United States Office of Water EPA 816-R-00-022
Environmental Protection (4606) January 2000
Agency www.epa.gov/safewater
&EPA Operator Certification
Guidelines
Implementation Guidance
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EPA Operator Certification Guidelines
Implementation Guidance
This guidance does not pose additional requirements for States in revising their operator
certification programs to meet the EPA's guidelines. The Questions and Answers section of this
guidance are not additional requirements for State operator certification programs, but rather
address EPA's views on questions raised. Please note that the use of words such as "must" and
"required" in answers are reflective of the requirements of EPA's Guidelines; the use of words
such as "may" and "should" in answers constitutes a suggestion or alternative for States to
consider. States should continue to focus on the requirements of EPA's Guidelines when revising
their programs.
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Table of Contents
I. Example Format of the State Attorney General's Certification
II. Checklist and Crosswalk for the Review of State Operator Certification Programs
III. State Operator Certification Program Initial Submittal Contents
IV. Questions and Answers on the Implementation of the Operator Certification Guidelines
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I.
Example Format of the State Attorney General's Certification
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Example Format for the Attorney General's Certification that is required under Baseline
Standard No. 1 of the Operator Certification Guidelines
I hereby certify, pursuant to my authority as (1) , that the
State/Commonwealth of (2) has duly adopted operator certification
statute(s) and regulations and that these statute(s) and regulations are enforceable under State law.
Seal of Office
Signature
Name (Type or Print)
Title
Date
1. Attorney General or delegated legal counsel
(If delegated legal counsel, include a copy of delegation)
2. Name of State or Commonwealth
Revised 9/2/99
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II.
Checklist and Crosswalk for the Review of
State Operator Certification Programs
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CHECKLIST & CROSSWALK FOR THE REVIEW OF STATE
OPERATOR CERTIFICATION PROGRAMS
State:
Submission Date:
Revised Program or Equivalent Program (circle one)
Prepared by:
Name:
Title:
Program Status: Draft or Final (circle one)
Revised 1/05/00
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
I
n
EPA Guideline
Circle one
Authorization
Does the State have the legal authority to implement an operator certification program
for its:
1 . Community Water Systems (CWSs)?
2. Nontransient Noncommunity Water Systems
(NTNCWSs)?
Does the State have the legal authority to require that systems
comply with the requirements of the operator certification
program?
Did the State submit its Attorney General Certification?
Has the Authorization been delegated?
Y
Y
Y
Y
Y
N
N
N
N
N
If delegated, to whom?
Did the State submit documentation of legal delegation?
Does the State's program meet the baseline standard for
Authorization?
Classification of Systems, Facilities, and Operators
Has the State classified all CWSs based on indicators of potential
public health risk, which for example may include: (a) complexity,
size, source water for treatment facilities, and (b) complexity, size
for distribution systems? Explain in remarks.
Y
Y
Y
N
N
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 2 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
m
EPA Guideline
Has the State classified all NTNCWSs based on indicators of
potential public health risk, which for example may include: (a)
complexity, size, source water for treatment facilities, and (b)
complexity, size for distribution systems? Explain in remarks.
Has the State developed specific operator certification and renewal
requirements for each classification level?
Does the State require owners of all CWSs and NTNCWSs to place
the direct supervision of their water system (treatment and/or
distribution) under the responsible charge of an operator holding a
valid certification equal to or greater than the classification of the
treatment facility or distribution system?
Are operators) in responsible charge required to hold a valid
certification equal to or greater than the classification of the
treatment facility and/or distribution system?
Are all operating personnel making process control/system
integrity decisions about water quality or quantity that affect
public health required to be certified?
Does the State require that a designated certified operator be
available for each operating shift?
Did the State backslide with respect to any of the requirements
under Baseline Standard No. II? If yes, explain in remarks.
Does the State's program meet the baseline standard for
Classification of Systems, Facilities and Operators?
Circle one
Y
Y
Y
Y
Y
Y
Y
Y
N
N
N
N
N
N
N
N
Operator Qualifications
Does the State require applicants to pass an exam?
