Such authorization may occur for the entire plan review function,
or for portions thereof.
g. At any time during which the Training Loop is not in use for any delegated plan
review function, DEQ may reinstate the loop if it has reason to believe that CHD
has not, or may not be able to, satisfactorily implement all elements of the plan
review process.
h. Both the authorization to discontinue use of the Training Loop, and any
subsequent directive to reinstate it, shall be in the form of a Certified Letter-
Return Receipt Requested.
8. With regard to plan review and construction inspection activities, projects for which
Approvals to Construct were or are issued by DEQ wfll continue to be administered by
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DEQ until Approvals of Construction are issued. Projects for which.the Approval to
Construct were are issued by CHD until Approvals to Operate are issued. Upon issuance
of the final construction approvals, the projects will be considered part of the facilities to
which they were added, and subsequent regulatory oversight will be handled by the
agency to which this Agreement assigns such responsibility.
C. PERSONNEL QUALIFICATIONS:
The following minimum personnel qualifications shall apply, where indicated, to
individuals performing the functions and duties listed in Section A of this Appendix.
1. Duties shall be performed by, or under the direct supervision of a Professional
Engineer registered in the State of Arizona who has at least four years
experience in sanitary engineering or a closely related field.
2. Duties shall be performed by or under the direct supervision of a Registered
Sanitarian with the following minimum qualifications: Two years of professional
experience in public health sanitation; or a Bachelor's degree in public health,
sanitary engineering or directly related field and one year of professional
experience in public health sanitation; or a Master's degree in public health,
sanitary engineering or directly related field.
3. Duties may be performed by a Registered Sanitarian under the direct supervision
of a Professional Engineer registered in the State of Arizona.
4. Duties may be performed by a person who possesses the minimum qualifications
of a Bachelor's Degree from an accredited college or university with a major in
engineering or a field closely related to environmental health and who is under
the direct supervision of a Professional Engineer registered in the State of
Arizona or Registered Sanitarian.
5. Duties may be performed by a person who possesses the minimum qualifications
of 90 semester hours of engineering education and one year of sub-professional
experience, or 60 semester hours of engineering education and two years of sub-
professional experience, or 30 semester credit hours of engineering education and
three years of sub-professional experience, or a high school diploma or graduate
equivalency diploma and four years sub-professional experience and who is under
the direct supervision of a Professional Engineer registered in the State of
Arizona.
6. Duties may be performed by a person who possessed the minimum qualifications
of two years of college training in public health, sanitary engineering or closely
related field and two years of related experience and who is under the direct
supervision of a Professional Engineer registered in the State of Arizona or a
Registered Sanitarian
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learning Guide for Drinking Water Contracts Duwucii State and Local GovemmenU/Limited AgreemeDts/Arizona
D. STANDARDS OF PERFORMANCE:
The following standards of performance pertain to those functions and duties listed on
Section A of this Appendix which contain references to them.
1. A permit application or plan approval application must be acted upon within 30
days after submittal of a completed application.
2. Plans and specifications for new facilities will be reviewed for conformance with
the indicated rules, with the laws of the State and with the guidelines of DEQ.
Plans that comply with such requirements may be approved for construction.
Issuance of approvals to construct may be processed through the CHD's central
permit system. Approvals to Construct must be denied for proposed facilities for
which plans and specifications do not demonstrate that the system can reasonably
be expected to comply with the indicated rules.
3. No approval of Sanitary Facilities for Subdivisions or Approval to Construct shall
be issued for any project involving a water supply or wastewater facility which is
not in compliance with the DEQ's rules governing operation and maintenance
unless the purpose of such project is to bring the facility into compliance. CHD
shall contact DEQ's Compliance Section to determine the compliance criteria and
current system compliance status.
4. In accordance with R9-8-314.I an Approval to Construct shall not be issued for
any wastewater project which is not in conformance with a Certified Water
Quality Management Plan or Facility Plan.
5. An Approval to Construct shall not be issued for any wastewater project for
which a groundwater quality, aquifer protection, reuse, underground injection
control or federal discharge permit is necessary until such permit(s) have been
obtained. CHD shall direct the applicant to the Plan Review and Permits Section
of DEQ to obtain the necessary Permit(s).
6. All facilities approved for construction shall be inspected during construction to
insure that they conform to the approved plans and specifications. In accordance
with R9-8-251A and R9-8-314.G, any deviation from the approved as-built plans
or modification of construction to bring it into conformance with the approved
plans. In b'eu of performing a construction inspection itself, CHD may, at its
discretion, accept written certification of completion of construction in
accordance with approved plans and specifications that has been submitted by a
Professional Engineer registered in the State of Arizona. CHD shall perform
audit inspections to verify the validity of at least 10% of the Engineer's
Certificates of Completion is not submitted to the CHD.
7. A final construction inspection must be completed within 15 days after receipt
from the applicant of a request for such an inspection on all projects for which an
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Learning Guide for Drinking Water Contracts DUwiui Stale and Local Governments/Limited Agreements/Arizona
engineer's Certificate of Completion is not submitted to the CHD.
8. The CHD's normal septic tank permitting process applies only to septic tank
systems with subsurface disposal which treat primarily domestic sewage and have
a design flow of less than 2,000 gallons per day. Systems that do not meet these
criteria will be reviewed by the CHD, but a septic tank permit shall not be issued
until a groundwater quality or aquifer protection permit is issued by DEQ. CHD
shall direct the applicant to the Plan Review and Permits Section of DEQ to
obtain the necessary permit.
9. An inspection will be performed, prior to backfill, on all septic tank systems and
other on-site disposal systems to verify that construction has been completed in
conformance with the approved plans. Any deviation from the approved plans
shall be reconciled either by submission of approvable as-built plans or
modification of construction to bring it into conformance with the approved
plans. All construction shall be performed either by the owner pursuant to A.R.S.
32-1121A.2 or by a licensed contractor pursuant to A.R.S. 32-1101.A.2.
10. Compliance inspections of public water systems shall be performed at least once
every three years, except that facilities using surface water supplies shall be
inspected annually.
11. Compliance inspections of alternate on-site wastewater facilities shall be
performed annually. Compliance inspections of other delegated wastewater
facilities shall be performed at least once every three years.
12. Where approval of construction of public and semipublic swimming pools is
delegated to CHD and approval of plans is not delegated, the Technical Review
Unit of DEQ shall furnish CHD with copies of approved plans and specifications
for use in conducting construction inspections.
13. A Certificate of Approval of Sanitary Facilities for Subdivisions shall not be
issued for subdivisions with proposed subsurface wastewater disposal densities
greater than 2,000 gallons per day per acre, or for subdivisions which may
adversely impact groundwater quality, until the DEQ has determined that there
will be no adverse impact on groundwater quality. CHD shall direct the applicant
to the Groundwater Hydrology Unity of DEQ to obtain such a determination.
Pursuant to AA.C. R9-8-1027.B, individual disposal systems are prohibited where
soil conditions and terrain features or other conditions are such that these
systems cannot be expected to function satisfactorily or where groundwater or soil
conditions are such that these systems may cause pollution of groundwater.
14. CHD shall respond in all situations in which delegated water systems are
required to perform microbiological check sampling in accordance with R18-4223.
CHD win follow the procedures in the Manual of Operating Guidance to insure
that all such instance are satisfactorily resolved. It may be necessary for the
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Guide for Drinking Water Contracts Between State and Local Governments/Limited Agreements/Arizona
CHD to pick-up a special sample itself if a water system is not responsive.
15. CHD shall notify DEQ immediately upon discovery of a non-permitted
wastewater discharge. Upon investigation and verification, DEQ will submit
a"non-filer" report to the U.S. Environmental Protection Agency in accordance
with federal requirements.
E. REPORTING REQUIREMENTS:
The CHD shall submit the following information on forms provided or approved by
DEQ:
1. For counties with delegated authority covering inspections of drinking water or
wastewater systems other than, or in addition to, individual on-site sewage
disposal systems:
a. Two copies of each inspection report; one to DEQ's Compliance Section
and one to the appropriate DEQ Regional Office Manager. Inspection
reports will follow a format similar to DEQ's inspection reports and cover
at least the same items indicated on DEQ's Field Inspection Check-List.
b. Two copies of each administrative, civil, or criminal action initiated under
this Agreement; one to the Compliance Section and one to the Regional
Office Manager.
c. Two copies of an inventory update form, one to the Compliance Section
and one to the Regional Office Manager, for each change or update
which needs to be made to the information contained in the inventory.
Inventory information shall be verified during each inspection. A form
shall be submitted following each inspection which shall contain any
changes and indicate the inspection date and the operation and
maintenance compliance status. A form shall be submitted following the
issuance of any approval of construction for a new water supply or
wastewater system, including any alternate on-site wastewater disposal
system, covered by this agreement
d. One copy each of the approved plans, Approval to Construct and other
related documents, to the Plan Review and Permits Section, for each
project approved by the CHD which the CHD believes may require a
groundwater, aquifer protection, reuse, underground injection control or
federal discharge permit A copy of each Approval of Construction shall
be submitted to the Regional Office.
e. A monthly summary of activities, to the Regional Office Manager, which
contains at a minimum:
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Learning Guide tor Drinking Water Contracts Between State and Local Governments
(1) A list of drinking water and wastewater systems for which
inspection reports were completed under this Agreement during
the month. The operation and «namt^n?nf»* compliance status shall
be indicated for «^acfa inspection.
(2) A list of drinking water and wastewater systems for which
administrative, civil or nominal actions were initiated under this
Agreement during the month.
(3) Tallies of the number of items completed by program area in the
following categories, as appropriate, during the month:
(a) site suitability inspections
(b) plan reviews completed
(c) construction inspections
(d) construction approval issued
(e) complaints handled
2. For counties with delegated authorities covering individual on-site sewage
disposal systems only:
a. One copy each of the approved plans, Approval to Construct and other
related documents (correspondence, laboratory analyses, engineering and
hydrological reports, additional items submitted voluntarily or by request,
etc.), to the Plan Review and Permits Section, for each project approved
by the CHD which the CHD believes may require a groundwater quality
or aquifer protection permit.
b. An annual summary of activities, to the Regional Office Manager, which
contains at a minimum:
(1) A list of facilities for which administrative, civil or criminal actions
were initiated under this Agreement during the year.
(2) A copy of each such action.
(3) Tallies of the number of items completed in the following
categories, as appropriate:
(a) Permits issued
(b) Complaints investigated
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framing Guide for Drinkiiig Water CooUactB Between State and {.An*1 flfl»ermiigntM
«
The following addresses may be used in meeting the reporting requirements contained in
this section:
Office of Water Quality Office of Water Quality
Compliance Section Plan Review & Permits Section
2005 N Central Ave 2005 N Central Ave
Phoenix, AZ 85004 Phoenix, AZ 85004
Attn: (insert name) Attn: (insert name)
For the Regional Office Manager, see the following section.
F. AGENCY CONTACT PERSONS:
The following CHD Employee has been designated as responsible for administering the
functions and duties pursuant to this Appendix. The CHD shall provide written notice of
any successor.
NAME: (insert name)
TITLE: (insert title)
The following employee has been designated as responsible for administering the
functions and duties pursuant to this Appendix. The DEQ shall provide written notice of
any successor.
NAME: (insert name)
TITLE: (insert title)
ADDRESS: (insert address)
The naming of a successor to either of the above individuals shall not require the re-
execution of or an amendment to this agreement.
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Learning Guide for Drinking Water Contracts Between State and Local Governments/Limited Agreements/Montana
Montana
Elaine County, MT has 12 active public water supplies . The largest has 750 hookups
and several serve schools and bars. This is a good example of a limited agreement in rural
county.
The county does sanitary surveys of community and non-community water systems and
forwards a copy of any recommendations to the State. The county also collects samples from
systems identified by the State. The requirement to get the sample to the laboratory within a
set time is specified. The county also notifies the State of disease outbreaks and disasters
affecting water supply. The county is paid on a per survey basis with a cap of 9 surveys.
At the request of either party the State can participate in the Counties activities. The
agreement also contains a clause which give the county a specific role in providing information
about the drinking water program to water suppliers and the public.
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DHES Contract No. 900084
Federal Catalog No. 66.432
AGREEMENT
An Agreement is hereby made between Elaine County (County) and the Montana Department
of Health and Environmental Sciences (DHES) of Helena, Montana, for the purpose of
inspecting and testing small public water supplies to ensure their safety. The parties, in
consideration of mutual covenants and stipulations described below, agree as follows:
SECTION I: SERVICES
The County shall, from (date) through (date):
(1) Do the following in regard to public water supplies within its jurisdiction (with the
exception of any operated by the U.S. Forest Service) which are either community water
systems [as defined by ARM 16.20.202(12) (a)] or non-community water systems [as
defined by ARM 16.202(12) (b)] designated by DHES:
(a) Complete and submit to DHES' Water Quality Bureau (WQB), Room A206,
Cogswell Building, Helena, Montana 59620, a sanitary survey of each system
consisting of all of the information requested on:
(i) the "Report on Operation and Maintenance of Water Supply Systems",
Attachment A to this Agreement, including a detailed diagram of the
water system showing the water source, construction, appurtenances, and
location relative to potential sources of contamination (an adequate
description may require the diagramming to be in both the plan and
profile view): or
(ii) the "Montana Public Water Supply Program Inventory Detail",
Attachment B to this Agreement, if the WQB already has a completed
copy of the report described in (i) for the system.
At the request of either party, a WQB representative may accompany the
County's representative during a sanitary survey.
(b) During each survey, provide the owner, operator, or manager of the system being
surveyed with recommendations regarding any deficiencies in sampling, operation
and maintenance, or system condition that were found during the inspection; a
record of such recommendations must be kept and submitted to DHES, along
with the survey, a written notation of the name of the person contacted, any
questions that individual had, and, if the person refused to comply with the public
water supply rules, a notation of that fact.
(c) Coned, from each system designated by DHES, a sample of water for
bacteriological examination and submit it to a DHES-certified microbiology
laboratory early enough to ensure that it will arrive in the laboratory within 48
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Guide for Drinking Water Contracts Dclmxa State and Local Cif*fTnmmt*f\ mitrA Agreements/Montana
hours after the time of collection.
(d) Collect and submit to DHES' Chemical Laboratory Bureau, Cogswell Building,
Capitol Station, Helena, Montana 59620, samples of water for nitrate or complete
chemical analysis from the particular systems designated by DHES, early enough
to ensure that each will arrive at the laboratory within 7 days after the sample
was take, and add to each and identify preservatives as instructed by DHES: the
County agrees to pay the cost of delivering the samples.
(e) Collect and submit to the WQB, at the address noted in (a) above, samples of
water for radiological analysis at the frequency and from the particular systems
designated by DHES.
(f) When possible, collect and submit to DHES $650 from each supply from which a
sample for microbiological analysis by DHES' Microbiology Laboratory is taken,
pursuant to (c) above.
(2) Interpret EPA and Montana rules, regulation, policies, and recommendations relating to
public drinking water supplies to the owners, operators, and managers of public water
supply systems and to the general public, upon request by individuals or DHES.
(3) Report any suspected or proven waterborae disease outbreaks to the WQB immediately
by phone.
(4) Notify the WQB immediately by phoning when natural or manmade disasters cause
disruption of any public water supply [as defined by ARM 16.20.202(12)] or quality of
treatment of any such supply or when advance warning exists of impending disasters
threatening such service or treatment, as in the case of floods.
(5) Upon request by the WQB, at a frequency of no more than once per month, provide to
the WQB a report of activities the County has performed pursuant to this Agreement
during the relevant time period, including sanitary surveys; samples collected for
chemical, biological, or radiological analyses; letters written; complaints received;
complaints investigated; waterborne disease outbreaks suspected, along with the results
of follow-up investigations of those outbreaks; and any emergency conditions threatening
public water supplies which may have occurred, either manmade or due to natural
disaster, plus any action taken to deal with each.
