Contents

This Water Quality Assurance Plan (WQAP) guidance note, with theassociated WQAP template, will facilitate the completion of WQAPs prior to implementation of USAID-funded water projects. In order to develop a high quality WQAP, please read the WQAP guidance note, which provides instructions, and example language, during completion of the WQAP template.

Water Quality Assurance Plan Guidance Note

Water Quality Assurance Plan Template

USAID/Africa Bureau

Water Quality Assurance Plan Guidance Note

25 April 2017

Prepared by:

James Jolley, Patrick Hall, and Katherine Martel

The Cadmus Group, Inc.

100 Fifth Avenue, Suite 100

Waltham, MA 02451

617-673-7000 Fax 617-673-7001

DISCLAIMER

The authors’ views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the U. S. Government.

Introduction:

USAID’s Water and Development Strategy emphasizes providing safe drinking water as part of U.S. Government international policy and practice.

“Ensuring the availability of safe water to sustain natural systems and human life is integral to the success of the development objectives, foreign policy goals, and national security interests of the United States.”

Water Quality Assurance Plans (WQAPs) are the preferred method for ensuring water quality in USAID Africa Bureau projects involving the provision of drinking water. The Bureau recommends that new Initial Environmental Examinations (IEEs) for drinking water provisioning activities require Implementing Partners (IPs) to develop, implement, and report on a WQAP. The WQAP is written for small scale interventions in primarily rural settings. The WQAP is not for large scale activities in urban settings. Within the environmental regulatory framework, the WQAP is required per the negative determination with conditions resulting from a completed IEE.

The WQAP should specify how the IP will assure safe drinking water for the project and meet applicable partner-country water quality requirements given project implementation conditions.

The goal of the WQAP is to provide a framework by which the quality of the drinking water supply is ensured in a sustainable manner by:

  1. Identifying potential water quality issues,
  2. Implementing, in advance, practical measuresto prevent adverse impacts, and,
  3. Responding to these issues by implementing corrective measures in accordance with well-developed procedures.

This WQAP guidance note, with theassociated WQAP template, will facilitate the completion of WQAPs by USAID IPs prior to implementation of USAID-funded water projects in the USAID Africa Bureau. This package, including the WQAP guidance note and the WQAP template, provides the instructions, and example language for developing high quality WQAPs.

Implementation of the WQAP is just one element of the larger framework of the sustainable development of safe drinking water supply for beneficiaries.The focus of the WQAP on compliance with regulatory standards (22 CFR 216 and host country regulations) at the initial commissioning phase of the drinking water projectis critical; however, over the long term,the WQAP must be integrated into a risk based framework of continuous improvement such as the Water Safety Plan (WSP) approach promoted by the World Health Organization (WHO). The WSP approach, for example, includes six tasks (WHO, 2012):

  1. Engage the community and assemble the WSP committee;
  2. Describe the community water supply system from source to tap;
  3. Identify and prioritize hazards/risks (e.g., bacteria, viruses, arsenic, pesticides) and existing control measures;
  4. Develop and implement the WSP (i.e.,identify proposed control measures to manage priority risks);
  5. Monitor the control measures and verify the effectiveness of the WSP; and,
  6. Document, review and improve implementation of the WSP.

Within the example WSP approach, the WQAP squarely addresses the verification and operational monitoring included in Task 5, and contributes to the identification and prioritization of hazards and risks in Task 3.

Implementation: Additional Resources

Overview: Developing a WQAP may require additional resources. USAID has developed guidance that can be used to assist in WQAP development. The WASH Sector Environmental Guideline provides a comprehensive guide to implementing USAID WASH projects. The Drinking Water Toolkit provides USAID activity managers with detailed guidance on the design and implementation of drinking water projects by addressing monitoring, protection and governance. Finally, an example WQAP is provided on the GEMS website to illustrate the application of this concept.

WASH Sector Environmental Guideline: The Water Supply, Sanitation, and Hygiene (WASH) Sector Environmental Guideline (SEG) provides a broad overview of the types of WASH projects typically funded by USAID, with a particular focus on environmental and social impacts, mitigation measures, and environmentally sound design and management (ESDM) best practice for those activities. This document is intended to help USAID Missions comply with Section 117 of the Foreign Assistance Act (FAA) and Regulation 216, which require that environmental impact assessments be conducted and appropriate mitigation measures implemented for all USAID projects, and to help USAID partners and staff design WASH activities that minimize vulnerability to climate change.

However, the WASH Sector Environmental Guidelineis not specific to USAID’s environmental procedures. The SEG is generally written, and is intended to support ESDM of these activities by all actors, regardless of the specific environmental requirements, regulations, or processes that apply, if any.The WASH Sector Environmental Guideline directly supports environmental compliance by providing: information essential to assessing the potential impacts of activities, and to the identification and detailed design of appropriate mitigation and monitoring measures.