Y
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 3 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
EPA Guideline
Do exams demonstrate that the applicant has the necessary
knowledge, skills, ability, and judgement as appropriate for the
classification?
Are all exams validated or in the process of being validated? Please
give date that the State expects to have all exams validated.
Date
By whom?
Circle one
Y
Y
N
N
Explain validation process in Remarks Section
To become certified, does the State require operators to have a high
school diploma or GED or experience or relevant training that may
be substituted?
To become certified, does the State require operators to have on-
the-job experience or have education that may be substituted for
experience for each appropriate level of certification?
Is grandparenting allowed by the State? If yes, answer the
following:
1 . Does the State restrict grandparenting to existing
operator(s) in responsible charge of existing systems
which, because of state law changes to meet these
guidelines, must for the first time have a certified
operator?
2. Is the system owner required to apply for grandparenting
within two years of the effective date of the State's
regulation?
Y
Y
Y
Y
Y
N
N
N
N
N
3. What is the effective date of the State's
regulation?
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 4 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
IV.
EPA Guideline
4. Is grandparenting site-specific to systems and non-
transferable to other operators?
5. Are grandparented operators required to meet all the
requirements to meet certification renewal within some
time period specified by the State? (Three years or less)
6. Does a grandparented certification become invalid if the
classification of the plant or distribution facility for
which the operator was grandparented changes to a
higher classification?
7. If a grandparented operator chooses to work for a
different water system, then is he/she required to meet
the initial certification requirements for that system?
Circle one
Y
Y
Y
Y
N
N
N
N
8. On what does the State base its grandparenting decisions (e.g., system
compliance history, operator experience and knowledge, system
complexity, lack of treatment). Explain in remarks.
Did the State backslide with respect to any of the requirements
under Baseline Standard No. III? If yes, explain in remarks.
Does the State's program meet the baseline standard for Operator
Qualifications ?
Y
Y
N
N
Enforcement
Does the State primacy agency have regulations requiring CWSs
and NTNCWSs to comply with State Operator Certification
requirements?
Name of primacy agency:
Y
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 5 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
V.
EPA Guideline
In non-primacy States, has the Governor determined which
State agency shall enforce operator certification requirements?
Name of agency:
What specific enforcement capabilities does the State have:
1 . Administrative Orders?
2. Bilateral Compliance Agreements?
3. Civil Administrative Penalties?
4. Criminal Administrative Penalties?
5. Stipulated Penalties?
Circle one
Y
Y
Y
Y
Y
Y
N
N
N
N
N
N
6. Other?
Does the State have appropriate enforcement capability?
Does the State have the authority to revoke an operator's
certification?
Does the State have the authority to suspend an operator's
certification or take other appropriate enforcement action for
operator misconduct? Explain in remarks.
Did the State backslide with respect to any of the requirements
under Baseline Standard No. IV? If yes, explain in remarks.
Does the State's program meet the baseline standard for
Enforcement?
Y
Y
Y
Y
Y
N
N
N
N
N
Certification Renewal
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 6 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
EPA Guideline
Has the State established training requirements for renewal
based on the level of certification held by operator?
Does the State require all operators including grandparented
operators to acquire necessary amounts and types of State
approved training?
Does the State have a fixed cycle of renewal not exceeding 3 years?
How long?
Does the State require individuals to recertify if the individual fails
to renew or qualify for renewal within two years of the date that
the certificate expired?
Does the State identify specific renewal requirements for
grandparented operators to ensure that they possess the
knowledge, skills, ability and judgement to properly operate the
system?
Circle one
Y
Y
Y
Y
Y
N
N
N
N
N
Identify which one or more of the following approaches the State uses:
1 . The State specifies renewal requirements for
grandparented operators on a case-by-case basis, taking
into consideration system compliance history and
operator experience and knowledge.
2. The State requires specific training requirements for
certification renewal at the first renewal cycle for
grandparented operators including all of the information
covered by the initial certification exam for the system
classification level for which the operator was
grandparented.