(6) Assist the WQB with record-keeping necessary to this Agreement, tabulation of data
generated by this Agreement, and review of sample analytical results.
SECTION II: DATES TO COMMENCE AND CpMPf TJTB SERVICE
Performance of this Agreement shall begin and the services described in Section I must be
completed by unless this Agreement is terminated earlier pursuant to Section IV or DC
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Teaming Guide for Drinking Water Contracts Between s*»** and Local finugrnnu-ntit/f jmitI^H Agreements/Montana
SECTION m: CONSIDERATION
In consideration of services rendered pursuant to this Agreement, DHES agrees to pay the
County $45 for each survey submitted to DHES pursuant to Section I (1) (a) if it is approved by
DHES as completed and the owner, operator, or manager of the system surveyed was contacted
as required by Section I (1) (b).
The County agrees to submit quarterly a vendor's invoice for the amount claimed, accompanied
by the surveys completed during the relevant quarter. DHES shall reimburse the County for the
amount claimed as soon as possible after receiving the statement. A final statement of the
balance due under this Agreement must be submitted by June 30, 1989, if it is to qualify for
payment.
Total payments by DHES for all purposes under this Agreement may not exceed $405.
SECTION IV: TERMINATION
(1) The County understands and agrees that DHES, as a state agency, is dependent upon
federal and state appropriations for its funding, and that actions by Congress and the
Montana Legislature may preclude funding this Agreement through the completion date
stated in Section n. Should such a contingency occur, the parties agree that DHES may
set a new completion date or terminate the contract immediately, depending upon the
funding remaining available for the Agreement, and that the County will be compensated
for services rendered and expenses incurred to 5:00 p.m. of the revised completion date.
(2) Except for the provisions of paragraph 1 above, and Section IX, either party may
terminate this Agreement for failure of the other party to perform any of the services,
duties, or conditions contained in this agreement after giving 30 days written notice to
the other party.
(3) Any termination of this Agreement is subject to the exception that paragraph (2) of
Section IX relating to retention of and access to records will remain in effect.
SECTION V: ASSIGNMENT AND SUBCONTRACTING
The parties agree there will be no assignment or transfer of this Agreement, of any interest in
this Agreement, unless both parties agree in writing. The parties agree that no services required
under this Agreement may be performed under subcontract unless both parties agree in writing.
SECTION VI: EQUAL OPPORTUNITY
Pursuant to Sections 49-2-303 and 49-3-207, Montana Code Annotated, no part of this contract
shall be performed in a manner which discriminates against any person on the basis of race,
color, religion, creed, political ideas, sex, age, marital status, physical or mental handicap, or
national origin by the persons performing the contract Any hiring shall be on the basis of merit
and qualifications directly related to the requirements of the particular position being filled.
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Learning Guide tor Drinking Water Contracts Between State and Local Governments/Limited Agreements/Montana
SECTION VII: VENUE
The parties agree that, in the event of litigation concerning this Agreement, the venue shall be
in the First Judicial District of the State of Montana, in and for the County of Lewis and Clark,
SECTION Vm: MODIFICATIONS AND PREVIOUS AGRF.RMF.iyTS 1
This instrument contains the entire Agreement between the parties, and not statements,
promises or inducements made by either party or agent of either party which are not contained
in this written Agreement are valid or binding. This Agreement may not be enlarged, modified
or altered expect in writing, signed by the parties. No change, addition, or erasure of any
printed portion of this Agreement is valid or binding upon either party.
SECTION DC AUDITING. RECORD RETENTION AND ACCESS TO RECORDS
(1) The County must keep on file and available for review, audit and evaluation complete,
accurate, documented, and current accounting of all funds received and expended
pursuant to this Agreement. Those funds must not be combined with any other funds.
(2) Financial records, supporting documents, statistical record, and all other records
documenting the services provided by the County under this Agreement must be retained
for a period of 3 years after the date of submission of the final statement of
reimbursable expenses referred to in Section III of this Agreement. The County agrees
to make the records described herein available at all reasonable times at its general
offices. If any litigation, claim, or audit is started before the expiration of the 3-year
period, the records must be retained until all litigation, claims, or audit findings involving
the records have been resolved.
(3) The County agrees to allow access to the records of the activities covered by this
Agreement as may be necessary for legislative audit and analysis purposes in determining
compliance with the terms of this Agreement, as required by Section 5-13-304, Montana
Code Annotated. Notwithstanding the provisions of Section IV, this Agreement may be
terminated upon any refusal of the County to allow access to records necessary to carry
out the audit and analysis referred to above.
(4) If the County receives a total of $25,000 or more in federal funds from all sources of
federal financial assistance during the fiscal year covered by this Agreement, it must
provide DHES with a copy of its annual or biennial audit within 30 days after the
report's issuance. The audit must cover the time period stated in Section n and the
audit report must comply with the following requirements:
(a) If the County receives a total amount of federal financial assistance of $100,000
or more during the fiscal year covered by this Agreement, the audit report must
meet the requirements of OMB Circular A-128 and the U.S. Office of
Management and Budget's Compliance Supplement for Single Audits of State
and Local Governments, as revised April, 1985 ("Supplement"); or
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learning Guide for Drinkiiig Water Contracts Between State and Local Governments/limited Agreements/Montana
(b) If the County receives between $25,000 and $100,000 during the fiscal year, the
audit report must either:
(i) meet the requirements of the documents cited in (a) above; or
(ii) meet the specific requirements of each source of federal assistance, plus
the Supplement.
NOTE: The County must notify DHES in writing within 30 days after the end of the
fiscal year covered by this Agreement if it has received less than $25,000 in total
federal assistance during that year and therefore does not need to submit an
audit report to DHES.
(5) The State of Montana, DHES, the Montana Legislative Auditor, the Environmental
Protection Agency, and the Comptroller General of the United States, or any of their
duly authorized representatives, have the right of access to any books, documents,
papers, and records of the County which are pertinent to the services provided under
this contract, for purposes of making an audit, excerpts, or transcripts. Further, for
purposes of verifying cost or pricing data submitted in conjunction with the negotiation
of this contract or any amendments thereto, the State and DHES, until completion date
cited in Section n, have the right to examine those books, records, documents, papers,
and other supporting data which involve transactions related to this Agreement or which
will permit adequate evaluation of the cost or pricing data submitted, along with the
computations and projections used in them.
SECTION X: SEVERABDJTY
It is understood and agreed by the parties hereto that if any term or provision of this contract is
by the courts held to be illegal or in conflict with any Montana law, the validity of the remaining
terms and provisions shall not be affected, and the rights and obligations of the parties shall be
construed and enforced as if the contract did not contain the particular term or provision held
to be invalid.
SECTION XI: HOLD HARMT RSS AVT> INDEMNIFICATION
The County shall hold harmless and indemnify DHES for any liability, claims, demands, costs
and actions at law for the loss or damage to property or for death or bodily injury arising out of
the performance of this Agreement whenever the liability, claim, demand, cost, action or
damage is caused by or arises out of the acts or negligence of the County or its officers,
employees or agents. The County agrees that it will defend DHES against any claims, demands
or actions at law arising out of the County's performance of this Agreement, and that DHES, at
its option, shall be the sole judge of the acceptability of any compromise or settlement of any
claims, demands, or actions at law against DHES.
SECTION XH: LIAISONS
The County's liaison to DHES for purposes of this Agreement is Elenore Gustafson, Sanitarian,
or her successor.
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Guide for Drinking Water Contracts Dttwcui State and Local Governments/Limited Agreements/Montana
DHES' liaison to the County for purposes of this Agreement is Jim Melstad, WQB Sanitary
Engineer, or his successor.
SECTTONIV: EXECUTION
This Agreement consists of 6 pages and 2 Attachments. The original is to be retained by the
Centralized Services Division of DHES. A copy of the original has the same force and effect
for all purposes as the original.
To express the parties' intent to be bound by the terms of this Agreement, they have executed
this document on the dates set out below:
ELAINE COUNTY
Date
BY:
Chairman,
Elaine County Commissioners
P.O. Box 1175
Chinook, MT 59523
Employer's ID No.
DEPARTMENT OF HEALTH AND
ENVIRONMENTAL SCIENCES
BY:
Date
Approved for legal content by:
Administrator, Centralized Services Division
DHES Counsel
Date
BLAINECO.WQ
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Attachment A
SYSTEM DIAGRAM AND DESCRIPTION
(Show location of well or spring, water storage, treatment equipment, etc. Describe how the system operates
and the types of service connections.)
System Evaluation {Comments and Recommendations)
1. Is maintenance and general appearance adequate? System deficiencies? Corrective action needed?
2. Describe methods of water treatment
3. Water samples taken? (Chlorine residual, bacteriological, chemical)
Information Provided by:
Signature
TWe
Date
Tide (System Owner. Operator, etc.)
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Guide for Drinking Water Contracts Dawaca State and Local Governments/Limited Agreements/Montana
Attachment B
MT PUBUC WATER SUPPLY PROGRAM
INVENTORY DETAIL
PWSID
CLASS
POPULATION
STATUS
System Name 1:
Name 2:
Street
City:
Location:
SAM RFQ/MO:
O Waiver
Facility Type:
Ph#:
ST: ZIP:
County: 093
Owner Name:
Street
City:
Operator
Owner Type:
Ph#:
ST: Zip:
Co Name:
Ph#:
Seasonal Operation
Open:
Close:
Days Open:
Production (Gal)
Ave Daily:
Max Daily:
Storage:
Source Purchased from
Treatments:
Source Name:
Sanitary Survey Date:
Comment/Narratiave:
Number of Connections:
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Montana Department of Hearth and Environmental Sciences
Attachment
Report on Operation and Maintenance of Water Systems
Date of Inspection:.
Name of Public Water System:.
Owner and Mailing Address: _
Phone:
General Inventory
Type of Establishment
System Classification:
Community D Non-Community D
of connections
I Actual # of connections at time of inspection:
Population Served (Number/Day):
Summer
Winter
Water Usage Metered
Yes D No
If yes, amount used during last fiscal year
Yes or no. estimate of average day:
Summer
Winter
Type of Storage:
Capacity (Gallons)
Ctorination:
Yes
No
Foundation:
Yes
No
(If community Supply) Certified Operator for the System?
Name:
Yes
No
Well Information
No. 1
No. 2
No. 3
Spring Information
Location (Section Description)
Location (Section Description)
Date Drilled
Provision for surface drainage
from site?
Depth
Ft
Ft
Ft
Collection system adequately
sealed?
Pump Capacity (gpm)
Access locked?
Submersible pump? (If not,
distance pump base above
floor? Base of pump adequately
sealed?
Overflow screened?
Nearest septic tank?
Ft
Drainfield
R
Well vent screened?
Is floor adequately drained?
Nearest septic tank
R
Ft
Ft
Drainfield?
R
Ft
R
Emergency power provided
Well house locked?
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Guide for Drinking Water Contracts Between State and Local Govern
Comprehensive Agreements
Some of the following sections and sentences within the actual contracts are shown in
bold print to highlight sections and sentences which are particularly relevant to drinking water
programs.
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Learning Guide for Drinking Water Contracts Dctwaui State and
Oregon
Under this agreement, the county receives partial funding to conduct a drinking water
program for all the public water systems within its jurisdiction. If the county has adequate
engineering staff available, plan review is also an option. The county cooperates with and assists
the State in enforcing compliance.
Within the range of drinking water activities that the county can undertake, this
agreement clearly sets priorities. Sanitary surveys must be done. Then, to the extent that
resources allow, they must concentrated on other top priority (priority 1) tasks such as technical
assistance and training. Optional activities, such as identifying new systems and plan review are
included in the agreement. The amount of effort that the county expends on each activity is
negotiated upfront.
In addition the grant agreement, a copy of the State's "program backup document" and a
copy of their county drinking water grant evaluation form are included. The program backup
document specifies the regulatory authorities for each item within the scope of work and
provides additional commentary and definitions. The grant evaluation form is used to assure
that the counties' activities comply with the agreement and to document any changes needed.
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Learning Guide for Drinking Water Contracts Between State and Local Govcn
DRINKING WATER SYSTEMS GRANT INFORMATION SHEET
(insert FY year)
Agency Estimated FY Grant Award:
PURPOSE
This grant is intended to provide partial support only to counties that elect to take responsibility
for the drinking water program. These "water contract" counties will help water purveyors
achieve compliance with State and Federal drinking water quality regulations. This will help
assure that safe drinking water is produced at those public water systems which are located in
the counties covered by this contract.
FORMULA FOR DISTRIBUTION OF FUNDS
The drinking water systems grant distribution for fiscal year (insert year) will be by formula. The
formula used to calculate the grant awards is show below:
Payment is based on the number of community water systems with 200 or fewer users,
plus non-community water systems. The community and non-community systems that
have surface water sources are double counted, and the non-community, non-transient
water systems are double counted. No payments shall be less than 90% of the FY (insert
year) payments.
BASIC PROGRAM DESCRIPTION
This grant provides partial funding to allow county health departments to either expand their
existing drinking water program or to begin this as a new responsibility. A drinking water
program contains the following elements:
1. Provide services and conduct a program designed to reduce non-compliance rates
for water systems under its jurisdiction by at least 10% each year.
2. Provide technical assistance to public water systems, especially those that violate
the maximum contaminant levels and which are non-reporters. Assure that public
notices are provided as required.
3.
distribution systems, the operation
potability of the water
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Learning Guide to Drinking Water Contracts Da»cca State and Local Government*
9
4. Investigate all waterborne illnesses and water quality complaints.
5. Develop, adopt and maintain an emergency response plan.
PLAN REVIEW SERVICES OPTION
Each grantee has the option of providing water system plan review and approval services. The
county must demonstrate that adequate engineering staff is available to review water system
construction plans. If the county chooses to provide these services, the grant allows the county to
collect and retain those fees required for plan review as set forth in OAR 333-61-060.
Eligibility
Counties that have delegation for environmental health programs are eligible for a drinking
water systems grant.
ASSURANCES
County grant recipients shall agree to the Division's general assurances and to the specific
assurance, guidelines and procedures of the drinking water system grant program.
CONTACT PERSON
(insert name and address of contact person)
MID YEAR/YEAR-END REPORTS
Reports are to be written and submitted to the Division according to the following schedule:
Report Period Report Due
(insert dates) (insert dates)
Send one copy of each report to (insert contact person).
ACnTVTTY/FTE PROJECTIONS
In accordance with Assurance #5, please complete and submit copy of Table 1 to the Grant
Coordinator by (insert date).
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y fufninp Guide for Drinkiog Water Contracts T** lw n S*atP w^ T^r°l Govcnunents
PROGRAM DETAIL
On a separate piece of paper, please explain the role and level of involvement of the county p
ublic health authority — administrator or health officer — in the county's drinking water program
in:
A. Waterborne illness or outbreak investigation.
B. Issuance of a compliance schedule for failure to meet State and Federal
standards for public water systems.
C. Public health issues related to the DWS grant
D. Any other situation that poses a potential or imminent threat to the users of a
public water system, Le. chemical spill or other incident that may contaminant a
public water system.
*NOTE: Counties participating for the first time in the Drinking Water Program
must respond to A-D above. The remainder of the counties may state
"statement currently on file with the Drinking Water Section."
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Learning Guide for Drinking Water Contracts Between State and Local Governments
DRINKING WATER ASSURANCES
1. A Registered Sanitarian or an individual registered as a Professional Engineer with training in
environmental health wfll carry out the intentions of this program. The county health administrator
will participate in the decision making on county drinking water issues and when waterborne disease
outbreaks are investigated.
2. Personnel engaged in drinking water programs shall attend the annual public water systems workshop
sponsored by the Health Division. If circumstances do not permit all to attend, at least one (preferably the
person with primary responsibility for drinking water) shall attend.