USAID Drinking Water Quality Monitoring, Protection, and Governance, an InteractiveToolkit for Activity Managers and Practitioners: The “USAID Drinking Water Quality Monitoring, Protection, and Governance, an Interactive Toolkit for Activity Managers and Practitioners,” (aka the Toolkit)helpsactivity managers work towards USAID’s goal of ensuring the availability of safe drinking water. The Toolkit defines the actions USAID should take to provide drinking water of a defined quality and level of monitoring,protection, and governance. It provides Tools for use in developing a Project Concept Paper, a Project Appraisal Document (PAD), or astatement of work and for use in overseeing the performance of implementing partners. The Toolkit acts as a bridge between non-specialist activity managers and the specialist resources available within USAID.

This Toolkit provides field-ready tools and references to assist activity managers in two ways:

1)Educating managers so Agency specialists can most efficiently provide specific technical input during planning and project development

2)Proposing activities for USAID and implementing partners that support delivery of safe drinking water

The Toolkit supports incremental progress that moves from the minimally acceptable level of “improved” drinking water supplies towardsUSAID’s goal of “safe” drinking water provision. The Toolkit includes the WQAP as one of nine tools that AORs/CORs can use to monitor, evaluate and document the implementation phase of the drinking water project (as executed by the implementing partner).

Water Safety Planning for Small Community Water Supplies (WHO 2012a): In this guidance, pp. 27-42, the WHO describes the process by which a water quality monitoring plan should be developed. This guidance makes a distinction between operational and verification monitoring. Operational monitoring is often completed on a frequent basis (e.g., daily) by the person responsible for O&M of the facility. If the monitored parameter does not fall within the proper range, then an action is required by the operator to correct the issue. Verification monitoring, on the other hand includes compliance monitoring, auditing and checking consumer satisfaction. Compliance monitoring is the process described in this WQAP.

Resources from International Institutions: Descriptions and references to additional guidance documents from international institutions and non-governmental organizations are provided throughout this guidance memo. In addition, the references for citations are included at the end of this memo.

(See Annex 5for example IEE language requiring the WQAP and Annex 6for example procurement language for the WQAP. Both annexes can be accessed here:

USAID/Africa BureauGUIDANCE Note FOR WQAP TemplatePage 1

Overview:Key Elements of The WQAP process

The WQAP process typically includes three key elements:

1)Research

2)Documentation

3)Implementation

Research: Developing an appropriate WQAP for the water project requires completing research on: (1) the regulatory context (including the applicable international and host country regulatory requirements), and (2) the available resources and capacity of your technical team and the host country laboratories to collect, transport and analyze water quality samples.

Documentation: Proper planning requires documentation of the research to ensure that the stakeholders and implementers have a clear understanding of the requirements for implementation of the WQAP. This documentation includes describing in detail the international (e.g. World Health Organization (WHO)) and host country water quality requirements for drinking water that are applicable to your project. In addition, documentation includes a detailed inventory of the resources and capacity of the implementing team to identify and resolve potential gaps to ensure that implementation can be properly completed and that water quality results will be accurate and precise.

Implementation:Most importantly, the above actions support correct and complete implementation of the WQAP. Implementation includes engagement of stakeholders to continue monitoring water quality over the long term.

This WQAP guidance note provides the IP with additional instructions, as needed, to accurately complete the WQAP template. (The WQAP template also includes brief instructions, highlighted in yellow,in boxes that can be completed by clicking on the space and entering text. Additional instructions are provided as reminders in blue boxes at strategic locations in the template.) These instructions are structured to match the sections of the WQAP template:

  1. Introduction;
  2. Assessment of Applicable Water Quality Standards and Criteria;
  3. Resources for Sampling;
  4. Implementation; and,
  5. Corrective Measures.

Annexes: The following annexes can be found in the WQAP section of the GEMS website:

Annexes 1 and 2 are mandatory supplemental documents to the WQAP:

  • Annex 1: WQAP Record and Compliance Template
  • Annex 2: Investigation of Potential Sources of Contamination

Annexes 3 through 7 are supporting documents for the completion of the WQAP or for addressing water quality compliance requirements:

  • Annex 3: Approach to Resolution of Water Quality Contamination
  • Annex 4: Standard Text for Description of WHO Guidance for Section II, 3.
  • Annex 5: Suggested IEE Language on Water Quality Monitoring
  • Annex 6: Illustrative Procurement Language on Drinking Water Quality
  • Annex 7: Standard Operating Procedures for Field Measurements and Sample Collection

Contents

USAID/Africa BureauGUIDANCE Note FOR WQAP TemplatePage 1

Introduction to WQAP:

Implementation: Additional Resources

Overview: Key Elements of The WQAP process

Guidance Note: Step by Step Instructions for Developing the WQAP

I: First Step - Write WQAP Introduction

II: Second Step: complete Assessment of Applicable Water Quality Standards and Criteria

III: Third Step: Assess and Document Resources for Sample Collection and Laboratory Analysis

IV: Step Four: assess and document Implementation of the Water Quality Assurance Plan

V: Step Five: Assess and document Corrective Measures

References:

USAID/Africa BureauGUIDANCE Note FOR WQAP TemplatePage 1

USAID/Africa BureauGUIDANCE Note FOR WQAP TemplatePage 1

Guidance Note: Step by Step Instructions for Developing the WQAP

I: First Step - Write WQAP Introduction

In theintroduction, the IP should describe the characteristics of the drinking water provisioning program so that the WQAP can be properly developed and implemented. The introduction should be approximately one page in length, and should contain the following descriptions:

Paragraph 1: Describe the existing water system or typical water system being constructed or rehabilitated, current issues and needs. Include the setting (urban, peri-urban or rural) of the service area, the size and density of the population served, the condition (i.e., water quality) of the source water, and setting of the catchment/watershed (if different from the service area).