Y
Y
N
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 7 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
VI
vn
EPA Guideline
3. The State requires operators with grandparented
certificates to meet all of the initial certification
requirements for the classification level for which the
operator was grandparented, and thereby obtain
certification within a reasonable time period specified by
the state. List the time period
4. Does the State use another approach to ensure
grandparented operators possess the knowledge, skills,
ability and judgement to properly operate the system? If
yes, describe.
Did the State backslide with respect to any of the requirements
under Baseline Standard No. V? If yes, explain in remarks.
Does the State's program meet the baseline standard for
Certification Renewal?
Resources Needed to Implement the Program
Does the State provide sufficient resources to adequately fund and
sustain its operator certification program that must include the
following components: staff, data management, testing,
enforcement, administration, and training approval?
Does the State have a dedicated fund that is self-sufficient?
Did the State backslide with respect to any of the requirements
under Baseline Standard No. VI? If yes, explain in remarks.
Does the State's program meet the baseline standard for Resources
Needed to Implement the Program?
Recertiflcation
Circle one
Y
Y
Y
Y
Y
Y
Y
Y
N
N
N
N
N
N
N
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 8 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
vm
EPA Guideline
Does the State's program have a process for the recertification of
operators whose certification has expired for a period exceeding
two years?
Circle one
Y
N
Does the recertification process include:
1 . Review of the individual' s experience and training?
2. Re-examination?
Does the State have more stringent requirements for recertification
of individuals whose certificates have expired, been revoked, or
been suspended? If yes, explain in remarks.
Did the State backslide with respect to any of the requirements
under Baseline Standard No. VII? If yes, explain in remarks.
Does the State's program meet the baseUne standard for
Recertification ?
Stakeholder Involvement
Does the State include ongoing stakeholder involvement in the
revision and operations of its operator certification program?
Y
Y
Y
Y
Y
Y
N
N
N
N
N
N
Describe the State's stakeholder involvement process:
Does the State have a stakeholder board or advisory committee ?
Did the State backslide with respect to any of the requirements
under Baseline Standard No. VIII? If yes, explain in remarks.
Y
Y
N
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 9 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
DC
EPA Guideline
Does the State's program meet the baseline standard for
Stakeholder Involvement?
Program Review
Does the State have a process for reviewing its own program?
Explain in remarks.
Does the State's process include periodic internal reviews?
Identify time frame for review and plan for review in Remarks
section
Does the State's process include occasional external/peer reviews?
Identify time frame for review and plan for review in Remarks
section
Does the State's program review process include review of:
1 . Regulations?
2. Exam items for relevancy and validity?
3. Compliance?
4. Enforcement?
5. Budget and staffing?
Circle one
Y
Y
Y
Y
Y
Y
Y
Y
Y
N
N
N
N
N
N
N
N
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 10 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
EPA Guideline
6. Training relevancy?
7. Training needs through exam performance?
8. Data management system?
Did the State backslide with respect to any of the requirements
under Baseline Standard No. IX? If yes, explain in remarks.
Does the State's program meet the baseline standard for Program
Review?
Initial Submittal Contents
Circle one
Y
Y
Y
Y
Y
N
N
N
N
N
Has the State submitted the following:
1. Attorney General's certification?
2. Documentation of the delegation of authority, if AG
statement is signed by delegated counsel?
3. A full description and explanation of how its operator
certification program complies with or is substantially
equivalent to the requirements of these guidelines?
4. Copy of its operator certification statutes and
regulations?
5 . Description of the basis for classification of treatment
and /or distribution facilities?
6. Description of certification requirements for each
classification level?
7. Description of the renewal requirements for each
classification level?
Y
Y
Y
Y
Y
Y
Y
N
N
N
N
N
N
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 11 of 12
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CHECKLIST & CROSSWALK FOR REVIEW OF
STATE OPERATOR CERTIFICATION PROGRAMS
STATE:
Baseline
Standard
No.
EPA Guideline
8. Description of special renewal requirements for
grandparented operators?
9. Documentation of exam validation for all classification
levels?
