THE DRINKING WATER
INSPECTORATE
GUIDANCE ON
THE REGULATORY
RESPONSIBILITIES
ASSOCIATED WITH
INSET APPOINTMENTS FOR
PUBLIC WATER SUPPLIES
DWI GUIDANCE ON THE REGULATORY RESPONSIBILITIES
ASSOCIATED WITH INSET APPOINTMENTS FOR PUBLIC
WATER SUPPLIES
1
Introduction
1.1
The Secretary of State or, as the case may be, the Director General of Water
Services1, may make an appointment or variation replacing a company as a
relevant water undertaker under Section 8 of the Water Industry Act 1991 (the
Act).
1.2
The conditions associated with an appointment or variation to replace a
company as a relevant water undertaker to the whole or any part of the area to
which that company’s appointment relates are set out in Section 7(4) of the Act.
Only one of the three conditions listed below needs to be met, namely:
•
the company consents to the appointment or variation; or
•
the appointment or variation relates only to parts of that area with premises
not served by that company; or
•
the appointment or variation is made in such circumstances as may be set
out for such purposes in the conditions of that company’s appointment.
1.3
Any appointments or variations made under the Act, which involve the supply of
water for domestic or food production purposes, are required to comply with
relevant sections of the Act. They are also required to comply with the Water
Supply (Water Quality) Regulations 2000 in respect of companies whose area of
supply is wholly or mainly in England and the Water Supply (Water Quality)
Regulations 2001 in respect of companies whose area of supply is wholly or
mainly in Wales. These Regulations and their subsequent amendments are
referred to collectively as the Regulations.
1.4
This guidance is intended to provide advice to inset appointees, and to
prospective inset applicants, in respect of meeting their regulatory
responsibilities. It should be read in conjunction with the Ofwat guidance
entitled ‘Inset appointments – guidance for applicants’, published in February
1999 and available on the Ofwat website (www.ofwat.gov.uk).
1.5
Guidance on the implementation of the Regulations is also available on the DWI
website (www.dwi.gov.uk).
1
The Water Services Regulation Authority from 1 April 2006
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2
Water Quality Monitoring
Inset Appointments with integral water treatment facilities
2.1
If the inset appointee has a water treatment works that supplies water within its
appointed area for the purposes of drinking, washing cooking or food
production, then the appointee has a duty to monitor the quality of the water
leaving the works on the basis of the volume supplied for such purposes. This
requirement applies whether the treatment works is located within, or is remote
from, the inset area of supply. If the appointee has more than one water
treatment works supplying water within its appointed area, then this requirement
applies to each works.
2.2
There is no requirement under the Regulations to monitor treated water that is
supplied for industrial processes only, and not used for drinking, washing,
cooking or food production. However most industrial sites are likely to have
provisions for making drinks and hand washing. Monitoring at such sites should
therefore be based on the level of domestic usage.
2.3
All water intended for domestic and food production purposes must be treated in
accordance with the requirements of regulation 26 of the Regulations.
Regulation 15 applies if a new source of water is being developed for potable
water supply.
2.4
Regulations 27 to 29, which relate to Cryptosporidium, also apply at water
treatment works. Regulation 27 requires the inset appointee to submit to the
Inspectorate a risk assessment for each of its water treatment works. If a site is
deemed to be at significant risk (ie there is a potential for a significant number of
oocysts to be present at times in the treated water), regulatory monitoring must
be undertaken for Cryptosporidium unless appropriate treatment is installed.
2.5
The quality of water stored in any service reservoir operated by the inset
appointee within its appointed area must be monitored in accordance with the
requirements of regulation 14.
2.6
The inset area should be regarded as a water supply zone, or zones. The quality
of the water supplied must therefore be monitored either at consumers’ taps, or
at an appropriate supply point in the case of non-labile parameters. Annual
sampling frequencies for each parameter, based on the number of consumers
supplied or the volume of water supplied in the case of a supply point, are
specified in Schedule 3 to the Regulations.
Inset Appointments without water treatment facilities
2.7
An inset appointee may import a bulk supply of treated water to supply its
appointed area. In such cases the appointee must satisfy the Inspectorate that
water treatment works supplying the bulk supply is/are being appropriately
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monitored under the Regulations. There is no requirement for the inset
appointee to carry out regulatory monitoring at the point of transfer but
operational monitoring may be undertaken if so desired. The inset appointee
also needs to be satisfied that there are appropriate arrangements in place for
being notified of any deterioration in the quality of the bulk supply.
2.8
The quality of water stored in any service reservoir within the appointed area
must be monitored in accordance with the requirements of regulation 14 of the
Regulations.