3. The county shall provide services and conduct program designed to reduce noncompliance rates for water
systems under its jurisdiction by at least 10% per contract period. The counties wfll contact the non-reporters
and MCL violators (on-site or by phone) to determine why the violation occurred and help the purveyor
correct the problem. Non-compliance rates for (insert date) will be sent to each contract county on or about
(insert date). These rates wfll be used to measure the counties' success in reducing non-compliance rates by
10% for FY (insert year) and as a "starting rate" for FY (insert year). Non-compliance rates are calculated
as shown in the attached formulas.
4. The county shall cooperate with and assist the Division in enforcing compliance with the provisions of ORS
448.115 through 448.990. Whenever a complaint is received or there are reasonable grounds for believing
that any water system, or part thereof, is being constructed, operated, or maintained in violation of the
Public Water System Rules, the county shall:
Facilities not licensed by the Division - contact the facility and/or make
an inspection to notify the operator verbally and in writing of the
violation and shall use its best efforts to persuade him/her to make
corrections.
After the above actions have been exhausted by the county, and if the violator has not complied, the county
shall transmit the entire file and evidence to the Division. The county shall cooperate in assisting the
Division in reinforcing the local effort with formal and legal enforcement action by making inspections,
reports, hand delivery of notices and other actions which are requested by the Division.
Facilities licensed by the county under its delegation agreement with
the Division - Utilize all administrative and legal means necessary to
enforce the applicable statutes and rules to eliminate conditions
endangering the health of the public. Timely follow-up inspections will
be made determine if corrective action has been made on noted
violations.
5. The county shall conduct sanitary surveys and/or resurveys of PWS's as directed by Table 2 "Sanitary Survey
Frequency Criteria" and wfll assume responsibility for other priority I activities to the extent that the grant
allocation allows. The county and the Division wfll agree upon the FTE values assigned to each of the
priority I and n activities.
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Guide for Drinking Water Contracts Between State ««d Local Governments
Priority I Activities Priority II Activities
must be done optional
Administration ID New Systems
Sanitary Surveys, Resurveys ID Surface & Surface Influenced
MCL Violations Systems
Non-Reporters flan Review
Public Notice State Regulated Systems
Illness Investigations
Emergency Responses
Technical Assistance
Training
Other
Surveys and resurveys shall be conducted in accordance with Division policy and frequency criteria.
Vulnerability assessments will need to be completed at the same time the community water systems are
surveyed for the current grant year.
6. The county shall document its activities as described in the attached policy documentation of field work.
Documentation shall be forwarded to the Division monthly.
7. At least two written activity reports shall be submitted to the Division, one at mid-year and one at year-end.
These reports shall show the number of activities completed and the ~ values for the reporting period. Please
submit these figures on Table 1 of this packet.
8. The grantee shall maintain complete, up-to-date files on its public water systems. Authorized representatives
of the Division shall have access to all records pertinent to this grant for the purpose of Division audits.
9. The county health department must develop and maintain an emergency response plan which addresses how
the county will respond to public water system emergencies. This plan shall include a method of response for
notifying the State Drinking Water Program about water-related emergencies that are or may be, hazardous
to the public.
10. The county shall advise public water systems that plans for new construction, renovation, etc. must be
reviewed and approved by the Division before construction begins.
11. Plans will be reviewed by an engineer who is licensed in the State of Oregon and is approved by the Division.
12. Plans must be in compliance with local land use (i.e. Statement of Land Use Compatibility) and the water
system construction standards, as set out in OAR 333-61 before they are approved.
13. All requests for waivers from construction standards, variances, and permits will be referred to the Division
for action. The county shall assist the Division in assessing such requests.
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Learning Guide for Drinking Water Contracts Between State and Local Governments
14. The plan review and approval authority will be the county health officer/administrator.
15. Plans will be approved or disapproved within 21 days of receipt of a full set of water system plans.
Applies only to counties which have been granted plan review authority.
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CoiDprchco&vc Agreements/Oregon
Oregon State Health Division
Office of Environment and Health Systems
Drinking Water Program
County Drinking Water Grant Evaluation
County Date of Evaluation
Address Period Covered
Auditor(s)
This program audit is conducted to assure that the activities of the grantee county comply with
the guidelines, assurances and objectives of the Drinking Water Systems Grant. Staff from the
Oregon State Health Division, Drinking Water Program, will be available to provide technical
assistance.
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Administration, Staffing arjrf Training
COMPLIANCE
Issue/Question
Rule/Regulation/Statute
1. Does the County Health
Administrator participate in the
decision making for enforce-
ment actions of Drinking Water
related public health laws.
2. The Drinking Water
Systems Grant activities are
being carried out by
(1) A Registered Sanitarian
trained in Environmental
Health
(2) A Registered engineer with
appropriate training and/or
experience
3. Personnel engaged in
the drinking water program
shall attend the annual public
water systems workshop con-
ducted by the division.
4. The contract counties
shall have sufficient, qualified
staff to perform duties continu-
ously during the contract per-
iod.
5. The counties shall sub-
mit 2 progress reports during
the contract period.
ORS 431.150 Enforcement of Health Laws Generally. (1)
The local public health administrators are charged with the
strict and thorough enforcement of the pubb'c health laws of
this state in their districts, under the supervision and direc-
tion of the Health Division. They shall make an immediate report
to the division of any violation of such laws coming to their to
notice by observation, or upon the complaint of any person, or otherwise.
Sanitarian Registration Act Chapter 700.005 Purpose... the
public is protected from unauthorized or unqualified per-
sons and from unprofessional conduct by persons registered
to practice under this chapter.
Engineers Registration Act Chapter 672.002 (2) Engineer
means a person who has knowledge of mathematics, physi-
cal chemical and other sciences and the principles and
methods of engineering analysis and design acquired by
engineering education and engineering experience.
ORS 338.200 These rules are adopted by the Sanitarian
Registration Board to ensure continuing efforts on the part
of Oregon sanitarians to stay up to date with new develop-
ments in the environmental health field and to encourage
diversified training and qualifications in the profession.
Specific authority for these rules is given by ORS 700.105.
OAR 333-61-080 Rule of Counties. The Division may
delegate upon request of its duties as set forth in these rules
to counties. In doing so, the Division shall require assur-
ances that the county shall:
(a) Employ sufficient qualified personnel to perform the
duties involved;
(b) Perform the duties involved continuously for the dura-
tion of the delegation;
(c) Report periodically on the nature and status of the
activities being performed.
Same as above
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Comprehensive Agreements/Oregon
Emergency Plans
COMPLIANCE
issue/Question
I. The county health de-
partment shall develop and
maintain an emergency re-
sponse plan which addresses
how the county will respond to
all types of public water systems
emergencies. This plan shall
include a method of response
for notifying the State Drinking
Water Program about all water-
related emergencies hazardous
to the pubb'c.
1. 448.170 Division Agreement to authorize local
government to exercise duties:
(1) The Division may enter into an agreement with a local
governmental unit to perform the duties of the division
under the Oregon Drinking Water Quality Act. 448.160
Emergency Plans. (1) The division shall maintain a plan
outlining actions to be taken by the division during emer-
gencies relating to water systems.
Sanitary Surveys/Investigations
COMPLIANCE
Issue/Question
Rute/Regulation/StBtutB
1. Conduct sanitary surveys
on a prescribed number of pub-
lic water systems. Provide cop-
ies of the written reports to the
water supplier and to the divi-
sion.
2. Require water supplier
to conduct water sampling as
required by state law.
3. Investigate water quality
violations.
1. ORS 448.150 (1) Conduct periodic sanitary sur-
veys of drinking water systems and sources, take water
samples and inspect records to ensure the system is not
creating an unreasonable risk to health. The division shall
provide written reports of such examinations to the local
health administrator and to the water supplier.
2. ORS 448.150 (2) Require regular water sampling
by water suppliers. These samples shall be analyzed in a
laboratory approved by the division. The result of the
laboratory analysis shall be reported to the division, the
local health department and to the water supplier.
3. ORS 448.150 (3) Investigate any water system that
fails to meet the water quality standards established by the
division.
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Learning Guide for Drinking Water Contracts Bet*
t State
id Local Governments
4. Require water suppliers
with surface sources to conduct
sanitary surveys of the water-
shed and provide prompt writ-
fen reports to the Division and
the local health department.
5. Investigate all reports of
waterborne disease.
4. ORS 448.150 (4) Require every water supplier
that provides drinking water that is from a surface water .
source to conduct sanitary surveys of the watershed as may
be considered necessary by the division for the protection of
public health. The water supplier shall make written reports
of such sanitary surveys of watershed promptly to the divi-
sion and to the local health department.
5. ORS 448.150 (5) Investigate reports of water-
borne disease pursuant to its authority under ORS 431.110
and take necessary actions as provided for in ORS 446.310,
456.837, 448.030, 448.115 to 448.285, 454.235, 454.255 and
757.005 to protect the public health and safety.
Compliance/Recordkeeping/Fleld Equipment
COMPLIANCE
Issue/Question
Rute/Reoutetion/Statute
The water system records con-
tain:
1. Sanitary surveys and
related follow up reports.
a. Sanitary survey reports
contain accurate and complete
information.
b. Follow-ups are timely;
completed as necessary.
2. A cover letter was sent
with the completed sanitary sur-
vey. This letter included:
a. The surveyor's recom-
mendations regarding needed
improvements for the water
system.
b. Corrective action(s),
with completion dates, that the
water suppb'er must take to cor-
rect violations.
c. Information regarding
public notification responsi-
bilities of non-reporters and
MCL violators.
d. Sampling frequency and
reporting requirements.
The following Statutes/Rules apply to the recordkeeping
section:
ORS 448.131 Water quality, Construction and installation
standards; effect on existing facilities.
(1) The Health Division shall adopt water quality standards
that are necessary to protect the public health through
insuring safe drinking water within a water system.
(2) In order to insure safe drinking water, the division shall
prescribe:
(a) Construction standards governing the perfor-
mance of a water system insofar as they relate to the safety
of drinking water.
(b) Standards for the operation of water systems
in so far as they relate to the delivery of safe drinking water.
(c) Other standards and requirements considered
necessary by the division to insure safe drinking water.
ORS 183.310 Contested cases - commentary. The Admini-
strative Procedures act (APA) established procedures to
follow in cases of agency actions specifically directed to an
individual These procedures are called contested cases.
The most common types of contested cases are those involv-
ing licenses and permits. Contested cases provide an oppor-
tunity for an individual to obtain a hearing before an agency
to contest the agency's action or intended action which
directly affects the individual
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Comprehensive Agreements/Oregon
3. Copies of all correspon-
dence.
4. Compliance schedules
are written with reasonable
time frames.
5. Consultation reports:
on-site, telephone, office, etc.
6. Water Sampling results.
7. Investigative reports for:
a. Water quality compared by the
agency or a hearings officer.
plaints.
b. Waterbome illness complaints.
NOTE: Personal and medical
information about county resi-
dents, and others, is kept confi-
dential.
8. Reports describing actu-
al or potential health hazards
and their resolution.
9. The record, a composite
of 1-7, contains adequate infor-
mation to sustain enforcement
actions.
10. The county forward all
necessary documents to the
Division to enable it to carry
out its responsibilities under
state and federal statutes and
rules.
11. The county has the fol-
lowing field equipment in work-
ing order:
Turbidimeter (recommended)
Pressure gauge
Tape measure
Chlorine test kit
ORS 183.45(9) Contents: The record in a contested case
must include:
(a) All pleadings, motions and intermediate rulings.
(b) Evidence received or considered.
(c) Stipulations.
(d) A statement of matters officially noticed.
(e) Questions and offers of proof, objections and
rulings thereon.
(f) A statement of any ex parte communications on a
fact in issue made to the officer presiding at the
hearing.
(g) Proposed findings and exceptions.
(h) Any proposed, intermediate or final order pre-
See foregoing regulations
See foregoing regulations
See foregoing regulations
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Comprehensive Agreements/Oregon
4. The county approves or
disapproves plans within 21
days of receipt of the plans.
5. All requests for waivers
from construction standards,
variances, and permits will be
referred to the Division for
action. The county shall assist
the Division in assessing such
requests.
4. The division may impose and collect a fee from a
water supplier for reviewing construction and installation
plans.
5. Nothing in this section authorizes the division to
require alterations of existing facilities unless alterations are
necessary to insure safe drinking water.
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Learning Guide for Drinking Water Contracts Duwu-u State and Local Governments
Administration, Staffing antf. Training
Questions
Timeline
Comments Change follow Up
1. Does the County Health Administrator
participate in the decision making for
enforcement actions of drinking water
related public health laws?
2. Are Drinking Water Systems Grant
activities being conducted by qualified
personnel?
3. Do personnel engaged in the drinking
water program attend the annual public
water systems workshop conducted by
the division?
4. Does the county have sufficient staff to
perform duties continuously during the
contract period?
5. Are two progress reports submitted
during the contract period? (mid-year
and year end)
Emergency Plans
Questions
Time Line
Comments Change Follow Up
l.Does the county have a current emer-
gency response plan for drinking water
related emergencies?
75
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Comprehensive Agretancntt/Oregon
Saitary Surveys/Investigations
Timeline
Questions Comments Change fottowUp
1. Are sanitary surveys conducted on a
prescribed number of pubb'c water systems
with copies of the reports to the water
supplier and to the division?
2. Are water suppb'ers being required to
conduct water sampling as required by
state law?
3. Are all water quality violations being
investigated?
4. Are water systems with surface sources
conducting watershed sanitary surveys as
necessary with copies of the surveys sent
to the county and state?
5. Are all reports of waterborne disease
investigated?
Complionct/Reconlteeping/Field Equipment
Tone Line
Questions Cexufuems Change Follow Up
1. Do the county's public water systems
records contain:
a. Sanitary survey reports containing
accurate and complete information.
b. Follow-ups are timely; completed
as necessary.
2. Was a cover letter sent with the
completed sanitary survey:
a. With the surveyor's recommendations
regarding needed improvements for
the water system.
b. Corrective action(s), with completion
dates, that the water supplier must take
76
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ing Guide for Drinking Water Contracts Dctmixji State and Local Governments
to correct violations.
c. Information regarding public notification
responsibilities of non-reporters and
MCL violators.
d. Sampling frequency and reporting requirements.
3. Were there copies of all correspondence?
4. Were compliance schedules written with
reasonable time frames?
5. Consultation reports: on-site, telephone,
office, etc.?
6. Water sampling results?
7. Investigative reports for:
a. Water quality complaints.
b. Waterborne illness complaints.
8. Reports describing actual or potential
health hazards and their resolution
9. Do the records contain adequate information
to sustain enforcement actions?
10. Does the county forward all necessary
documents to the division?
11. Does the county have the following in
working order:
Turbidimeter (recommended)
Pressure gauge
Tape measure
Chlorine test kit
Compliance Enforcement
Tune Line
Questions Comments Change Follow Up
1. Is the program effectively moving the
water systems toward a progressively
higher level of compliance with state
and federal rules?
77
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Comprehensive Agreements/Oregon
Plan Review (Optional)
Questions
Time Una
Comments Change follow Up
1. Does the county plan review utilize the
decision making authority of the county
health administrator or health office
and have a procedure to assure that
construction plans will be reviewed and
approved before the construction
begins on public water systems?
2. Are plans reviewed by an engineer who
is registered by the State of Oregon,
and approved by the division?
3. Does the county review plans only after:
a. Appropriate review fees have been collected?
b. Land Use Compatibility Statement has
appropriate signatures approving the proposed
water systems?
4. Does the county approve or disapprove
plans within 21 days of receipt
of the plans?
5. Are all requests for waivers from
construction standards, variances, and
permits referred to the Division for
action? Does the county assist the Division
in assessing such requests?
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TM«T.;^g Guide for Drinking Water Contracts Between State and Local Government*
DRINKING WATER SYSTEMS GRANT
FY 1989-90
ACTIVITY 1 FTE PROJECTIONS
Table #1
ACTIVITY
Technical Assistance
* (1) Non-reporter
(2) MCL Violator
(3) Public Notice
Sanitary Surveys
Other Activities
Administration
Complaints
Training
Comm. Disease Invest.