Paragraph 2: Describe the key characteristics of the project and the number and type of components of the proposed drinking water systems.

Paragraph 3: List key assumptions regarding the WQAP process.

Paragraph 4: Describe potential issues or barriers to implementing the project/program and strategies to overcome these barriers. Examples may include lack of trained technicians or certified laboratories, or a limited budget for monitoring.

Paragraph 5: Describe the general organization of this document, its intended purpose and audience.

II: Second Step: complete Assessment of Applicable Water Quality Standards and Criteria

In the second step of the WQAP process, the IP should complete an assessment of the applicable water quality standards and criteria for this project. This assessment includes two parts; (1) research on the relevant local and international regulatory requirements, and, (2)selection of the most appropriate water quality standards and criteria, based on the specific conditions of the project.

Note that sanitary inspections (e.g., sanitary surveys) should be performed prior to installation of the water provisioning system and at regular intervals throughout the life of the project to ensure that potential sources of contamination are identified and are minimized or eliminated. The initial sanitary survey prior serves to identify the potential contaminants of concern in the raw source water, in addition to identifying sources to be removed or minimized.

A) Research Regulatory Requirements:

In order to select the appropriate standards for assessing water quality, the IP must conduct research on the regulatory framework for the specific drinking water provisioning project. The regulatory framework will necessarily include USAID requirements, international standards (e.g. WHO standards) and host country requirements.

The IP should document the research for each set of regulations from USAID, the host country, and the WHO. The WQAP template provides example descriptions, which should be adapted to the project site-specific conditions forthe USAID recommended water quality parameters andthe WHO recommended standards.

Additional water quality parameters should be evaluated and included based on site-specific conditions including nearby activities. As noted above, performance of the site sanitary survey should yield data on site-specific issues. Annex 2of the WQAP template includes an examplesanitary survey checklist for borehole projects.(Annex 2 can be found here at: guidance for surveys for surface water, and spring water projects, amongst others, is provided in the WHO Fact Sheet 2.1, entitled “Sanitary Inspections,” available online at:

USAID Recommended Water Quality Parameters:

The IP should review and include in this section, the eight key drinking water quality parameters which are recommended by USAID for the general assessment of water quality. Additional water quality parameters should be included based on site specific considerations or issues. These guidance values are based on USAID staff experience, and the review of USEPA and WHO guidance documents. Additional guidance on these USEPA water quality parameters is included below (while guidance on WHO recommended parameters is included in the subsequent section):

  • EPA Quick Reference Guides on Drinking Water Rules: Available online at:
  • USEPA National Primary Drinking Water Regulations: available online at:
Host Country Regulatory Requirements:

The IP must review and describe the host country’s regulatory requirements in this section. The availability of these regulatory requirements ultimately depends on the capacity and transparency of the host country environmental and water resources regulatory program. Typically, the host country will provide a definition of “potable” water in a descriptive narrative or as a water quality profile (e.g. list of limits for certain water quality parameters). The regulations may also include water quality limits by water use category (e.g. industrial or agricultural uses) and scale (e.g. population served). It is critical that the IP understand which regulations apply to their specific conditions. Consultation with the relevant host country regulatory agency is recommended to ensure that the applicable water quality requirements are understood and described here. This section should include the list of regulations reviewed, their relevance to the activities concerned, and the specific water quality standards evaluated. From these relevant water quality regulations, the IP will select the water quality standards and criteria listed in the inventory in Section B, as included in Tables II-A and II-B.

Resources:

  • Guidance on the water sector regulatory framework in developing countries (in English) can be found on the Rural Water Supply Network (RWSN) internet platform which includes regulatory information for countries in sub-Saharan Africa (e.g. Chad, Ethiopia, Ghana, Uganda, Zambia), the Commonwealth of Independent States (e.g. Moldova and Ukraine), and Latin America (e.g., Bolivia, Columbia, Honduras, Nicaragua), is available online at:
  • Guidance on the water sector regulatory framework for developing countries (in French) can be found on the Programme Solidarité Eau (PS-Eau)internet platform which includes regulatory information for Benin, Burkina Faso, Cambodia, Haiti, Lebanon, Madagascar, Mali, Morocco, Mauritania, Niger, West Bank and Gaza, and other countries, and is available online at:
WHO Guidance

The IP should review and describe the critical water quality parameters from the WHO guidance to be evaluated and incorporated into the WQAP in this section. Illustrative standard language describing these critical WHO water quality parameters is included in Annex 4 of this note.(Please see Annex 4 at: This example language can be used by the IP as a basis for writing this section; however, please note that the selection of the relevant WHO water quality parameters should be carefully executed in consultation with IP and USAID staff with expertise in drinking water quality.