2.9
The inset area should be regarded as a discrete water supply zone or zones. The
inset appointee must carry out regulatory monitoring at consumers’ taps on the
basis of the volume of water supplied for domestic and food production
purposes, or on the number of consumers supplied. If the bulk supply of treated
water is derived from a single source, the results of compliance monitoring by
the bulk supplier may be used for parameters, such as pesticides, where the
concentration is not subject to change in distribution. The inset appointee will
need to agree such arrangements with the bulk supplier and the Inspectorate.
3
Reporting requirements
3.1
Inset appointees are bound by the requirements of the Water Undertakers
(Information) Direction 2004, and future Directions, in terms of providing the
Inspectorate with data returns on water quality and all other relevant
information. Where the appointee is an existing statutory undertaker, this data
may be included in its overall return as long as there is a clear indication that the
results relate to the inset appointment.
3.2
Inset appointees must submit to the Inspectorate monthly water quality data
returns for water treatment works, service reservoirs, and water supply zones, as
appropriate, in accordance with the requirements of the relevant DWI
Information Letters (the most recent being Information Letter 2/2005). Where
the appointee is an existing statutory undertaker, this data may be included in its
overall report as long as there is clear indication that the results relate to the inset
appointment.
3.3
The results of all regulatory monitoring must be available to members of the
public and to consumers receiving the water, in accordance with the
requirements of regulation 34 of the Regulations. Likewise the results should be
included in the annual report to local authorities under regulation 35. Where the
appointee is an existing statutory undertaker, its normal channels of reporting
can be used as long as there is a clear indication that the results relate to the inset
appointment.
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4
Enforcement Action
4.1
Inset appointees shall be subject to enforcement action under Section 18 of the
Act for any non-trivial breaches of the wholesomeness standards or other
enforceable regulatory duties.
4.2
Inset appointees may apply to the Inspectorate for an authorisation under
regulation 20 for non-trivial breaches of wholesomeness standards relating to
Directive requirements, as specified in the Regulations.
4.3
An inset appointee importing a bulk supply of treated water to supply its
appointed area will need to be aware of any Section 19 undertakings or any
authorisations made under regulation 20 appertaining to that supply. It may then
become necessary for the inset appointee to make equivalent representations to
the Inspectorate.
5
Liability for offences
5.1
Inset appointees shall be liable, subject to a due diligence defence, for any
offences relating to:
•
•
•
Regulations 28(9) and 29(2) or (4) in respect of Cryptosporidium;
Regulations 31(2) and (8) and 32(1) and (2) relating to the use of
unapproved materials and processes; and
the supply of water unfit for human consumption (Section 70 of the Act).
5.2
Inset appointees shall also be liable under Section 86 of the Act in the event of
failing to provide an Inspector with all such assistance and all such information
as that person may reasonably require.
6
Water Quality Events
6.1
Inset appointees must meet the requirements of the Water Undertakers
(Information) Direction 2004, and future Directions, in terms of notifying the
Inspectorate of any occurrence that has, or is likely to have, an impact on the
quality of the water supplied in its area of supply. Local and health authorities
should also be notified as necessary. It is recommended that the inset appointee
establishes clear lines of communication with all parties for this purpose.
6.2
It is recommended that there be clear lines of communication between an inset
appointee and all adjacent statutory undertakers to provide prompt notification
of any event within the appointed area that could impact on the surrounding
water environment. Likewise, where the inset appointee utilises a bulk supply
of treated water, there must be clear lines of communication between the
appointee and the bulk supplier for prompt notification of any event that is likely
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to affect the quality of the bulk supply. It is recommended that such lines of
communication be tested periodically to ensure that they are up to date and
effective.
6.3
Guidance on the types of events to be notified is available on the DWI website.
7
Water Supply (Water Fittings) Regulations 1999
7.1
Inset appointees must ensure that appropriate measures are in place to protect
public water supplies against contamination from backflow, in accordance with
Sections 73 and 75 of the Act.
7.2
Inset appointees, as the water supplier in its area of supply, must also enforce the
Water Supply (Water Fittings) Regulations 1999 in respect of preventing
backflow within premises supplied and for water conservation.
8
Relationship with the Inspectorate
8.1
All inset appointees will receive and be expected to comply with any
instructions or advice given in past, or future, Information Letters. They will
also be expected to act on any other communications from the Inspectorate.
8.2
All inset appointees will be subject to audit and inspection by the Inspectorate,
or by consultants acting on the Inspectorate’s behalf.
8.3
This guidance will be reviewed at regular intervals and updated, as necessary, in
the light of new guidance or direction.
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