Emergency Response
Other
Activities
(Lower Priority)
ID Surface & Surface-
influenced Systems
Plan Review
"Other Activities" on
State Reg Systems
Projected
#
FTE
FTE 12 months
Pro j ect
Cmplete
Completed 6 mos
f
FTE
Completed 1 yr
# FTE
Qualitative Comments
p
R
I
0
R
I
T
Y
P
R
I
0
R
I
T
Y
I
I
* Items 1-3 should add to equal "Technical Assistance"
County
Date
79
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Comprehensive Agreements/Oregon
SANITARY SURVEY FREQUENCY CRITERIA
Table 2
I. Sanitary Survey Frequency (based on new coliform rule and surface water rule)
Minimum VOC
Sanitary Survey Pule
"type of System Frequency (years) Applies?
Community (CWS)
Filtered Surface Water 5 Yes
Unfiltered Surface Water Annually Yes
Undisinfected Groundwater 5 Yes
Disinfected Groundwater 5 Yes
Purchased Systems 5 No
Nontransient Noncomm. Systems (NTNCWS) 5 Yes
Other Noncommunity/State Reg. (NCWS)
Filtered Surface Water 5 No
Unfiltered Surface Water Annually No
Undisinfected Groundwater 5 No
Disinfected Groundwater 5 No
II. Due Dates for VOC Vulnerability Assessments (for initial assessments)
Community and NTNCWS > 10,000 pop. Due (insert date)
(Ground and Surface Sources)
Community and NTNCWS 3,300 - 10,000 pop.
Ground Source Due (insert date)
Surface Source Due (insert date)
Community and NTNCWS 201- 3,299 pop.
Ground Source Due (insert date)
Surface Source Due (insert date)
Community and NTNCWS <200 pop.
Ground Source Due (insert date)
Surface Source Due (insert date)
HI. Systems with no sanitary survey on record:
Complete ASAP
IV. Systems with old (pre-1987) short form surveys - complete new survey/vulnerability
assessment prior to VOC vulnerability assessment due date for applicable systems.
V. Systems with new surveys • just complete vulnerability assessment due date for applicable
systems.
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Learning Guide for Drinking Water Contracts between Slate/Local Governments
DRINKING WATER SYSTEMS GRANT
(FY(insert date))
NON-COMPLIANCE RATES
Table 3
Community Systems
(200 or less pop.)
Bacteria MCL
Turbidity MCL
Bacteria M/R
Turbidity M/R
NON-COMMUNITY SYSTEMS
Bacteria MCL
Turbidity MCL
Bacteria M/R
Turbidity M/R
Current Rate
Target Rate
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Comprehensive Agreements/Oregon
FORMULAS
Formulas/Information sources for calculating current non-compliance rates:
I. Community Systems
A. Bacteria MCL
Rate = j£ fif systems with 1 01 more MCL violations x 100
Total # of systems
B. Turbidity MCL
Rate - £ of systems with 1 ox more MCL vio]ations x. 100
Total # of systems (surface source)
C. Bacteria M/R
Rate «= £ of individual monthly M/R violations x. 100
Total # of systems x 12
D. Turbidity M/R
Rate = j£ of individual monthly M/R violations x. 100
Total # of source systems x 12
n Non-community Systems
A. Bacteria MCL
Rate = j£ fif systems with 1 or. more MCL violations x. 100
Total # of systems
B. Turbidity MCL
Rate = £ fif systems with 1 pi more MCL violations x. 100
Total # of systems (surface source)
C. Bacteria M/R
Rate = j£ flf individual quarterly M/R violations x 100
Total # of systems x 4
D. Turbidity M/R
Rate - # of individual monthly M/R violations x 100
Total # of surface systems x 12
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Guide for Drinking Water Contracts Du»U4i State and Local Governments
Drinking Water Program
Compliance Strategy
Monitoring or Reporting Violations
End or connpifancd For loci
Star
i
t of New Conpl In nee Rerfod
awnp'v r«0ult(«} far
pr«vroLE cenpirmc* parlod
noc received TCom eyBten
i
State imJcea for ml d»termr nitron
or flyatcn oa^llBnoB and oonducrta
«. rev rev of ayatan hlvtcry/
r«porta to county, form letter to ayatftn
1
•yot«n in ayat
-------
Comprehensive Agreements/Oregon
Drinking Water Program
Compliance Strategy
MCL Violation
l«ttor
positive reeult
received by vtote> - alert list l«ou*d to «wnty withfn Z to 9
Corny 4 Oonduets
ptone e*l I andrer viart
r««u» He* lift fctf/fwory
.*
wltnin s to 3
ebacle
netlon t*to»n by
Bid of Cbfpllftncv Period
itart or NOW
a re
sycrtcn
oonpl
^
Oonplonoe Parlod
atat« imtm. Tor ml Oolarinrmtron
vrew of system history, reports to ootnty* B W**B
form letter to eyetcro
1, _ ,., „
i palne System reimlns In
1 anett non-c»iqo 1 1 i.nc«
'P"
1 1
l^etcn dMArminad S»«t«m det»rmln«d
to b» inter nrtt*nt to b* vlgnlf leant
i 4
letter-/phon«/vlslt Issue Health Advisory ana/ or
Inert Ice of vlol6tlen. and «raur* ^ iBiledftltely
pt±.llc notrrioatlon re rmde r to a weeks
public nolfTlofttlon conduct carpi lane* ne^tlno ^ E to g -yooicp
84
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for Drinking Water Contracts IM^mi Sf**ni"^ L°fBl Cove
Michigan
In this example of a comprehensive agreement, the Local Agency has responsibility for
the noncommunity water supply program in lieu of the State. The objectives, methodology and
program content sections provide a good summary of the agreement as a whole.
The responsibilities of the State Agency and the Local Agency are clearly delineated in
the scope of work. The Local Agency provides qualified staff to perform sanitary surveys,
issuance of well permits, and inspections for compliance or inspection purposes. In addition to
these technical services, the administrative, reporting and record keeping responsibilities are
clearly spelled out. As part of the agreement, the County is required to develop a data
processing link to transfer data to the State in a compatible format.
The State provides guidance, support, training, evaluation and administrative oversight.
In addition, the State also provides inventory information, the necessary reporting forms, sample
units and provides for sample analyses.
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Comprehensive Agreements/Midugan
Agreement Between
Michigan Department of Public Health
hereinafter referred to as the "Department"
and
Federal I.D. #38
hereinafter referred to as the "Local Agency" for
Noncommnunity Water Supply Program Services
for the period through
Purpose
The efficiency and effectiveness of the noncommunity water supply program can be enhanced by
enabling the Local Agency to provide comprehensive noncommunity water supply program
services in lieu of the Department. This contract is part of a "pilot" project to implement
complete noncommunity water supply program services in selected Local Agencies. This
agreement is intended to establish responsibilities for both the Department and Local Agency in
the conduct of complete noncommunity water supply program services required under the Safe
Drinking Water Act, Act 399, PA. of 1976 and Administrative Rules As Amended, hereinafter,
referred to as the "Act". As a pilot project, it is the intent that both the Local Agency and the
Department fulfill terms of the agreement, or amend it accordingly, and utilize this development
process to improve noncommunity services locally and facilitate program implementation
statewide.
Objectives
The Local Agency is provided funding to conduct an ongoing complete noncommunity program
through annual contracts. The noncommunity water supply services to be provided are identified
in the contract It requires sanitary survey inspections of noncommunity water supplies to be
done at regular intervals within the contract period to accomplish the completion of a survey on
each supply every five years as required in the Act Noncommunity systems are to be brought
into compliance with construction standards and accordingly assigned minimum monitoring
frequencies. The contract also requires the issuance of permits for all new or altered
noncommunity water systems, maintenance of inventory and water quality records, establishment
of routine monitoring frequencies, quarterly reporting, and follow-up and or enforcement on
items of noncompliance including: construction and operational deficiencies, monitoring
violations, maTimnm contaminant level violations, and failure to provide public notice as
required in the Act.
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Iram'mg Guide for Drinldng Water Contracts Duwuui Stale and Local Governments
Methodology and Program Content
The contracted services will be provided by the Local Agency acting as the authorized
representative of the Department The Local Agency will provide qualified staff for completion
of the outlined program activities. The Department will provide guidance, support, training,
evaluation and administrative oversight Program funding will be allotted to the Local Agency
from grants to the Department by the Environmental Protection Agency for administration of
the noncommunity water supply program.
Program Budget and Agreement Amount
The Department under the terms of this agreement and subject to the Environmental Protection
Agency's annual water supply grant allotment to the Department, shall provide funding not to
exceed $ . The amount is based on $ for each of the inventoried noncommunity public
water supplies in the Local Agency's jurisdiction. The total contract amount includes and
allowance of $4,500.00 provided to the Local Agency to be used for the development and
implementation of a data processing link compatible with the Department's system. The
$4,500.00 data management system development portion of this agreement must be supported by
a completed and signed Program Budget Summary and supporting detail schedules hereby made
part of this agreement
Any equipment purchases supported in whole or in part through this agreement must be
detailed in the supporting detail schedule. Equipment means tangible, nonexpendable, personal
property having a useful life of more than one (1) year and an acquisition cost of $500 or more
per unit. Title to equipment or other nonexpendable personal property having a unit acquisition
cost of less than $1,000 shall vest with the Agency upon acquisition. The Department reserves
the right to retain or transfer the title to all items of equipment and nonexpendable personal
property having a unit acquisition cost of $1,000 or more.
A deviation allowance increasing an established budget category by $1,000 or 15% whichever is
greater is permissible without prior written approval of the Department. Any modifications or
deviations in excess of this provision including and adjustment to the total amount of this
agreement must be made in writing and executed by all parties to the agreement before the
modifications can be implemented. This deviation allowance does not authorize new categories,
equipment items or positions not shown in the attached Program Budget Summary and
supporting detail schedules.
This agreement is conditionally approved subject to the availability of funds.
Responsibilities of the Local Agency
The Local Agency in accordance with the general purposes and objectives of this agreement will:
Provide the necessary administrative, professional, and t^r^nim! staff to fulfill the terms
of this contract Sanitary surveys, issuance of well permits, and inspections for
compliance or enforcement purposes shall be conducted by qualified individuals
87
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Comprehensive Agreements/Michigan
as sanitarians or an equivalent classification.
2. Assign one individual to be responsible for operational, training, and reporting aspects of
this agreement and to coordinate communications with the assigned Department staff.
3. Maintain a current inventory of all noncommunity public water supplies within its
jurisdiction, and routinely submit any revisions, additions, or deletions to the inventory
on forms provided or in a format acceptable to the Department.
4. Maintain a routine water quality monitoring program for noncommunity public water
supplies in accordance with the Act. Quarterly monitoring is required for all nontransient
noncommunity supplies and no less than annual monitoring is required to be established
for noncommunity systems at the time of completion of a sanitary survey or final
approval of a well permit Notices of violation of required monitoring, maximum
contaminant level (MCL) violations, or the occurrence of unregulated compounds, shall
be provided to the owner and the Department in a timely manner. Notices of violation
shall include the contaminant, public health effects information, specify precautionary
measures, and public notice requirements where applicable, as required in the Act
5. Complete sanitary surveys on a minimum of noncommunity supplies (20% of the
number of the supplies on the contract inventory) as specified in the contract.
6. Conduct sanitary survey inspections by performing an on-site evaluation of water
supplies at regular intervals in accordance with procedures established by the
Department. An accurate and complete sanitary survey form, water well record where
available, water sample analysis, and transmittal letter to the owner regarding compliance
status and monitoring requirements shall be considered a completed sanitary survey as
required in the Act.
7. Insure that repeat samples are collected promptly where initial sample results indicate
potential violation of state drinking water standards or where sample analyses are
unreliable due to overgrowth, excessive transit time, or where the presence of organic
chemical contamination is indicated.
8. Provide a notification to the owner of a supply found to be in noncompliance that
includes; the deficient items, outlines corrective action, establishes a specific time
schedule for making corrections, and establishes an appropriate monitoring schedule,
interim precautionary measures, or public notice requirements where applicable.
9. Conduct a re-inspection within ten days of expiration date of the compliance schedule to
ensure that all violations have been corrected and provide documentation of the results
of the re-inspection to the owner. If compliance has not been achieved enforcement must
be initiated in accordance with procedures established by the Department.
10. Consult with the Department in situations where the noncommunity supply provides
treatment for public health purposes, utilizes a surface water source, or is found to be
-------
I earning Guide for Drinking Water Contracts Between State and Local Governments
providing water which exceeds a ma-rimnm contaminant level or contains unregulated • •
organic compounds.
11. Take prompt action to protect the public health and pursue compliance with applicable
construction, public notice and water quality standards, when an inspection establishes
that sewage, surface water, chemicals, or other serious contamination can gain entrance
into the water supply, or there is a confirmed maTimum contaminant level violation
12. Review permit applications and issue permits prior to the construction of any new or
altered noncommunity water well as required in the Act and in accordance with
procedures established by the Department. Noncommunity well permits shall be issued
on forms provided by the Department.
13. Perform at least one post-construction inspection of all new noncommunity water wells
for which a permit has been issued by the Local Agency. Final inspections and
authorization for use of the water supply by the public shall be accomplished in
accordance with the Act and procedures established by the Department.
14. Provide the well owner with notification of the results of the final inspection report and
status of compliance establish the appropriate future monitoring schedule, as required in
the Act.
15. Obtain requests for deviations from suppliers of water where necessary, evaluate, and
approve or deny deviations prior to construction in accordance with procedures
established by the Department and as required in the Act.
16. Maintain appropriate noncommunity program records, including sanitary surveys, well
permits, records of water sampling, and correspondence as required in the Act
Individual noncommunity water supply files indexed according to water supply serial
number (WSSN) shall be maintained for each inventoried noncommunity water supply.
17. Maintain records for reporting water quality monitoring violations, sanitary survey
inspections and compliance status, issuance of well permits, maximum contaminant level
violations, and issuance of public notice. Reports shall be submitted quarterly on forms
provided by the Department
18. Maintain adequate program and fiscal records and files including source documentation
to support program activities and all expenditures made under the terms of this
agreement, as required.
19. Develop, implement and maintain a data processing link to transfer data to the
Department in a format compatible with the Department's data management system.
20. Permit upon reasonable notification and at reasonable times, authorized representatives
of the Department, Federal Grantor Agency, Comptroller General of the United States,
or any of their duly authorized representatives, to review all records, files, and
89
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Comprehensive Agreements/Michigan
documentation related to this agreement.
21. Assure for any subcontracted service, activity or product that any subcontract will
become part of this master agreement and shall require the subcontractor to comply with
all applicable terms and conditions of this master agreement. In the event of a conflict
between the master agreement and the provisions of the subcontract, the provisions of
the master agreement shall prevail.
22. Assure that any subcontract will become part of this master agreement and shall require
the terms and conditions of this master agreement. In the event of a conflict between the
master agreement and the provisions of the subcontract, the provisions of the master
agreement shall prevail.
23. Assure that the Agency assumes all responsibility for any work performed under a
subcontract including appropriate compliance with all terms and conditions of the master
agreement.
24. Assure that copies of each subcontract shall be promptly available for review by
authorized department representatives or, upon request of the department, the Agency
shall promptly forward copies of requested subcontracts for review. Funding will be
withheld for any subcontract work not covered by appropriate, properly executed
subcontracts.
25. Assure that any billing or request for reimbursement for subcontract costs is supported
by a valid subcontract and adequate source documentation on costs and services.
26. Assure that all terms of the agreement will be appropriately adhered to; and, that
records and detailed documentation for the project or program identified in this
agreement will be maintained for a period of not less than three years from the date of
termination, the date of submission of the final expenditure report or until audit findings
have been resolved.
