An Assessment of the Impact of Regulatory Models for Drinking Water Quality In the UK by Annabelle May Submitted for Doctorate of Philosophy School of Engineering University of Surrey September 2007 © Annabelle May 2007 ProQuest Number: 27607843 All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion. uest ProQuest 27607843 Published by ProQuest LLO (2019). Copyright of the Dissertation is held by the Author. All rights reserved. This work is protected against unauthorized copying under Title 17, United States Code Microform Edition © ProQuest LLO. ProQuest LLO. 789 East Eisenhower Parkway P.Q. Box 1346 Ann Arbor, Ml 4 8 1 0 6 - 1346 Abstract The main objectives of this study were to assess the influence of regulation on drinking water quality and to explore how drinking water quality regulation is practiced in other countries to establish if the regulatory paradigm in England and Wales and the regulatory mechanisms used by the Drinking Water Inspectorate (DWI) have been effective, and finally, whether potential for Improvement exists. Drinking water quality data from Scotland, Northern Ireland and England and Wales was used to aid an assessment of the three regulatory models found in the United Kingdom. The assessment was also Informed by knowledge acquired through practical observation of regulators, interviews with key personnel and a literature review. Case studies on the implementation of regulatory provisions for Cryptosporidium and the non-regulation based Water Safety Plan approach in England and Wales, Illustrate the positive and negative features of the industry, the regulatory model and the DWI. Regulation as a general activity was assessed by considering other regulators such as the Health and Safety Executive. This study found that drinking water quaiity regulation in England and Wales was necessary to protect public health. The regulations and regulatory powers available to the DWI meet the ‘five principies of better regulation' as adopted by government. Drinking water quality probiems have decreased, but also changed since privatisation; regulatory methods, including reporting and inspection have evolved to reflect this, to positive effect. A range of regulatory methods are required for effective regulation and these must be exercised considering the structure and culture of the water industry, as these have an impact on the achievement of a regulator’s objectives. The regulator should make the best use of available technology, information and knowledge management to assist its functions. Use of the self regulation model can allow for a lean, cost efficient regulator, but structured internal communication and external stakeholder relationships are never-the-less vital for the organisation to be effective and deal with external influences, contribute to industry-wide cooperative projects, and exert national and International political Influence. The regulatory model in England and Wales is well crafted and continues to work towards the reduction of public health risk from drinking water supplies. ACKNOWLEDGMENTS Employees from water suppliers In England and Wales, Scotland, Northern Ireland and the Netherlands gave generously of their time and knowledge. UK organisations and departments including Water UK, The Financial Regulation Authority, Department for Environment Food and Rural Affairs, The Health and Safety Executive, The Environment Agency, The Health Protection Agency, the Drinking Water Quality Regulator and Drinking Water Quality Department for Scotland and the Drinking Water Inspectorate for Northern Ireland were major contributors to the Information used In this report. Overseas, the Ministry of Housing, Spatial Planning and the Environment in the Netherlands, the Drinking Water Quality and Food Safety Division in Germany, representatives from the European Commission and the World Health Organisation all assisted In progressing an understanding of drinking water quality and regulation essential for this research. The Drinking Water Inspectorate provided invaluable support with employees being an information resource rivalling any technical library. Without the access to all its information, documents and databases this research could not have been fulfilled. Special thanks to David Lloyd without whom the drinking water quality database would not have come to fruition. Andy Taylor and his data team generously provided maps and illustrations adding visuals to my descriptions. Professor Jeni Colbourne always provided a challenging outlook for this research and David Drury was guide, teacher and commentator for much of this work. Their dedication and enthusiasm for drinking water quality and health protection and their willingness to learn from others and share their own knowledge and experience world-wide is certainly inspirational. The Centre for Environmental Health Engineering (GEHE) at the University of Surrey provided the essential foundations necessary to carry out research in this field. My supervisors Professor Barry Lloyd and Brian Clarke have been positive and encouraging and excellent advisors on all things PhD. The value of having fellow PhD students to discuss ideas with must not be underestimated. Particular thanks to Yvonne Hau who provided valuable sense checks on papers and presentations produced during this research. I am grateful to CEHE and the DWI for giving me the opportunity to carry out collaborative research which had provided me with more learning opportunities and experiences in three years than I thought possible. A special note to my friends whose encouragement, concern and interest in my research, certainly helped me through the more challenging times. ‘Gracias especiales’ to Laura Hodgson for her invaluable translation skills. /I 1 1. INTRODUCTION..................................................................................................................... 1.1. REGULATING DRINKING WATER QUALITY......................................................................................................................^ 1.2. A ims and Objective ........................................................................................................................................................... 6 1.3. M ain Ou t p u t ......................................................................................................................... V 1.4. B ackground Inform ation ............................................................................................................................. 7 1.4.1. Introduction to the European.................................................................................................. Union 1.4.2. The Drinking Water Directive (DWD)................................................................................................. ^ 1.4.3. Revision o f the 1980 Drinking Water Directive........................... ^ 1.5. European Level A g en c ie s ...........................................................................................................................................^ ^ 1.6. Introduction to the W orld H ealth Organisation ....................................................................................... 2. METHODOLOGY................................................................................................................................................. 2.1.1. Introduction............................ ........................................................................................................ 2.1.2. Literature Review............................................................................................................................. 2.1.3. Database o f Drinking Water Quality Data from 1990 to ..........................................................2003 20 3. UNITED KINGDOM DRINKING WATER QUALITY REGULATION........................................................ 21 3.1. B ackground H istory of the W ater Industry in En g la n d ..........................................................................21 3.1.1. Sanitation............................................................................ ^2 3.1.2. Water Supply and Sanitation..............................................................................................................24 3.1.3. Privatisation Onwards.......................................................................................................................27 3.2. Privatisation of the W ater Industry in England a nd W a l e s ..................................................................31 3.3. C reating the W ater Supply (W ater Quality ) R egu la tio ns ..................................................................... 35 3.3.1. Content o f the Regulations................................................................................................................. 26 3.4. Implementation of the 1980 Drinking W ater Directive a nd the 1989 R egulations ..................... 38 3.4.1. Review process o f the Water Supply (Water Quality) Regulations.......................................... 1989 39 3.5. The R egu la to rs ....................................................................................................................................... 41 3.5.1. Regulating Economics