10. Plan for tracking compliance and enforcement?
1 1 . Plan for enforcing its operator certification program?
12. Description of program resources?
1 3 . Description of internal program review procedures?
14. Description of external program review procedures?
1 5 . Plan for stakeholder involvement?
16. Implementation schedule?
Circle one
Y
Y
Y
Y
Y
Y
Y
Y
Y
N
N.
N
N
N
N
N
N
N
State Citation
document title;
page #; § and f
Remarks
[Explain here if different than federal requirement; use
separate sheet, if necessary]
Revised 1/05/00
Page 12 of 12
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III.
State Operator Certification Program
Initial Submittal Contents
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State Operator Certification Program Initial Submittal Contents
1. Attorney General's Certification. If signed by delegated counsel, include documentation of
delegation of authority;
2. Copies of statutes and regulations;
3. Completed checklist/crosswalk;
4. Description of the basis for classification of treatment facilities and/or distribution systems;
5. Description of the renewal requirements for each classification level;
6. Description of special renewal requirements for grandparented operators, if applicable;
7. Documentation of exam validation;
8. Description of how state plans to track compliance
a. Total number of Community Water Systems
b. Total number of CWSs without a certified operator
c. Total number of Nontransient Noncommunity Water Systems
d. Total number of NTNCWSs without a certified operator
e. Total number of certified operators
f Total number of grandparented operators
9. Description of how state plans to enforce its operator certification program;
10. Description of program resources including;
a. Staff
b. Data management
c. Testing
d. Enforcement
e. Administration
f Training approval
g. Fee System
11. Description of program review procedures;
a. Internal reviews (recommended review frequency at least every three years)
b. External reviews (recommended review frequency at least every five years)
c. External reviews should include stakeholder involvement
12. Plan for stakeholder involvement;
13. Implementation schedule, including:
a. Effective date of state's regulations;
b. Deadline for system owner's to apply for grandparenting, if applicable;
c. Date by which all systems will have a certified or grandparented operator
d. Stakeholder involvement activities
Revised 6/21/99
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IV.
Questions and Answers on the Implementation of the
Operator Certification Guidelines
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Questions and Answers on the
Implementation of the Operator Certification Guidelines
I. Public Health Objectives
There were no implementation questions asked about the Public Health Objectives.
II. Antibacksliding
Q: If a State currently requires that its transient, noncommunity water systems
have a certified operator, and the State wants to exempt these systems since
the EPA guidelines do not require that these systems have a certified operator,
would that exemption be considered "backsliding"?
A: If a State's regulations that were in effect on February 5, 1998 required that transient,
noncommunity water systems have certified operators, and the State decided to exempt
transient noncommunity systems from the requirement, EPA would consider that
"backsliding". While the Guidelines allow States to backslide under limited
circumstances, EPA is unlikely to approve of this kind of change since it represents a
clear lowering of State standards. EPA believes that Congress did not intend for a
State to lessen its program requirements.
Q: If a State wanted to change its enforcement authority from criminal to civil, will
EPA consider that to be "backsliding"?
A: No. EPA would probably approve of this change since civil enforcement would likely
be more appropriate than criminal enforcement.
Q. Are statutory prohibitions an acceptable justification for backsliding?
A: No. A statutory prohibition is not an acceptable justification for backsliding.
Q: If a State "contracts out" a significant portion of its program to a third party
and as a result the State's program budget decreases, would EPA view this
budget decrease as "backsliding"?
A: No, however, all States must provide sufficent resources (which includes "contracting
out") to fund and sustain their operator certification program.
III. Baseline Standards
Revised 01/06/00 1
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1. Authorization
There were no implementation questions asked about Authorization.
2. Classification of Systems, Facilities, and Operators
Q: Could States have certification classifications that cover both treatment and
distribution facilities?
A: Yes. There is no requirement in the guidelines that specifies that a State must have
separate classifications for its treatment and distribution facilities. States may choose to
classify their systems separately, or they can modify their classification systems to
include both treatment and distribution, provided that the training and exam address the
necessary skills, knowledge, ability and judgement for treatment and distribution.