27. Assure that all applicable federal and state laws, guidelines, rules, and regulations will be
compiled with in carrying out the terms of this agreement including submission of a copy
of any audit report related in whole or part to this program.
28. Assure that all purchase transactions, whether negotiated or advertised, shall be
conducted openly and competitively in accordance wi the principles and requirement of
OMB Circular A-102 or A-110 as applicable and that records sufficient to document the
significant history of all purchased are maintained for a minimum of three years after
the end of the agreement period.
29. Inform the Department of any employee assigned to this program who has retired from
State of Michigan employment under Acts 2 and 3 of PA. 1984 (Early Retirement
Program). A monthly report shall be required on the first of each month reporting the
names of State early retirants who performed work in the previous month on the
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I/aming Guide for Drinking Water Contracts Between State and Local Governments
program(s) covered under this agreement. Such reports are not required for any State
early retirant who reaches the age of 62 years.
30. Assure that the requirements of the federal single audit act of 1984 are complied with.
31. Immediately notify the Department, in writing of any action by its governing board or
any other funding source which would require or result in significant modification in the
provision of services or funding or compliance with operational procedures.
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Cooqmiiensve Agreements/Michigan
RESpoNsmmnEs OF THE MICHIGAN DEPARTMENT OF PUBLIC HEALTH
The Michigan Department of Public Health, under the terms of this agreement will:
1. Provide printouts of the noncommunity public water supply inventory and related
information upon request of the Local Agency.
2. Provide training, and guidance, to the Local Agency, in the form of procedural manuals,
copies of rules, policies, handouts, and training meetings, joint inspections, and
consultations.
3. Provide necessary forms for inventory maintenance, sanitary survey reports, well
permit/grouting addenda, water quality monitoring, reporting of violations, and
maintaining survey frequencies.
4. Provide payment in accordance with this agreement in an amount not to exceed $ based
upon the rate per supply of $ times the inventoried noncommunity supplies including
an allowance of $4500.00 to the Local Agency for data management system development
and provide specifications to enable electronic data transfer of required reporting
information between the Local Agency and the Department.
5. Provide program consultation and direct staff assistance where necessary in pursuing
compliance with applicable construction, monitoring, public notice, and water quality
standards.
6. Provide administrative oversight of the Local Agency noncommunity program as
necessary to determine whether the work performed is satisfactory according to the
terms and conditions of the contract.
7. At the midpoint and at least 60 days prior to the end of the contract, assess the status of
the Local Agency's noncommunity program relative to meeting overall program goals
and provide a report outlining the strengths and weaknesses with an opportunity for
Local Agency input.
8. Provide necessary sample units for collection of water samples.
9. Provide for the analyses of water samples at the Michigan Department of Public Health
Laboratory. Costs of sample analyses performed at other certified laboratories will not
be reimbursed through provisions of this contract.
ASSURANCES
Assurance is hereby given to the Michigan Department of Public Health, that in accordance with
Title VI of the Civil Rights Act of 1964 (42 U.S.C 2000d et seq.), Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 794), Title DC of the Education Amendment
of 1972, as amended (20 U.S.C. 1681-1683 and 1685-1686), the Age Discrimination Act of 1975,
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* gaming Guide for Drinking Water Contracts Between State and Local Governments
LS amended (42 U.S.C. 6101 et seq.). the Regulations issued thereunder by the U.S. Department
of Health and Human Services (45 CFR Parts 80,84,86 and 91), the Michigan Handicapper's
Civil Rights Act (1976 PA 453), and the Michigan Civil Rights Act (1976 PA 453), no individual
shall, on the ground of race, creed, age, color, national origin or ancestry, religion, sex, marital
status, or handicap be excluded from participation, be denied the benefits of, or be otherwise
subjected to discrimination under any program or activity provided by this Agency. Additionally,
in accordance with the Governors Executive Directive 1989-1, Assurance is given to the
Department of Public Health that appropriate affirmative action will be taken to identify and
encourage the participation of minority, women, and handicapper owned business in contract
solicitations.
PAYMENT AND REPORTING PROCEDURES
Payment under the terms of this agreement will be based upon the noncommunity water
supplies on the Department computer inventory as specified in the contract, times the
reimbursement rate per supply of $ , and the $4,500.00 allowance for data management system
development. Total payment under the terms of this agreement will not exceed $
Within 60 days of receiving a contract signed by the authorized Department and Local Agency
representatives, one-fourth of the inventory based payment will be remitted to the Local Agency.
Thereafter, quarterly payments will be made promptly upon receipt of each quarterly report
required in the contract provided that satisfactory progress is made toward the fulfil-merit of
the contract. Payment for data management system development will be processed within 60
days of receipt of a fully executed program budget and financial status report.
AGREEMENT PERIOD
The Department has the option to assume no responsibility or liability for costs incurred by the
Agency prior to the signing of this agreement.
This agreement is in full force and effect from through
. This agreement may be terminated by either party by giving sixty (60)
days written notice to the other party stating the reasons for termination and effective date or,
upon the failure of either party to carry out the terms of the agreement, by giving ten (10) days
written notice to the other party stating cause and effective date.
Upon any such termination, any funds not authorized for use shall be returned to the
Department.
This agreement is conditionally approved subject to the availability of funds.
AMENDMENTS • Any changes to this agreement will be valid only if made in writing and
accepted by all parties to this agreement
LIABILITY
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Comprehensive Agreemenls/Midugan
All liability, loss, or damage as a result of claims, demands, costs, or judgements arising out of
activities to be carried out by the Agency in the performance of the Agreement shall be the
responsibility of the Agency, and not the responsibility of the Department, if the liability, loss, or
damage is caused by, or arises out of, the actions or failure to act on the part of the Agency, any
subcontractor, anyone directly or indirectly employed by the Agency, provided that nothing
herein shall be construed as a waiver of any governmental immunity that has been provided to
the Agency by statute or court decisions. All liability, loss, or damage as a result of claims,
demands, costs, or judgments arising out of activities to be carried out by the Department in the
performance of this contract shall be the responsibility of the Department and not the
responsibility of the agency, if the liability, loss, or damage is caused by, or arises out of, the
action or failure to act on the part of any Department employee or agent, provided that nothing
herein shall be construed as a waiver of any governmental immunity by the Department, its
agencies or employees as provided by statute or court decisions.
SPECIAL CERTIFICATION - The individual or officer signing this agreement certifies by his
or her signature that he or she is authorized to sign this agreement on behalf of the responsible
governing board, official, or Local Agency.
FOR THE AGENCY:
Signature Title Date
FOR THE DEPARTMENT:
Signature Title Date
RECOMMENDED BY:
Signature Title Date
94
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Learning Guide for Drinking Water Contracts Between State and Local Govcn
Pennsylvania
Under State law, both the State Environmental Agency (the primacy agent) and the
County Health Department have statutory responsibilities related to public drinking water
supplies. The agreement is a comprehensive one in that, through the agreement, the county
agrees to satisfy all the program requirements for environmental health services. However, it is
made clear in the agreement that this does not constitute a full delegation of primacy
responsibilities. The purpose of the agreement is to avoid duplication of effort where both
agencies have authority.
The county has responsibilities in the areas of surveillance and monitoring activities,
pollution incident response, enforcement, application processing, providing laboratory services,
data management, analysis of existing information and coordinating with other agencies. The
agreement clearly spells out the scope of the county's authority for each activity. In most cases,
the county has full responsibility for activities within the bounds of State rules, regulations,
policies and procedures. For permit application review, the county assists the State and makes
recommendations. In the case of enforcement, either the State or the County can initiate an
action.
This agreement clearly delineates responsibilities for how the State and County will
communicate with the public, water suppliers, other State agencies, EPA and each other. The
section on education, training and staff selection is also very thorough. The measures that the
county must take to ensure that the staff remain current on program requirements include
required courses and other formal training, on the job training, and in service training using
available textbooks and materials.
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Comprehensive Agreements/Pennsylvania
Public Water Supply Program Agreement
between the
Pennsylvania Department of Environmental Resources
and the
Chester County Health Department
JULY 1, 1983
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Learning Guide for Drinking Water Contracts Between State and Local Governments
July 1, 1983
PUBLIC WATER SUPPLY PROGRAM AGREEMENT
BETWEEN THE
PENNSYLVANIA DEPARTMENT OF ENVIRONMENTAL RESOURCES
AND THE
CHESTER COUNTY HEALTH DEPARTMENT
I. Preamble
The Commonwealth of Pennsylvania, Department of Environmental Resources (DER)
regulates public drinking water supplies pursuant to the Public Water Supply Law, the
Act of April 22, 1905, P.L. 260, as amended. 35 P.S. 711 ej seq. and regulations adopted
thereunder at 25 Pa. Code section 109, et seq. The Public Water Supply Law gives DER
the authority and the responsibility to set standards for the provision of drinking water
to the public, to require permits for all public waterworks, and to enforce the standards
and permit conditions established by DER.
The Chester County Health Department (CCHD) has the authority pursuant to the
Local Health Administration Law, Act of August 24, 1951, P.L. 1304, as amended. 16
P.S. section 12001 et seq.. to "prevent or remove conditions which constitute a menace to
public health; ...and institute such programs not inconsistent with law as may be
necessary for the promotion and preservation of the public health", 16 P.S. section 12010.
The Local Health Administration Law also provides that county health authorities may
inspect premises "for the purpose of enforcing health laws...and for the purpose of
examining for and abating nuisances detrimental to the public health", 16 P.S. section
12012. Furthermore, in 1976 the Local Health Administration Law was amended to
provide grants to county health departments for environmental health services, including
water inspections (Act of February 26, 1976, P.L. 26 No. 12). Regulations adopted
pursuant to the amendment established standards for environmental health services, 28
PA Code 17.1-. The standards established for public water supply programs state that
local health departments may choose to do surveillance and monitoring and assist in
permit application processing and enforcement activities, 28 PA Code section 17.122,
Because both the DER and the CCHD have statutory responsibilities related to public
drinking water supplies, the parties desire to coordinate local and state activities to
develop a cooperative public water supply program for Chester County.
n. Purposes
The purpose of the Agreement is to delineate the responsibilities of the CCHD and
DER as they relate to public water supplies in Chester County and to assure that each
agency's resources are maximized so that duplicate inspections are avoided, that gaps in
public water supply surveillance are tninimro-rf and that broader cooperative efforts are
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Comprehensive Agreements/Penniyivania
initiated to assure a comprehensive public water supply protection program for the
people of Chester County.
By the division of labors described in the Agreement, the parties intend to streamline the
collection and analysis of data, facilitate the communication of information regarding
statutory and permit requirements to public water suppliers, improve monitoring
inspections, and coordinate compliance and enforcement activities.
Implementation of the program described in this Agreement is intended to enable the
CCHD to satisfy program requirements for public water supplies established for
environmental health services, 28 PA Code section 17.122.
IE. Scope
Hie Agreement applies only to discretionary functions, such as date collection,
inspections, monitoring and certain enforcement activities and does not represent a
delegation by DER to the CCHD of any of its duties pursuant to the Public Water
Supply Law. The program responsibilities described in the Agreement cover only those
public water supplies which are subject to regulation by DER.
IV. Parties
The Chester County Health Department (CCHD) and the Commonwealth of
Pennsylvania, Department of Environmental Resources (DER) are the parties to this
Agreement and are responsible for its implementation.
V. Program Responsibilities
A. Surveillance and Monitoring
The CCHD will cany out a surveillance and monitoring program. The program
will be conducted in accordance with DER policies and procedures and will
include the following minimum activities.
1. The CCHD wfll conduct inspections of public water supply facilities to
determine compliance with rules and regulations and the terms and
conditions of public water supply permits as often as necessary throughout
the year, but at least once per year.
2. Surveillance and monitoring by the CCHD will include sampling special
surveys or studies and the evaluation of monthly operator's reports.
3. The CCHD wfll investigate complaints within twenty-four hours due to
the transitory nature of water supply problems.
4. The CCHD wfll conduct an initial comprehensive sanitary survey of
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learning Guide for Drinking Water Contracts Between State and Local Governments
existing community water treatment systems and will develop a complete
analysis of the design, operation and maintenance of each public water
supply facility within a year of execution of this Agreement Subsequent
sanitary surveys will be conducted at least every three years in
coordination with the Norristown Regional Office. Actual or potential
problems will be identified in report for each system with
recommendations for improvement.
5. The CCHD will inspect each new or modified public water supply facility
prior to its placement in service.
B. Pollution Incident Response
The CCHD will undertake the following:
1. The CCHD will investigate all reports of drinking water contamination or
other public health and safety hazards affecting water supplies.
2. The CCHD will respond to outbreaks of waterborne disease and report
verified outbreaks to DER.
3. The CCHD will promote the extension and interconnection of public
water supplies to serve areas with unsafe or inadequate water supply
4. The CCHD will carry out these activities in accordance with DER rules
and regulations, policies and procedures and will coordinate with the Fish
Commission, EPA, the Pennsylvania Department of Health and other
appropriate agencies.
C. Enforcement
DER is empowered to take various actions to obtain compliance or otherwise
enforce the Public Water Supply Law and the rules and regulations adopted
thereunder. The CCHD is empowered by the Local Health Administration Law
to take various actions to enforce the health laws and to abate nuisances
detrimental to the public health, including conditions relating to drinking water.
The parties agree to undertake the following activities to coordinate enforcement:
1. The CCHD will take appropriate follow-up actions after complaint
investigations or other inspections.
2. The CCHD will issue appropriate orders or notices, hold conferences or
hearings and take any other actions at law and equity as provided by laws
for the protection of public health and safety.
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Comprehensive Agreements/Peoiuyivania
3. The CCHD may recommend that DER initiate joint or supplemental
enforcement actions to obtain compliance with rules, regulations,
standards or permit conditions of the Public Water Supply Law.
4. The DER may, in its sole discretion, take appropriate compliance or
enforcement actions independently of or in conjunction with the CCHD
to abate public nuisances or enforce the Public Water Supply Law.
5. Each party will make every reasonable effort to advise the other party of
any proposed enforcement action sufficiently in advance of taking the
action to provide an opportunity for comments and coordination of
enforcement strategies.
D. Application Processing
On July 1, 1983 the CCHD will begin to assist DER in the review and processing
of applications for public water supply permits for water suppliers located in
Chester County.
1. The CCHD will keep on file plans, reports and specifications, as well as
data and maps of distribution systems (wherever possible) for use in this
review process.
2. The CCHD will review permit applications for new and modified public
water supply facilities for conformance with DER rules, regulations and
standards and will make recommendations regarding permit is^Manrx*- to
the DER.
3. The CCHD will act as a local contact for Chester County water suppliers
for information on application procedures and requirements.
E. Laboratory Services
Laboratory services shall be provided by the CCHD to the extent allowed by its
laboratory capabilities. Services that cannot be provided by the CCHD will be
provided by DER.
1. Water samples will be analyzed by the CCHD Laboratory for the
parameters listed in Appendix A.
2. Water samples will be analyzed by the DER Laboratory for any of the
parameters listed in Appendix A and as may be necessary to verify test
results of the CCHD laboratory.
3. All laboratory analyses shall be conducted in accordance with Standard
Methods for the Examination of Water and Wastewater or alternate
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I gaming Guide for Drinking Water Contracts Du»uui State and Local Government*
methods prescribed by the U.S. Environmental Protection Agency (EPA).
F. Data Management
1. The CCHD will submit narrative and statistical reports on program
activities to the DER on a quarterly basis.
2. All files and records produced pursuant to this Agreement are the
property of the DER and will be separate and distinct from other files
and records maintained by the CCHD. They will be maintained
inaccordance with the DER's policies and procedures and will be returned
to the DER promptly upon request.
3. The program activity data needed by the DER for its information system
will be submitted on forms or in the format established by the DER
policies and procedures.
