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August 27, 1997
Meeting
in Washington D.C. at EPA Headquarters
EXECUTIVE SUMMARY
Background
The National Drinking Water Advisory Council (NDWAC) met by conference
call on Wednesday, August 27, 1997, to discuss the Small Systems Working
Group report that was presented to them by NDWAC members, Diane Kiesling,
William VanDeValk and John Scheltens. All members, with the exception
of Paul Nannis, were present on the call. Also, present in the room were:
| EPA |
Public |
Peter Shanaghan, DFO Designee
Robert Blanco (by phone)
John Bender (by phone)
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Jack Sullivan, AWWA
John Montgomery
Bridget O'Grady, ASDWA
Jim Dunlap, NRWA
Jason Gray, Virginia Water Project, Inc.
Mindi Richland, U.S. Navy |
The meeting began at 2:06 p.m. EDT. After brief introductions, Rob Johnson
and Jim Dunlap, National Rural Water Association, Jason Gray, Virginia
Water Project, Inc., and Bridget O'Grady, Association of State Drinking
Water Administrators, made statements during the public participation
portion of the meeting.
Council discussion followed on the report provided. Diane Kiesling, with
a second from Will VanDeValk, made a motion to forward the package concerning
EPA's implementation of the capacity development provisions of the 1996
Amendments to the Safe Drinking Water Act (SDWA) to EPA as presented.
This motion included the following recommendations:
Recommendations
Guidance
The guidance documents have been designed to help the States understand
and implement statutory requirements related to capacity development
in the 1996 SDWA Amendments. The Small Systems Working Group recommends
that the guidance documents be published as three separate chapters of
one document, with an introductory chapter discussing the concepts of
technical, financial, and managerial capacity . The recommended guidances
are:
1) Guidance for States on Ensuring that All New CWS's and NTNCWS's
Demonstrate Technical, Managerial, and Financial Capacity
2) Guidance for States on Preparation of Capacity Development
Strategies (What States need to do to avoid SRF withholding)
3) Guidance for States on Assessing Technical, Managerial,
and Financial Capacity of Water Systems Seeking SRF Assistance
Information
The five information documents, shown below, are intended to support
and facilitate the use of the guidance documents by the States, with the
exception of one document written for the public. In essence, these documents
are designed to offer ideas and inspiration to States to assist them in
taking advantage of their flexibility to fashion programs tailored to
their unique circumstances but also consistent with the basic guidances
recommended above. The recommended information products are:
1) Information for States on the Legal Authority and Other
Means to Ensure that All New CWS's and NTNCWS's Demonstrate Technical,
Managerial, and Financial Capacity
2) Information for States on Options They Can Consider in Developing
Their Capacity Development Strategies
3) Information for States on Options for Assessing the Technical,
Managerial, and Financial Capacity of Systems Seeking SRF Assistance
4) Information for States to Assist Them in Developing Affordability
Criteria
5) Information for the Public to Better Enable Them to Participate
with States in the Development of State Capacity Development Strategies
The Small Systems Working Group recommends that the three capacity-related
information documents be published as three separate chapters of one document,
while the information documents on affordability and public participation
be published individually.
Summary of Recommendations
Guidance
Guidance for States on Ensuring that All New CWS's and NTNCWS's
Demonstrate Technical, Managerial, and Financial Capacity.
This guidance document, which is explicitly required by the statute,
discusses the requirements under §1420(a) that a State have the legal
authority or other means to ensure that all new water systems demonstrate
the technical, managerial, and financial capacity to comply with National
Primary Drinking Water Regulations (NPDWR). The guidance states that,
in satisfying this requirement, a State must explain the basis of its
authority for new systems (statutory and/or regulatory). This authority
must allow a State to prevent the creation of systems which cannot demonstrate
technical, managerial, and financial capacity. Also, the State must explain
the control points in the process of new system creation at which it will
exercise its authority. Finally, the State must provide a plan for periodic
evaluation of the State program to ensure new system capacity.
Guidance for States on Preparation of Capacity Development
Strategies (What States Need to do to Avoid SRF Withholding).
Section 1420(c) of the amended SDWA requires States wishing to receive
their full SRF allotment to develop and implement a strategy to assist
public water systems in acquiring and maintaining technical, managerial,
and financial capacity. In section 1420(c)(2) the statute specifies the
specific issues which a State must consider, solicit public comment on,
and include as appropriate in preparing its strategy.