Q: What about someone collecting samples - does he/she have to be certified?
A: EPA's guidelines do not specifically require any person who collects samples to be
certified, although the State may require it. EPA strongly recommends that persons
collecting samples be knowledgeable in sampling procedures. This activity may also be
covered by a State's Quality Assurance Program Plan which is a part of the Public
Water System Supervision program.
Q: Certain States have special logistical considerations - it does not seem practical
to require that a certified operator be "available" for each operating shift.
Must systems have more than one certified operator to cover situations such
as sickness or vacation?
A: EPA's guidelines specify that a State's program must require that a designated certified
operator be available for each operator shift. The guidelines do not require systems to
have a specific number of certified operators; this decision is left up to the State. In
situations such as sickness or vacation, it is the system owner's responsibility to ensure
that there is adequate coverage and that this coverage is consistent with State
requirements. There are several options that systems may choose from to ensure
coverage during a system's operating hours. These options include, but are not limited
to: having more than one operator certified for each system; using circuit riders that are
certified; or sharing certified operators with other systems. If States allow systems to
use Standard Operating Procedures (SOPs), the State must require that process
control/system integrity decisions are made by a certified operator (that is trained in the
use of SOPs), and that the operator in responsible charge or another operator that is
certified at the level of the system should be available to be contacted if necessary.
Revised 01/06/00
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Q: What is meant by "responsible charge"?
A: The intent of the guidelines is to establish a framework where a system designates an
operator(s) for the distribution and treatment systems that has the authority to make
decisions that affect water quality or water quantity. The number of "operator(s) in
responsible charge" designated per system is at the discretion of the system owner, and
may be subject to State approval. The guidelines require that systems designate this
operator(s) as the person(s) responsible for making these decisions or as a contact if
questions arise.
Q: Is each system required to have one or more certified operators for each shift?
A: Yes. The guidelines require that a designated certified operator be available for each
operating shift. EPA includes definitions for "available" and "operating shift" in the
guidelines.
Q. Will EPA develop a list of process control/system integrity decisions?
A: No. EPA believes decisions concerning what is or what is not a "process
control/system integrity decision" should be left up to the State. During development of
the guidelines, State representatives on both stakeholder workgroups agreed that it
would be impractical to list every possible situation of what would be considered a
"process control/system integrity decision" in national guidelines.
Q. How would consecutive systems be classified under the Guidelines?
A. The guidelines do not classify systems. Each State is required to develop its own
classification system which should address consecutive systems if those systems meet
the federal definition of a community or nontransient noncommunity water system.
Many consecutive systems contain a distribution system, and the distribution system is
required to have a certified operator.
Q. Is a company that trucks or hauls water required to have a certified operator
under the Guidelines?
A: If this practice meets the definition of a community water system or nontransient
noncommunity water system, then a certified operator would be required.
Q. Must shift operators be certified at the classification level of the system?
Revised 01/06/00
-------
A: No. EPA's guidelines specify that States must require that owners of all community
and nontransient noncommunity water systems place the direct supervision of their
water system, including each treatment facility and/or distribution system, under the
responsible charge of an operators) holding a valid certification equal to or greater than
the classification of the treatment facility and/or distribution system. The guidelines
leave the decision regarding certification of "shift operators" to the discretion of the
State. However, any operator who is making process control/system integrity decisions
has to be certified and the operator in responsible charge or another operator that is
certified at the level of the system should be available to be contacted if necessary.
Q: Some States raised the issue of purchased water systems, i.e., apartment
buildings, some mobile home parks, and new housing developments, as it
applies under the Guidelines. They explained that in these situations, there
may be a separate master meter, but there is no real water "system" because
the water is purchased from the city or town and is not being treated or resold.
Would these systems require a certified operator?
A: If the entity meets the federal definition of a community or a nontransient noncommunity
water system a certified operator would be required. See attached guidance on this
issue (Attachment 1).
3. Operator Qualifications
Q: If an exam is made up of validated questions, is the exam itself considered to
be validated?