G. Analysis Q£ Existing~ Information
1. The DER will provide copies of its Chester County public water supply
files for the CCHD's use in identifying and defining the local public water
supplies.
2. The CCHD will analyze, tabulate, and summarize the data from these
files into usable format prior to beginning surveillance and monitoring
activities.
3. The CCHD will summarize available information on service areas,
population served, and projected water needs in Chester County using
information and maps from the Chester County Water Resources
Authority and Planning Commission, DER files, the State Water Plan, the
Delaware Valley Regional Planning Commission, The Delaware River
Basin Commission, and the public water supply industry.
H. Interagency Coordination
The parties will make every effort to coordinate the CCHD and the DER public
water supply activities with EPA activities pursuant to the Federal Safe Drinking
Water Act
1. The Norristown Regional Office of DER will facilitate the coordination of
the public water supply program embodied in this Agreement with EPA
procedures and implementation strategies.
2. The DER will solicit CCHD's participation in any interagency
collaboration regarding EPA compliance schedules, notifications and
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Cooqxebensive Agreements/Pennsylvania
sampling requirements.
3. The CCHD public water supply program staff wQl attend appropriate
DER staff meetings in both Harrisburg and the Norristown Regional
office to facilitate program coordination.
4. The DER will supply all the necessary forms required in the
administration of the public water supply program.
5. The CCHD will obtain EPA public water supply administration materials.
6. The DER wfll provide the CCHD with copies of the applicable laws,
regulations, policies, and procedures.
7. The DER wfll refer all communications and inquiries regarding operations
and inspections of pubb'c water supplies in Chester County to the CCHD.
8. The Norristown Regional Office and the CCHD wfll notify all permittees
of the change in procedures regarding supervision of operation of
facilities and wfll direct the submission of operation reports to the CCHD.
VI. Education, Training and Staff Selection
A. The CCHD wfll have adequate personnel to carry out its duties and
responsibilities under the program.
B. Organization charts have been appended (Appendices B and C) indicating
administrative lines of responsibility.
C It is initially anticipated that 25 man-hours per week wfll be devoted to field
surveillance and monitoring. This time wfll be equally divided between the
Environmental Protection Specialist and the Public Health Engineer. The Public
Health Engineer wfll also review water supply permit applications. The Director,
Bureau of Environmental Health Protection, wfll coordinate the program as well
as administer the enforcement aspects of the program.
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lf»nmg Guide for Drinking Water Contracts DcHnxii State and Local Governments
The initial allocation of a total of 37 man-hours per week is as follows:
Man-Hours per Week
Field Time 25
Travel Time 4
Office Time 8
Total 37
D. The CCHD will undertake the following measures will be taken to ensure that
the public water supply staff will remain current in the water supply program.
1. Each staff member engaged in the public water supply program shall
satisfactorily complete a Basic Sanitaria ns's Training Course which shall
include the following topic:
a. Water Treatment Plant Design and Construction.
b. Aspects of Waterborne
c. Sources of Water Supply.
d Water Quality.
e. Methods of Water Treatment
£ Evaluation of Water Systems.
g. Water Chemistry and Bacteriology.
h. Fluoridation.
L Cross-Connection Control
j. Water Distribution.
2. The CCHD will make reasonable effort to assure that its water
supply staff attend at least one formal training program related to
water supply every three years. Advantage will be taken of courses
offered by the Department of Community Affairs, the American Water
Works Association (AWWA), the Bureau of Community
Environmental Control, the American Public Health Association, The
Environmental Protection Agency, universities and engineering
societies.
3. The CCHD will make at least one trade journal and one professional
journal in the field of water supply and relevant textbooks and reference
materials readily available and accessible to the staff, The CCHD will
place its library on mailing lists from EPA, DER, and the AWWA.
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Learning Guide for Drinking Water Contracts Between State and Local Governments
4. Each water supply staff member wfll participate at least once annually
injoint inspections with his supervisor or an appropriate DER staff
member.
5. The DER wfll provide staff training to the CCHD to enhance technical
knowledge and promote uniformity in carrying out the public water supply
program.
6. The Environmental Protection Specialist wfll receive on-the-job training at
a public water supply faculty.
7. The CCHD wfll provide in-service training using textbooks, EPA manuals,
CDC correspondence courses, Operator's Manual for Water Treatment
Plants, and Federal and State legislation. Tests wfll be given to assess the
value of this training. There wfll be written work assignments and
problems assigned from the reference material
8. A field assignment in several local water treatment plants wfll be arranged
whereby each staff person wfll actually work in the plant for a period of
time rotating through various job functions.
E. The CCHD wfll promote educational opportunities for and assistance to water
supply personnel and others involved in the identification and elimination of
potentially hazardous cross-connections in public water supply systems.
VII. Evaluation and Modification of the Program
A. The DER and the CCHD wfll continually review and evaluate the
implementation of this Agreement and make revisions as appropriate.
B. The DER wfll make an annual comprehensive written evaluation of the CCHD's
performance under implementation of this Agreement
C. At least once each quarter during the term of this Agreement, the CCHD and
the DER program directors wfll meet to review their respective programs, to
discuss questions which have arisen and to develop further coordination and
improvement which may be desirable.
D. This Agreement may be modified at any time by mutual written consent of the
parties.
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L*«""'"E Guide for Drinking Water Contracts Between State and Local Governments
Vin. Duration of the Agreement °
This Agreement shall become effective upon execution by both parties and shall continue
in effect until terminated in writing by one of the parties. Notice of the intention to
terminate portion of this Agreement must be given at least 30 days in advance of
termination.
Director, Chester County Health Department Date
Deputy Secretary for Environmental Protection Date
Regional Director Date
Approved for form and legality:
Attorney General Date
Chief/Assistant Counsel- DER Date
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**«"Tv'"E Guide for Drinking Water Contracts BiUmem State and Local Governments
APPENDIX A
Laboratory Services; Water Analysis Responsibilities
Parameters CCHD Lab State Lab
Arsenic +
Barium +
Chromium (VI) +
Fluoride +
Lead +
Mercury . +
Nitrate (as N) +
Selenium +
Silver +
Eldrin +
Lindane +
Methoxychlor +
Toxaphene +
2,4-D +
2, 4, 5-TP Silvex +
Radium +
Gross Alpha +
Gross Beta +
Turbidity +
Coliform bacteria +
Cadmium +
Chloride +
Copper +
Foaming agents +
Hydrogen sulfide +
Iron +
Manganese -f
Sulfate +
TDS +
Zinc +
Color +
Corrosivity +
Odor +
pH +
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Guide for Drinking Water Contracts DUmuut State and Local Governments
Division of Public Health Engineering
Organizational Chart
Division of
Public Health
Engineer 1ng
Pub IIc Health
Engineer I I
Environmental
Protection
Specialfst I I
Environmental
Protection
Specialfst I I
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Learning Guide for Drinking Water Commas between State/Local Governments
Chester County Commissioners
Board of Health
Chester County Health Department
Various Federal, State,
Regional, Local Official
& Voluntary Agencies
& Providers
Department So Ii c i tor
Administration
Office of:
County Health Director
Division of
Personal Health Services
AOnlnlstrolive fc
Suppport Services Dlv
Communicable Disease Control
T.B., V.D., Outbreak
Response
Maternal & Child Health Services
Immunization Programs
Child Health Clinics
Birth Defect Detection &
Referral
W.I.C. Program
Prenatal Program
TAP Program
Chronic Disease Programs
Screening, Education &
Referral
Public Health Nursing Services
Clinic Organization &
Staffing
Patient Education
Home Visits & Teaching
Daily administration
Program Direction
Personnel Administration
Budgeting & Accounting
Public Health Statistics
Public Health Veterinary
Public Health Education
Bureau of Environmental
Health Projection
Environmental Health Services
On-lot Sewage Systems
Foodservice Sanitation
Shellfish Program
Camps & Recreation Areas
Institution & School Sanitation
Vector Control
Bottled Water
Food Manager Certification
Program
Etc.
Public Health Engineering
Public Bathing Places
Walcr Supply
Water Pollution Control
Pollution Incident Response
Radiation Hazard &
Monitoring
Pollen Count Program
Etc.
Solid Waste Coordinator
Public Health Water Laboratory
Services
Proposed 12/19/79
Approved 02/21/80
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Appendix Material
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Learning Guide for Drinking Water Contracts DcUncii State and Local Goven
Overview of NEHA
The National Environmental Health Association (NEHA) had its origins in the state of
California where it was incorporated in 1937. The original impetus behind the creation of a
national professional society for environmental health practitioners was the desire by
professionals of that day to establish a standard of excellence for this developing profession.
This standard, which has come to be known as the registered sanitarian or registered
environmental health specialist credential, evidences that one has mastered a body of knowledge
(which is verified through an examination and maintained through continuing education) and
has acquired sufficient experience thereby indicating that work responsibilities in the
environmental health field can be satisfactorily performed. The pioneers of the association
believed that such a credential was necessary if the profession was to grow and take shape as
a legitimate and widely respected area of specialization.
Drawing on the original effort that led to the creation of NEHA, the association today
stands as a 5,500 member strong professional society. NEHA offers a variety of programs that
are all in keeping with the association's mission, which is as relevant today as it was when the
organization was founded. The mission of the National Environmental Health Association is to
"Advance the environmental health professional for the purpose of providing a healthful
environment for all."
In pursuit of its mission, NEHA sponsors a variety of programs. Today, the association
offers three credentials: the registered environmental health specialist, the environmental health
technician, and the registered hazardous substances professional). In addition, NEHA conducts
three major educational conferences each year, publishes the widely respected and peer
reviewed Journal of Environmental Health, supports continuing education, functions as a one
stop shop for publications that give the NEHA member education in virtually every area of the
environmental field, and performs additional services ranging from networking with peer groups,
to committee participation opportunities, to the development of positions on timely and serious
environmental concerns.
The pursuit of NEHA's mission is manifested through the various programs that the
association sponsors. Just as important, however, is the manner in which it conducts these
programs.
Advancement has been defined by NEHA in terms of both education and motivation. The
basis for the association's activities is the belief that the professional that is educated and
motivated is the professional who is going to make the greatest contribution to the healthful
environment goals which we all seek. Accordingly, great emphasis is placed on providing,
through each of NEHA's programs, both an educational as well as a motivational kick.
At NEHA's conferences, for example, tremendous attention is paid to developing a quality
educational program that not only imparts knowledge to the attendee but also, through the very
quality of the presentations, inspires the attendee to do more or to go to the extra length upon
returning to his or her job.
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Learning Guide for Drinking Water Contracts Detmacii State and Local Governments
To undertake the various programs of the association, NEHA maintains a national
headquarters that employs 15 paid professionals. Serving at the pleasure of the association's
executive committee is a full time chief executive who functions in the capacity as the
association's executive director. The staff is organized into four separate departments which
include communication and public relations, administration, grants and contracts, and
membership services.
The association is governed by a fourteen member executive committee that is chaired by
the association's president. In all, NEHA has five national officers (second vice president, first
vice president, president-elect, president, and past president) who serve on the association's
executive committee along with nine regional vice presidents who each respectively represent
various regions of the nation. (A regional vice president, for example, will represent a block of
states.)
Serving under the association's executive committee is an array of various administrative and
functional committees. In addition, members can participate in the association through another
array of committees that are organized within eight distinct sections, which for NEHA's
purposes, essentially divide the environmental field. Those sections include Air /Land/Water,
Environmental Health Management, Food Protection, General Environmental Health, Injury
Prevention/Occupational Health, Institutional Environmental Health, Hazardous and Toxic
Substances, and International Environmental Health.
NEHA's large and growing membership spans from the public to the private sector and into
both academia and the uniformed services. The association's journal is subscribed to in some
fifty-three countries from around the world.
Though NEHA's membership is quite diversified, most of NEHA's members work in the
public sector. The mainstream NEHA member tends to be employed in a local county health
department. In addition, the majority of members in NEHA describe themselves as "generalists."
In other words, they do not carry a single responsibility but rather have responsibility for a
variety of different environmental programs.
The only qualification to being a regular active NEHA member is that the individual be a
professional who is employed in the environmental field.
Most recently, NEHA has joined with environmental health professional societies from
around the world to participate in the International Federation of Environmental Health. In this
capacity, it is the association's desire to foster more cooperation and understanding between and
among environmental health professionals, contribute to the resolution of worldwide
environmental health issues, and work with other national professional societies to advance the
cause, image, and standing of the environmental health profession.
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Learning Guide for Drinking Water Contracts between State and Local Governments
Ensuring Safe Drinking Water
New Challenges for Local Health Officials
Passage of the 1986 Safe Drinking Water Act (SDWA) Amendments marked the dawn of a new
era in the protection of America's drinking water. The Amendments mandate a sweeping and
comprehensive regulatory program to ensure the uniform safety of drinking water for all
Americans served by public water systems, at home, at school, at work, or on the road.
The U.S. EPA Office of Ground Water and Drinking Water (OGWDW) recognizes the seriousness
of the challenge it faces in turning the 1986 Amendments into reality. In order to meet the
challenge, OGWDW has undertaken a broad and far-reaching "Mobilization" effort. The basic
concept behind Mobilization is perhaps stated by the adage "Many hands make light work."
Through Mobilization, OGWDW hopes to bring the talents and resources of all groups and
organizations, impacted by the drinking water requirements, to bear on their implementation.
Local health officials are a key focus of the Mobilization effort, since they are in an excellent
position to greatly contribute to the implementation of the new drinking water requirements. In
fact, local health officials are critical to the successful implementation of SDWA. This article is
intended to provide local health officials with an increased awareness of the new drinking
requirements, and an explanation of how they can best contribute to successful implementation.
Background: The Management of the Nation's Drinking Water
Prior to 1974, the federal government possessed very limited regulatory authority, and most
drinking water standards and practices were established by individual States. The first federal
drinking water standards were adopted in 1914, but
regulated only those suppliers serving interstate carriers,
for example, passenger trains.
Because the nature and enforcement of State standards
varied greatly, the U.S. Congress passed the original 1974
SDWA and established the federal Public Water Supply
(PWS) Program. The Program is administered by the U.S.
EPA Office of Ground Water and Drinking Water, and
regulates the quality of drinking water provided by the
nation's public water systems. As shown in Figure 1,
85% of all Americans receive their drinking water from
water systems subject to regulation under SDWA. The
remaining 15% of the population are largely served by
individual, private wells.
Figure 1.
U.S. population served by
SDWA-regulated and non-
regulated systems.
Total US. Population • 248.6 Million
SDWA-Regutoted
Community
Syile
15%
fton-SDWA-ReguMed
tnOvMkulSytlemt
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Learning Guide for Drinking Water Contracts between State and Local Governments
A major goal of the 1974 Act was to provide uniformity and consistency to State regulatory
efforts. Under a management system known as primacy. States are responsible for implementing
and enforcing the PWS Program.
In order to achieve primacy, each State must adopt regulatory requirements at least as stringent
as those promulgated by EPA and must have adequate authority to enforce their requirements.
States may establish citing, design, construction, and operation requirements. Presently, the only
States without primacy are Wyoming, Indian Lands, and the District of Columbia. The U.S. EPA
is responsible for implementation and enforcement in non-primacy States.
The Nature of the Regulated Community
There are approximately 200,000 public water systems (PWSs) regulated under SDWA. A public
water system is defined as any system providing piped water for human consumption, and serving
25 or more people or 15 or more service connections for at least 60 days per year. As shown in
Figure 2, there are three major categories of public water supply systems: community water
systems; non-transient, non community water systems; and transient non-community systems.
A community water system (CWS) provides water to the same people on a year-round basis.
CWSs range in nature from large urban water systems to mobile home parks and nursing homes
having their own supply source. Two hundred and twenty-one (221) million people receive their
household drinking water from CWSs.