This guidance would provide a framework for a limited review of State
capacity development strategies. Such a review would focus only on determining
whether or not the State has satisfied the statutory conditions for avoiding
an SRF withholding.
Guidance for States on Assessing Technical, Managerial, and
Financial Capacity of Water Systems Seeking SRF Assistance.
This guidance document addresses the need for States to ensure that all
water systems receiving assistance from the State Revolving Fund have,
or will obtain, adequate technical, managerial, and financial capacity.
The guidance states that, as provided in §1452(a)(3)(A), a State
cannot provide SRF assistance to a water system lacking technical, managerial,
and financial capacity to maintain SDWA compliance. However, one exception
does apply. A State may provide funding to a water system lacking capacity
if 1) the use of SRF assistance will ensure [long-term] SDWA compliance,
and 2) the owner or operator agrees to undertake appropriate changes in
operations that will ensure capacity over the long-term.
Information
Information for States on the Legal Authority and Other Means
to Ensure that All New CWS's and NTNCWS's Demonstrate Technical, Managerial,
and Financial Capacity. This information document provides
ideas to support the guidance document on new system capacity. It offers
information about the different types of authorities and control points
that might be used. It also includes ideas regarding actions that may
create or enhance State authority for ensuring the capacity of new systems,
such as adding or strengthening control points, coordinating agency capacity
efforts, and consideration of water system restructuring.
Information for States on Options They Can Consider in Developing
Their Capacity Development Strategies. This information
document provides background on the capacity development provisions, and
the significance of a capacity development strategy as a proactive tool
for protecting public health. Primarily, however, the document is to serve
as a resource for the States as they build their capacity development
strategies. The document contains six chapters, five of which directly
address each of the five requirements of the capacity development strategy
content stated in §1420(c)(2). The sixth chapter provides information
concerning the different needs of non-transient non-community water systems.
Finally, the information document provides several tools that may be used
to prepare a capacity development strategy.
Information for States on Options for Assessing the Technical,
Managerial, and Financial Capacity of Systems Seeking Assistance.
This information document supports the guidance on assessment of capacity
by providing a context for assessing technical, managerial, and financial
capacity of systems seeking SRF assistance in accordance with §1452(a)(3),
(which states that no system that lacks capacity shall receive SRF assistance).
Capacity is defined and expanded on, and methods of assessing capacity
are provided. Finally, the document provides a list of tools that can
be used to assess technical, managerial, and financial capacity.
Information for States to Assist Them in Developing Affordability
Criteria. This information document fulfills the statutory
requirement under §1415(e)(7)(B), which requires that EPA publish
information to assist the States in developing affordability criteria.
This information, published in consultation with the States and the Rural
Utilities Service (RUS) of the U.S. Department of Agriculture, covers
past studies on affordability as well as current methodologies for assessing
affordability. Further, the issues such as willingness-to-pay and ability-to-pay,
and household affordability and water system affordability are explored.
Finally, the information provides a framework for assessing affordability
that will help States recognize affordability issues and explore options
for addressing affordability concerns.
Information for the Public to Better Enable Them to Participate
with States in the Development of State Capacity Development Strategies.
This information document, written for the public, helps to provide the
public with sufficient information to facilitate their active participation
in the development of a State capacity development strategy.
COUNCIL ACTION
The motion carried to submit the above recommendations to the Agency,
with three opposing votes from Council members, James Cleland, Nina McClelland
and Patrick Banegas. With all business before the Council complete, the
meeting was adjourned by Chair, L.D. McMullen at 4:27 p.m. EDT.
There were miniority opinions considered during Council deliberation.
They follow:
Minority Opinions
Although the Small Systems Working Group agreed almost unanimously on
several major issues, two Minority Opinions have been submitted with these
final recommendations. As shown below, these Minority Opinions arose from
substantive concerns from a small number of working group members. Despite
efforts to address these concerns throughout the four meetings, the working
group was unable to come to resolution.
| RECOMMENDATIONS |
MINORITY OPINION |
| EPA Should publish Guidance for States on Preparation of Capacity
Development Strategies (What States need to do to avoid the SRF withholding). |
EPA should publish information, not guidance
in this area. (Jim Sheldon and Teresa Rissmiller) |
| The Guidance for States on Assessing Capacity of Systems Seeking
SRF Assistance should require States to provide a brief
description of their capacity assessment procedures as part of their
SRF grant application. |
The guidance should require a comprehensive
description. (William VanDeValk and Donna Shell) |
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