A: No. The phrase "all exam questions must be validated" was intended to mean that "all
exams must be validated". EPA believes that an exam that is made up of "validated"
questions does not necessarily mean that the exam itself is "validated" because the
questions included on the exam may not demonstrate all of the necessary skills,
knowledge, ability and judgement that an operator should have for that level of
classification.
Q: How frequently do exams need to be validated?
A: EPA recommends that job analyses for each level of classification be reviewed at least
once every five years to ensure that the analyses reflect the essential job tasks and the
capabilities required to competently perform those tasks. This can be done at the time
of an internal or external review of a State's program. If a job analysis needs updating,
Revised 01/06/00
-------
the State should review the exam for that level and decide if the exam needs re-
validating.
Q. Can PWSS grants be used to pay for exam validation?
A: Yes. States can also use the Drinking Water State Revolving Fund set-aside for their
Operator Certification Programs pursuant to SDWA 1452(g)(2).
Q. Will EPA issue guidance on exam validation procedures?
A: EPA included a definition of "validated exam" in the final guidelines, which is defined as
"an exam that is independently reviewed by subject matter experts to ensure that the
exam is based on a job analysis and related to the classification of the system or
facility". EPA plans to work with the Association of Boards of Certification to develop
a guidebook on exam validation procedures to assist States in validating exams.
Q. What groups could be contacted to help develop validated exams?
A: The Association of Boards of Certification can assist States with validating exams and
with general validation procedures. Some States may have other State agencies that
can assist with the validation process. Local universities may also employ
psychometricians that can assist States in developing validated exams.
Q. Can a State legally reject a candidate from taking an exam because the
candidate does not have a high school diploma?
A: Although EPA's guidelines specify that a State's program must require each operator
certification applicant to have a high school diploma or a general equivalency diploma
(GED), States may allow experience and/or relevant training to be substituted for a high
school diploma or GED. If a State does not allow for the substitution of experience or
education, the State should make sure that the State law supports this approach.
Grandparenting
Q: Can operators apply for grandparenting with the owner's consent, rather than
requiring the owner to apply for the grandparented certificate?
A: A State's program must require the system owner to apply for grandparenting for the
operators) in responsible charge within two years of the effective date of the State's
regulation The intent of this requirement is that the State is assured that the system
Revised 01/06/00
-------
owner can: verify that the existing operators) has been designated to be the
"operators) in responsible charge", and that the owner agrees to allow the operator to
continue to operate the system although the operator may not meet the initial
certification requirements for that system's level of classification.
4. Enforcement
Q. Is a State's ability to only take criminal enforcement against a system owner
considered "appropriate" enforcement?
A: No. States should have some intermediate levels of enforcement to enable them to take
timely and effective action. EPA does not consider the above situation to provide the
State with authority for "appropriate enforcement" under the Guidelines.
Q: Do States need to have the ability to revoke AND suspend?
A: EPA's guidelines require that States must have the ability to revoke operator
certifications. The guidelines further require that the State must have the ability to
suspend operator certifications OR take other appropriate action for operator
misconduct. EPA encourages States to have the ability to both revoke and suspend
operator certifications. If a State does not have the ability to suspend operator
certifications, the State must explain in its initial program submittal any other action(s)
the State can take against an operator for misconduct.
Q. How will EPA view enforcement authority that is split between
entities/agencies?
A: Enforcement responsibility can be split (enforcement against systems vs. enforcement
against operators) if the State explains the role of each Agency in its initial program
submittal.
Q. Can a State delegate its enforcement authority:
a.) To a local government agency?
b.) To a third party contractor?
A: A State may delegate some of its enforcement authority to a local government agency
or third party contractor as long as an effective enforcement program is maintained and
State law allows such delegations. However, the State will be ultimately responsible for
ensuring that effective enforcement occurs.
5. Certification Renewal
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Q. Would EPA allow renewal by exam for the very small system classification?