As shown in Figure 3, the vast majority of the U.S. population is served by a relatively small
number of large CWSs, and these systems are capable of compliance without great difficulty. On
the other hand, a minority (11 percent) of the population is served by a large number of small
water systems. These small systems, due to their special problems, account for over 90 percent of
the violations of current drinking water requirements.
Figure 2.
Regulated universe of Public
Water Systems
Figure 3.
Community water systems size
distribution.
Total Public Water Systems=201,242
Transient
Non-Community
Systems
60%
Won-Ttanslent
Non-Community •
PERCENT
I Ptrcenl of Total Public Water System*
| Percentage of Total Popubtlon Seived
SmU Itodium Urgt VtryUrgi
SIZE CATEGORY
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Learning Guide for Drinking Water Contracts between State and Local Governments
Small and very small CWSs (those serving less than 3,300 persons), with their smaller.and less
dense service populations, have much, difficulty consistently delivering safe drinking water at
affordable prices. These systems are characterized by low revenues, high user rates, poor financial
capabilities, poor business and technical management, and a lack of engineering/planning
knowledge. Further, as shown in Figure 4, approximately forty percent of small and very small
CWSs are mobile home park and homeowner association systems. These two categories are
particularly troublesome. Mobile home park systems are often neglected by park owners because
water supply is not their principal business interest Homeowner association systems are created
for water supply provision when residential developments are isolated from larger CWSs.
Unfortunately, homeowner associations lack the technical and managerial skills needed to
effectively operate a water system.
A non-transient, non-community water system (NTNCWS), unlike a CWS, does not serve a
year-round community population. Rather, it serves a daily average of at least 25 of the same
individuals for at least 6 months out of the year. The most common types of NTNCWSs are
factories and rural schools having their own well or other supply source. Historically, NTNCWSs
were required to meet only those standards (nitrates and bacteria) required to prevent short-term
health problems. As discussed in more detail later, these systems are now required to meet the
same standards as CWSs since their service populations consist of long-term users. In fact, many
individuals consume a substantial amount of drinking water at work or at school.
A transient non-community water system (TNCWS), like a NTNCWS, does not serve a year-round
community population. Unlike a NTNCWS, it serves a transient population of at least 25
individuals daily, that is, the system does not serve the same 25 or more individuals on a long-term
basis as do schools and factories. The most common kinds of TNCWSs include rest stops,
restaurants, gasoline service stations, campgrounds, and park facilities. At one time or another, all
Americans have consumed drinking water at these types of facilities. Unlike CWSs and
NTNCWSs, TNCWSs are required to meet only those standards designed to prevent short-term
health problems.
Roles and Responsibilities in the Current PWS
Program
The ultimate goal of the drinking water program is to
prevent endangerment to human health resulting from the
contamination of drinking water supplies. This mission
requires intense cooperation among U.S. EPA, State
primacy agencies, and the regulated community. Each
has a well-defined and vital role in the regulatory
process. EPA is responsible for establishing regulations
and policy for national program oversight.
Figure 4.
Regulated universe of Community
Water Systems.
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Learning Guide for Drinking Water Contracts between State and Local Governments
States are responsible for implementing and enforcing the national regulations as well as carrying
out their own programs of plan review, technical assistance, and operator certification.
Local water suppliers are responsible for constructing, operating, and maintaining public water
systems capable of compliance with all federal, State, and local regulations. As previously
mentioned, many local health officials already perform many drinking water roles.
The State Drinking Water Program Capacity Problem
As will be discussed in the next section, EPA is developing numerous new regulations in response
to the mandate of the 1986 SDWA Amendments. In order to retain primacy, States will have to
adopt and enforce these new regulations. State Drinking Water Program budgets must more than
double to support this new work assignment.
States currently spend about $95 million per year. Of that amount, States contribute two-thirds and
federal grant dollars constitute the remainder. Figure 5 indicates that States need an additional $34
million per year just to implement the current requirements. In addition, implementation of the
1986 Amendments will cost the States $180 million in one-time costs through 1992, and will lead
to an increase in annual
costs of $150 million per
year after 1992. Dramatic Figure 5.
increases in federal State shortfall of funds
subsidies are unlikely, thus necessary to implement the
States must build support P^1'0 Water SuPPty Program.
to substantially increase
their drinking water
budgets.
Is the Public's Drinking
Water Safe?
Recently, EPA's
enforcement of drinking
water requirements has
been criticized by some as
in-sufficient. Such
allegations have received
considerable media
coverage over the past
year. As a result, citizens
have confronted their water
suppliers and local health
departments to determine
whether such problems
exist locally.
Funding for
Current Stale Programs
Funding for Current and
New Requirements
] Total - $129 million per year)
Current PWS
Program Shortfall
134 Million
''„',
v> •> >
Current
m Funding
95 Million
Cry JTotal - $281 million peryearj
*F6rihe new iwjtwements, and addrtonal J18&
:: milBondoiiaf8«of»-tme«)si84»«isoi>eoessary.
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Learning Guide for Drinking Water Contracts between State and Local Governments
EPA's compliance data (the same data upon which the negative allegations are based) indicates
that America's drinking water is very .safe. In 1987 and 1988, 75 percent of the 60,000 CWSs met
all drinking water regulations all of the time. More than 180 million Americans received their
water from systems in full compliance. Of the 41 million people whose CWSs violated the
regulations at least once, only about 10 percent were served by systems with significant
compliance problems. Most systems that experienced compliance problems, corrected those
problems within one month. In most cases, they simply failed to test their water for contaminants,
and were not in direct violation of a health standard. For large systems that must test hundreds of
samples each month, missing even a single sample is recorded as a violation.
Small and very small systems are the most frequent violators. In 1988, small system violators
outnumbered larger violators by 11 to 1. Also, the greatest percentage of violators are not located
in the continental U.S., but are located in Guam, the Virgin Islands, and other Territories.
The New Drinking Water Program
Since the passage of the original Safe Drinking Water Act (SDWA) in 197-4, and up through 1985,
U.S. EPA adopted National Primary Drinking Water Regulations (NPDWRs) for 26 contaminants.
In 1986, SDWA was comprehensively amended to greatly increase the scope and stringency of the
PWS Program and the national drinking water regulations. Figure 6 displays the schedule for
regulatory changes required by the 1986 Amendments. In brief, U.S. EPA is required to make the
following changes to the PWS Program and the NPDWRs:
Figure 6.
Drinking Water Regulatory Development Schedule.
Contaminant/Requirement Status** Effective Date*
Fluoride Final 10/87
Lead Ban (SDWA 1417) Final 6/86
Phase I Volatile Organics Final 1/89
Public Notification Final 4/89
Lead Ban Policy Guidance Final 3/89
Surface Water Treatment Rule Final 12/90
Total Coliform Rule Final 12/90
Lead/Copper Final 1992
Phase II38 Contaminants Final 1992
Phase m Radionuclides Proposed .„
Phase V 25 Contaminants Proposed
Disinfection TBP
Additional List TBP
* As of June 1989.
**A11 Dates after September 1991 are estimated.
*«»EPA Rules are generally effective 18 months after being finalized.
State rules are required to be adopted by the EPA effective date.
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Learning Guide for Drinking Water Contracts between State and Local Governments
_ Increase to nearly 200 by the year 2000, the number of regulated contaminants.
_ Require water systems to monitor over 100 yet unregulated contaminants.
_ Require filtration for nearly all surface water systems, and disinfection for all surface water
and many groundwater systems.
_ Ensure that a new ban on lead-based solder, pipe, and flux materials is properly implemented.
_ Take action in response to bolstered enforcement powers.
Furthermore, in 1988 Congress passed the Lead Contamination Control Act which requires U.S.
EPA to maintain an updated list of water coolers with lead-based components, and to develop
guidance for controlling the lead contamination of school drinking water.
The Health Basis for Drinking Water Requirements
SDWA requires all NPDWR standards to be health-based, and establishes the rationale that EPA
must use when developing those standards. A health-based standard must be adopted for each
regulated contaminant and must consist of either a Maximum Contaminant Level (MCL), or a
treatment technique requirement. An MCL is the contaminant concentration level that legally
cannot be exceeded in treated drinking water. If it is not feasible, for technological or financial
reasons, to detect the contaminant in drinking water, a treatment technique requirement is
established in lieu of an MCL.
In establishing an MCL, EPA must first develop an MCL Goal or MCLG. The MCLG reflects the
concentration level at which their is no known or anticipated adverse health effect, based upon a
lifetime consumption of drinking water at the MCLG concentration. The MCL is then set as close
to the MCLG as feasible. Feasible means the treated water concentration that can be achieved
using the best treatment technology (taking cost into consideration) available. It is important to
note that much emphasis is being placed upon long-term health effects. In fact, the standards for
regulated contaminants are being set at very low levels in order to ensure a lifetime of protection
against both acute and chronic health effects.
Roles for Local Health Officials
Local health officials are in an excellent position to fulfill key roles in ensuring safe drinking water
within their communities. As a part of their existing activities and responsibilities, many local
health officials are already involved in some aspect of drinking water protection. The existing roles
of local health officials range from technical assistance for household well owners to formal
involvement in the Public Water Supply (PWS) Program, such as carrying out inspections of public
water systems.
Of course, the future roles assumed by local health officials will vary from place to place and
depend upon many factors, including most importantly 1) the resources available to local health
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Learning Guide for Drinking Water Contracts between State and Local Governments
departments, 2) the nature of individual State PWS programs, 3) the presence of legal barriers
which prevent State PWS programs from delegating drinking water authorities to local
governments, and 4) the interest of local health officials themselves. The EPA Office of Ground
Water and Drinking Water has identified three general areas of activity where local health officials
can take on key roles.
Working With Household Well Owners
Most local health officials are already involved with private well owners. Private wells serving
individual households are not subject to the federal drinking water requirements, and in most cases,
regulation occurs only at the local level. Nonetheless, EPA is concerned about the welfare of
household well owners, and desires to be certain that they benefit from the Agency's understanding
of health risks related to the consumption of contaminated drinking water. Local health officials
can assist household well owners in the following ways:
• By answering questions and conducting proactive education programs addressing the health risks
associated with drinking water contaminants, especially those common to the local area.
• By providing information and technical assistance to well owners with respect to water sampling
and analysis, including the interpretation of laboratory results.
• By providing advice with respect to what type(s) of household treatment devices can be used
to prevent the consumption of contaminated water.
• By educating well owners and the community at large about groundwater protection (a form of
pollution prevention). And also by providing local residents with a better understanding of the
impacts on groundwater caused by septic tank placement and maintenance, and various forms of
land use such as agricultural and livestock, underground storage of petroleum products and other
chemicals, and the improper handling and disposal of household chemicals.
Informing Public Water System Consumers
As previously discussed, most of our nation's population-about 85 percent—receives household
drinking water from public water systems. Most of the water that is consumed away from the
home—at school, at work, or in public places such as restaurants and parks-is also provided by
public water systems. Each new rule and regulation that applies to public water systems will
directly affect the persons who drink the water that they supply. As a result, public water system
consumers will have more and more questions and concerns about their drinking water.
Local health officials can play a critical role in their communities by answering consumers'
questions about the importance and impact of the new regulations, about the public health
significance of drinking water contamination, and what steps, if any, area consumers should be
taking. More specifically, local health officials can provide such assistance to customers of public
water systems in the following way:
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Learning Guide for Drinking Water Contracts between State and Local Governments
— By conducting proactive public education programs in coordination with area water utilities and
the State PWS program; addressing 1) the significance and health effects of drinking water
contamination, 2) the protection of drinking water at the supply source, 3) the techniques for
conserving drinking water, and 4) the need for higher water rates in order to pay for protection
from long-term health effects.
Assuming a Formal Role In the Public Water Supply Program
As discussed above, one of the unfortunate realities confronting State PWS programs is a
significant lack of funding. Some States are better off than others, but as a rule, all State PWS
Programs have a substantial financial challenge ahead of them.
Local health officials can help the States with their financial woes in numerous ways. Most
immediately and importantly, local health officials could help generate support, among both the
general public and State legislators, for increased State PWS Program resources. Once the State
program secures additional resources, local health officials can help the State PWS Program use
its resources more efficiently by entering into a formal agreement with the State. Such cooperative
agreements would establish a formal role within the PWS Program for local health officials. For
example, an agreement could enable local health officials to assume certain State PWS Program
responsibilities, such as sampling, inspections, and some enforcement activities. In brief, the
following are various ways in which local health officials can become more involved with the State
PWS Program:
• By supporting all efforts to increase the capacity of the State PWS Program.
• By actively encouraging both elected and appointed decision makers to support increased
resources for their State PWS Program, and by explaining to the public the importance of a strong
State PWS Program.
• By supporting State PWS Program efforts to resolve small water system problems, especially
the promotion of managerial consolidation among nearby small systems, and helping small systems
with understanding monitoring requirements and interpreting monitoring results.
To conclude, drinking water program requirements are now expanding to an unprecedented degree.
The successful implementation of these requirements will involve the utmost cooperation from all
affected parties. Both U.S. EPA and State PWS Programs are now relying upon local health
officials, as never before, to expand and apply their knowledge, expertise, and assistance,
especially in light of the close relationships they enjoy with the local public. To obtain further
information about the Public Water Supply Program, please call the U.S. EPA Safe Drinking Water
Hotline at 1-800 426-4791.
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Delaware
Designated State Drinking Water Primacy Agencies
Water Supply Branch
Department of Environmental Management
1751 Federal Drive
Montgomery, AL 36130
(205) 271-7773
Drinking Water Program
Water Quality Management
Department of Environmental Conservation
P.O. Box 1
Juneau, AK 99811
(907) 465-2653
Field Services Section
Office of Water Quality
2655 East Magnolia Street
Phoenix, AZ 85034
(602) 392-4002
Division of Engineering
Department of Health
4815 West Markham Street
Little Rock, AR 72201-3867
(501) 568-5105
Sanitary Engineering Branch
Department of Health
714 P Street
Sacramento, CA 95814
(916) 323-6111
Drinking Water Section
Department of Health
4210 East llth Avenue
Denver, CO 80220
(303) 320-8333 (Ext. 4546)
Office of Sanitary Engineering
Division of Public Health
Jesse Cooper Memorial Building
Capital Square
Dover, DE 19901
(302) 736-4731
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Drinking Water Section
Department of Environmental Regulation
Twin Towers Office Building
2600 Blair Stone Road
Tallahassee, FL 32301-8241
(904) 487-1772
Drinking Water Branch
Environmental Protection Division
Department of Natural Resources
270 Washington Street S.W.
Atlanta, GA 30334
(404) 656-4807
Drinking Water Program
Sanitation Branch
Environmental Protection and Health Services Division
Department of Health
P.O. Box 3378
Honolulu, HI 96801
(808) 548-4682
Water Quality Bureau
Division of Environment
Department of Health and Welfare
Statehouse
Boise, ID 83720
(208) 334-5867
Division of Public Water Supplies
Environmental Protection Agency
2200 Churchill Road
Springfield, IL 62706
(217) 785-8653
Department of Environmental Management
Public Water Supply
105 S. Meridian Street
P.O. BOX 6015
Indianapolis, IN 46206-6015
(317) 240-6217
Water Supply Section
Surface and Groundwater Protection Bureau
Department of Natural Resources
Wallace State Office Building
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Learning Guide for Drinking Water Contracts Between State and Local Governments
900 East Grant Street
Des Moines, IA 53109
(515) 281-8998
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Permits and Compliance Section
Bureau of Water Protection
Department of Health and the Environment
Forbes Field
Topeka, KS 66605
(913) 296-1500
Division of Water
Department of Environmental Protection
18 Reilly Road, Fort Boone Plaza
Frankfort, KY 40601
(502) 564-3410 (Ext. 543)
Department of Health and Hospital Public Health
Department of Health and Human Resources
P.O. Box 60630
New Orleans, LA 70160
(504) 568-5105
Manager, Drinking Water
Bureau of Health
Division of Health Engineering
Department of Human Services
State House (STA 10)
Augusta, ME 04333
(207) 289-3826
Division of Water Supply
Office of Environmental Programs
Department of the Environment
2500 Broening Highway
Baltimore, MD 21224
(301) 631-3702
Division of Water Supply
Department of Environmental Quality Engineering
One Winter Street
Boston, MA 02108
(617) 292-5529
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Division of Water Supply
Bureau of Environmental and Occupational Health Services
Department of Public Health
3423 North Logan Street
P.O. Box 30195
Lansing, MI 48909
(517) 335-9216
Section of Public Water Supplies
Office of Environmental Health
Department of Health
717 S.E. Delaware Street
P.O. Box 9441
Minneapolis, MN 55440
(612) 627-5100
Division of Water Supply
Board of Health
P.O. Box 1700
Jackson, MS 39205
(601) 960-7518
Public Drinking Water Program
Division of Environmental Quality
Department of Natural Resources
P.O. Box 176
Jefferson City, MO 651102
(314) 751-5331
Drinking Water Section
Water Quality Bureau
Department of Health and Environmental Sciences
Cogswell Building, Room A206
Helena, MT 59620
(406) 44-2406
Division of Environmental Health
Department of Health
301 Sentenial Mall South
P.O. Box 95007 3rd Floor
Lincoln, NE 68509
(402) 471-2541
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Learning Guide for Drinking Water Contracts Between State and Local Governments
New York
New Jersey
New Hampshire
New Mexico
North Dakota
North Carolina
Bureau of Public Water Supply Protection
State Department of Health
2 University Place, Room 406
Western Avenue
Albany, NY 12203-3399
(518) 458-6731
Bureau of Potable Water
Division of Water Resources
Department of Environmental Protection
P.O Box CN-029
Trenton, NJ 06825
(609) 984-7945
Water Supply Division
Water Supply and Pollution Control Commission
P.O. Box 95
Hazen Drive
Concord, NH 03301
(603) 271-3503
Drinking Water Supply
Health and Environment Department
P.O. Box 968
Santa Fe, NM 87504-0968
(505) 827-2778
Division of Water Supply and Pollution Control
Department of Health
1200 Missouri Avenue
Bismarck, ND 58501
707) 224-2370
Water Supply Branch
Division of Health Services
Department of Human Resources
Bath Building
P.O. Box 2091
Raleigh, NC 27602-2091
(919) 733-2321
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Office of Public Water Supply
Environmental Protection Agency
361 Broad Street
P.O. Box 1049 ,
Columbus, OH 43266-0149
(614) 644-2752
Water Facility Engineering Service
Department of Health
P.O. Box 53551
Oklahoma City, OK 73152
(405) 271-5205
Drinking Water Systems Section
Health Division
Department of Human Resources
1400 S.W. 5th Avenue
Portland, OR 97201
(503) 229-6310
Division of Water Supplies
Department of Environmental Resources
P.O. Box 2357
Harrisburg, PA 17120
(717) 787-9035
Division of Water Supply
Department of Health
75 Davis Street, Health Building
Providence, RI 02908
(401) 277-6867
Division of Water Supply
Department of Health and Environmental Control
2600 Bull Street
Columbia, SC 29201
(803) 734-5310
Bureau of Drinking Water
Department of Water and Natural Resources
Joe Foss Building
523 Capital Avenue, East
Perre, SD 57501
(605) 773-3151
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Division of Water Supply
Bureau of Environment
Department of Health and Environment
150 9th Avenue, North
Nashville, TN 37219-5404
(615) 741-6636
Division of Water Hygiene
Department of Health
1100 West 49th Street
Austin, TX 78756-3199
(512) 458-7533
Bureau of Drinking Water/Sanitation
Department of Health
P.O. Box 16690
Salt Lake City, UT 84116-0690
(801) 538-6159
Water Supply Division
Department of Health
60 Main Street
P.O. Box 70
Burlington, VT 05401
(802) 863-7220
Bureau of Water Supply Engineering
Department of Health
James Madison Building
109 Governor Street
Richmond, VA 23219
(804) 786-1766
Drinking Water Program Section
Department of Social and Health Services
Mail Stop LD-11
Olympia, WA 98504
(206) 753-5954
Drinking Water Division
Office of Environmental Health Services
Department of Health
1800 Washington Street East
Charleston, WV 25305
(304) 348-2981
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Wisconsin Bureau of Water Supply
Department of Natural Resources
101 South Webster
P.O. Box 7921
Madison, WI 53707
(608) 267-7651
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Non-Primacy Drinking Water Agencies
District of Columbia
Wyoming
Water Hygiene Branch
Department of Consumer and Regulatory Affairs
5010 Overlook Avenue S.W.
Washington, D.C. 20032
(202) 767-7370
Water Quality Division
Department of Environmental Quality
401 West 19th Street
Cheyenne, WY 82002
(307) 777-7781
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Tabulation of State Contractual Activities
The following table represents a summary of State-local contractual activity from those States
responding to the national survey conducted during the development of this guidebook. The tabulation
details the parties to the agreement and provides a summary of the terms and conditions of the
agreement. Further, the table itemizes he duration of the agreements and their financial provisions
(where applicable). These tables are designed to provide the reader with a brief informational
summary of the State-local drinking water agreements currently in use.
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Tabulation of State Contractual Activities
State
Alaska
Arizona
California
Florida
Idaho
Parties
<
Alaska Depart-
ment of Envi-
ronmental Con-
servation
(ADEC) and
U.S. Public
Health Service,
Environmental
Health Branch
(PHS)
Arizona Depart-
ment of Envi-
ronmental Qua-
lity (DEQ) and
Yavapai County
Health Depart-
ment (CHD)
California State
Department of
Health Services
(STATE), and
Kern County,
California
(KERN)
Florida Depart-
ment of Envi-
ronmental Reg-
ulation (DER)
and Florida
Department of
Health and
Rehabilitative
Services
(DHRS)
Idaho Depart-
ment of Health
and Welfare
(DEPART-
MENT) and
Idaho Health
District IE (DIS-
TRICT)
- ' ItorW
- Conditions
ADEC funds PHS regional units to test sam-
ples for choliform from small rural systems
which lack testing capacity and which are
too far from commercial labs to deliver
samples within optimum time frame. Sys-
tems responsible for collection and transport
of samples to PHS labs.
DEQ delegates to CHD authority to perform
and approve: design, construction, inspection
of drinking water systems; solid waste man-
agement functions
State contracted with Kern to perform testing
and evaluation of 130 small drinking water
systems to determine the extent of organic
chemical contamination of groundwater used
as drinking water in Kern County. Kem
Environmental Health Division provided all
personnel and services; state provided train-
ing and technical consultation.
DER is state primacy agency and is thus
responsible for interaction with the EPA;
DHRS has jurisdiction over health depart-
ments. Interagency agreement outlines
means by which DER can insure that local
health departments comply with EPA
drinking water regulations via cooperation
with DHRS.
Agreement that District will monitor small
systems within its jurisdiction with Idaho
drinking water regulations. Systems are
responsible for doing own sampling and
testing; District does sanitary surveys and
spot checks and informs Department if sys-
tems are not in compliance.
tune Period
Indefinite; tem-
porary arrange-
ment until com-
mercial labs
become accessi-
ble.
Indefinite
One year
Indefinite
Indefinite
Finan^M
Fnmsjons
Up to
$6,000/year
TOTAL
None
$107,282.80
None
None
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Learning Guide for Drinking Water Contracts Between State and Local Governments
^ State
•*
Illinois
Maryland
Michigan
Minnesota
Montana
P«rt|<»
s
Illinois Environ-
mental Protec-
tion Agency
(EPA) and
Illinois Depart-
ment of Public
Health (TOPH)
Department of
Environ-
ment/Depart-
ment of Health
& Mental Hy-
giene and Car-
roll County
Health Depart-
ment
Michigan De-
partment of
Public Health
(DEPART-
MENT) and
various Michi-
gan counties
(COUNTIES)
Minnesota
Commissioner
of Health
(STATE) and
local govern-
ment entities
(LHD's)
Montana Depart-
ment of Health
and Environ-
mental Sciences
(STATE) and
Elaine County
(ELAINE)
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Learning Guide for Drinking Water Contracts Between State and Local Governments
'State
Nevada
New Jersey
New Mexico
Oregon
Pennsylvania
,JP«r&*
'
Nevada State
Health Division,
Department of
Human Re-
sources
(STATE) and:
(1) Clark Coun-
ty Health Dis-
trict, and (2)
Washoe County
District Health
Department
(LHD's)
New Jersey
Department of
Environmental
Regulation: The
County Envi-
ronmental
Health Act (Not
a contract)
New Mexico
Health and
Environment
Department and
City of Albu-
querque
Health Division,
Oregon Office
of Environment
and Health
Systems
(STATE) and
participating
county health
departments
(CHD's)
Pennsylvania
Department of
Environmental
Resources
(STATE) and
Chester County
PA Health De-
partment (COU-
NTY)
- * "- s Turwsf
' - ' " "•• "GondHBonA
LHD's agree to educate the public and sys-
tem operators on provisions of the SDWA
and 1986 amendments. LHD's monitor
sampling activities of system operators, and
ensure that operators comply with regula-
tions. LHD's maintain and update emergen-
cy response plans.
Act charges city health department (CHD's)
with inspecting new drinking water systems
in their jurisdictions and with investigating
specific complaints of water pollution.
CHD's not charged with conducting routine
sampling. CHD's are to be especially con-
cerned with ensuring that sewage systems do
not contaminate drinking water sources.
City agrees to seek out leaking underground
storage tanks which might pollute ground
water sources. City reports tanks to Depart-
ment and oversees remediation activities.
CHD's agree to provide technical assistance
and periodic sanitary surveys to small and
non-community systems.
County agrees to inspect public systems
within its jurisdiction at least annually for
compliance with state regulations. County
investigates pollution complaints and con-
ducts periodic sanitary surveys, using its own
lab as much as possible. County reviews
applications for new systems to ensure com-
pliance. Agreement sets out education and
training requirements for County personnel.
Time Period
One year
N/A
One year
One year
Indefinite
Financial
ProvMons
Clark:
$41,875.00
Washoe:
$33,225
N/A
$100,000.00
Not specified
Not specified
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Learning Guide for Drinking Water Contracts Between State and Local Governments
State
"•
Tennessee
Wisconsin
Parties
•
Tennessee De-
partment of
Health & Envi-
ronment, Divi-
sion of Environ-
mental Sanita-
tion (DES) /
Division of
Water Manage-
ment (DMS)
Wisconsin De-
partment of
Natural Re-
sources: Wis-
consin Adminis-
trative Code
(Not a contract)
Tmwtf'
. "Cortdltfoos ... ' - . .
Oversight, inspection and reporting for non-
community water systems
Rules give standards for county ordinances
outlining county health department respon-
sibilities for overseeing construction of wells
and inspecting well water within their juris-
dictions.
V +
THIW Period
"•
...
Indefinite
N/A
Fitianejal
Provisions
None
N/A
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Questionnaire on Successful Agreements
1. How and when was the agreement developed?
a. State or local initiative
2. Has the agreement itself, or the relationship between state and local agencies changed over
time?
3. What is the degree and quality of the communication between the state primacy agency and
local agency?
a. Is there a third agency involved?
4. What kinds of SDWA enforcement activities are performed by the local agencies?
5. What recommendations would you have, based off your experience with this agreement, for
programs that are just now drafting and implementing agreements?
6. What are the particular strengths of the agreement? What are the strengths of the relationship
between the state and local agencies? In both cases, why do they work?
7. Does this agreement function in the "real world" the way it appears to function on paper?
8. Do you expect the agreement to remain the same or change, given the new state
responsibilities under the SDWA and the accompanying increase in federal rules and
regulations?
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Good and Useful Criteria for Evaluating Agreements
The following represents the criteria established by the advisory panel for this project. This list
represents elements that are considered essential for a "good and useful" agreement. No significance
should be given to the order in which they appear. They should be viewed by the reader as equally
important factors to consider in drafting an agreement.
Accountability/Performance -
Specs/Consequences (for all parties)
Brevity
Time frame for tasks
Details in Appendix (Boiler Plate)
Data ownership
Allowable costs
Termination terms
Revision procedures
Definitions (up front)
Define deliverables (form specs, time frame,
etc.)
Progress reports & frequency
Evaluation provisions
Examples (e.g. forms, formats)
Data quality assurance
Personnel specs
Workload specs (personnel needs)
Support specs (travel, equipment, etc.)
Designations of key people & their roles
Training requirements
Compensation terms
Match arrangements
Analysis specs & responsible parties
Definition for judgements made by state
Follow up for if/then situations
Quality assurance of program
Statement of intent, introduction/purpose (scope
of work statements)
Enforcement specs & responsibilities
References (laws, regs., etc.)
Sign off/acknowledgement
Early period of standardization
Escape provisions
Geographic specs
Clear definition of parties
Procedures
Allowed discretion
Audits/oversight
Clear outlines of issues
Lab delegations & specs
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Glossary of Terms
Community Water System
Limited Type of Agreement
Contaminant
Contamination
Comprehensive Type of
Agreement
Deliverables
Drinking Water Well
Maximum Contaminant Level
(MCL)
Non-community Water System
A public water system which serves at least 15 service
connections used by year-round residents or regularly serves at
least 25 year-round residents.
An agreement where the state primacy agency retains primary
responsibility for the local drinking water program.
Any substance such as a chemical ion radionuclide, synthetic
organic compound microorganism, waste, or other substance that
occurs in water causing it to be impure. Contaminated water
does not necessarily pose a health risk if the concentration of the
contaminant does not exceed acceptable drinking water
standards.
The direct or indirect introduction of any contaminant into
ground water caused in whole or in part by human activities.
Agreement where the local agency is given responsibility for the
complete water program, with state supervision.
Those sets of tasks and responsibilities that are assigned to an
individual or agency under the terms and conditions of the
agreement
A rural domestic well or a public water supply well whose water
is used primarily for human consumption (i.e., drinking,
cooking, and bathing).
The maximum permissible level of contaminant in water that is
delivered to any user of a public water system (established by
the Safe Drinking Water Act (SDWA)).
A public water system that is does not serve a residential
population. Non-community systems are subdivided into two
different categories: (1) non-transient non-community water
system (NTNCWS) is a public water system that is not a
community water system and that regularly serves at least 25 of
the same persons over 6 months per year (i.e., school or
business with their own water system); (2) transient non-
community (TNCWS) is a public water system that does not
regularly serve any of the same persons over 6 months per year
(i.e., motels, campgrounds, highway rest stops).
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Learning Guide for Drinking Water Contracts Between State and Local Governments
Public Water System
Safe Drinking Water Act
(SDWA)
A system for the provision to the public of piped water for
human consumption, if such system has at least fifteen service
connections or regularly serves an average of at least twenty-five
individuals daily at least 60 days out of the year. Such terms
include (1) any collection, treatment, storage, and distribution
facilities under control of the operator of such system, and used
primarily in connection with such system, and (2) any collection
or pre-treatment storage facilities not under such control which
are used primarily in connection with such system. A public
water system is either a "community water system" or a "non-
community water system".
A law passed in 1974 and administered by EPA that establishes
national standards for drinking water to provide a safe and
wholesome water supply from both surface and ground-water
sources.
Safe Drinking Water Act
(SDWA) 1986 Amendments
Sanitary Survey
Surface Water
Expanded the provisions of the SDWA by requiring new or
revised regulation for 84 contaminants by 1992. U.S. EPA must
also regulate an additional 25 contaminants every three years
beginning in 1991.
An on site review of the water source, facilities, equipment,
operation and maintenance of public water system for the
purpose of evaluating the adequacy of such source, facilities,
equipment, operation and maintenance for producing and
distributing safe drinking water.
Water found on the land surface in streams, ponds, marshes,
lakes, or other fresh water sources.
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