A: EPA would allow "renewal by exam" for the very small system classification; however,
this would not eliminate the requirement of ongoing training to ensure that the operators
remain current with technology and regulations.
Q. Must States have varying levels of Continuing Education Units (CEU's) for
different system classifications or can renewal requirements be the same for all
system operators?
A: Some States may choose to have the same number of CEU's for each level of system
classification, although the types of approved training must be appropriate for the
different levels of system classification.
6. Resources Needed to Implement the Program
Q. What constitutes "sufficient" resources?
A: A State should determine the amount of resources needed to implement its operator
certification program and document the sources of funding it intends to use to meet this
resource requirement. EPA will review this determination each year.
Q. How can a State prove to EPA that it has a dedicated fund for its operator
certification program?
A: EPA's guidelines recommend that States have a dedicated fund to support their
operator certification programs. Any State that has a dedicated fund can describe it in
the initial program submittal to EPA.
Q. Can a State increase its fees for initial certification and certification renewal to
support its operator certification program?
A: Yes, if allowed by State law.
7. Recertification
There were no implementation questions asked about Recertification.
8. Stakeholder Involvement
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Q: Does the existence of an operator certification board, by itself, satisfy this
baseline standard?
A: No. The State should describe how the board or committee is used in the revision and
operations of State operator certification programs. The State must also ensure that the
board is represented by all of the interested stakeholders.
Q: Are open board meetings considered adequate stakeholder involvement?
A: The State would need to demonstrate to EPA how an open board meeting is used in
program development and operations. The State would also have to discuss what type
of stakeholders are on the board or committee.
Q. What is adequate stakeholder involvement?
A: Adequate stakeholder involvement should include the appropriate type and number of
stakeholders necessary for a review of the State's program development and
operations. EPA emphasizes that public comment received on rule revisions is not
adequate stakeholder involvement. EPA believes that certification boards should have
representatives from all interested stakeholder groups. The guidelines provide
examples of stakeholders which may include the following: operators,
environmental/public health groups, the general public, consumer groups, technical
assistance providers, utility managers, trainers, etc. It is recommended that States
discuss their use of stakeholder involvement with their EPA Regional Office.
9. Program Review
Q: Would a State's sunset provision (all laws expire approximately every 10
years) provide a sufficient time period for program review?
A: No. EPA recommends that States conduct internal program reviews at least once
every three years and external reviews at least once every five years. External program
reviews provide an excellent opportunity for ongoing stakeholder involvement.
Q: What does EPA mean by "external/peer review"?
A: This is a review of a State's program that is conducted outside of the State agency or
agencies that are responsible for implementing its operator certification program.
IV. Submittal Schedule and EPA Review of State Programs
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EPA is developing a submittal schedule and withholding process for State programs and will
solicit public comments on the approach in an upcoming Federal Register notice.
V. Submittal Contents
1. Initial Submittal
There were no implementation questions asked about the Initial Submittal Contents.
2. Subsequent Years
Q. Will annual submittals be required every year even if no changes were made to
a State's program?
A: Yes. If a State hasn't made changes to its operator certification program, the annual
submittal should focus on ongoing program implementation.
Q. Will a new State Attorney General's certification be required if non-statutory
/non-regulatory changes are made to a State's program?
A: EPA requires that a State submit an Attorney General's certification (or certification
from delegated counsel) as part of its initial program submittal to EPA. In a State's
annual program submittal to EPA, a new Attorney General's certification (or
certification from delegated counsel) is required only if changes are made to the
regulations or statutes.
Q. What are the reporting requirements for operator certification programs (i.e.,
what specific data elements will EPA look for)?
A: At this time, EPA has not developed the specific reporting requirements that a State
must include in its annual submittal to EPA. EPA will be discussing this issue in
upcoming months with States.
VI. Definitions
Q. Can EPA clarify what is meant by "direct supervision"?
A: Direct supervision refers to the person(s) in responsible charge of the system and the
one responsible for making water quality or quantity decisions.
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VII. Other Issues
Q. How will money that is withheld be re-allotted to States with approved
programs?
A: All Drinking Water State Revolving Fund monies withheld by EPA because a State
does not adopt and implement an operator certification program that meets EPA's
guidelines shall be reallotted based on the formula originally used to allot those funds. A
State that has not met the requirements of the guidelines is not eligible to receive
realloted funds.
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Attachment 1
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
March 13, 1998
OFFICE OF
WATER
MEMORANDUM
SUBJECT: Submetering Water Systems
FROM: Cynthia Dougherty, Director /s/
Office of Ground Water and Drinking Water
TO: Water Division Directors
Regions I - X
Drinking Water/Ground Water Representatives
Regions I - X
There have been numerous requests for guidance on whether an apartment complex or other
similar residential communities (e.g. subdivisions and mobile home parks) which receives water from a
public water system (PWS) through a master meter and then resells it to the residents qualifies as a
PWS. It has long been and remains the Environmental Protection Agency's (EPA) position that
apartment complexes and similar residential communities that sell water to their tenants constitute PWSs
and are subject to the Safe Drinking Water Act (SOWA) regulations. However, EPA also recognizes
that these PWSs may not require as stringent monitoring as PWSs which do not receive their water
from another PWS, and thus States have the flexibility to modify the monitoring requirements for these
apartment complexes or similar residential communities.
On March 31, 1997, in response to the above concerns, EPA held a meeting with several
stakeholders to discuss the regulatory provisions and the guidance that had already been issued on
these subjects. After this meeting, we received a few requests for more clarification to which we
responded by individual letters. To make sure that everyone understands the Agency's position and to
alleviate any confusion, we have incorporated the substance of our responses into this memorandum.
Please share this information with your respective States.
Statutory Requirements
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Under Section 1411 of the SDWA, a PWS is subject to regulation unless it is a system which
meets all of the following four criteria:
(1) consists only of distribution and storage facilities (and does not
have any collection and treatment facilities);
(2) obtains all of its water from, but is not owned or operated
by, a public water system to which the regulations apply;
(3) does not sell water to any person; and
(4) is not a carrier which conveys passengers in interstate commerce.
Assuming that apartment complexes and other similar residential communities meet the criteria
enumerated in (1), (2), and (4), the issue is whether or not submetering of water to tenants constitutes
selling water within the context of the SDWA.
Interpretation of to "Sell"
We believe that to "sell" should be given broad meaning under the SDWA. Construing the
statute this way is consistent with the purpose of the SDWA which is to assure that the water supply
systems that serve the public meet minimum national standards for protection of public health to the
maximum extent feasible. (House Report No. 93-1185). The House Report further says, in explaining
this provision, that Congress intends the primary drinking water regulations to apply to housing
developments, motels, restaurants, trailer parks, and other business serving the public if the business in
question maintains its own well or water supply and sells water.
A distributor of water for human consumption "sells" water within the meaning of the Act if it
charges consumers for the water as a separate item or bills separately for the water it provides. (House
Report No. 93-1185). Conversely, if the entity includes the charges for water in the rental fee, then it is
not selling water within the context of the Act. It is irrelevant whether water is sold for a profit or not,
or whether the distributor is a public or private entity. Thus, it is appropriate to interpret to "sell" to
include submetering.
If an apartment building or similar residential community that submeters wants to avoid PWS
classification, it would either need to remove the complex's master meter and allow the local water
utility to bill the residents directly, or include water usage as part of the monthly rent or fees.
Monitoring Flexibility of "Consecutive" Water Systems
While an apartment complex that submeters is considered a PWS and thus subject to the
requirements under the SDWA, it nonetheless may be afforded certain monitoring modifications if it is
considered a "consecutive" water system. "Consecutive" water systems are water systems that
purchase water from another public water system. Under federal regulations at 40 CFR 141.29, States
have the flexibility to modify the monitoring requirements to the extent that the interconnection of the
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systems justifies treating them as a single system. This flexibility allows States considerable discretion to
avoid unnecessary compliance activities for "consecutive" water systems consistent with the public
health objectives of the Act. Because we support the practice of submetering to encourage water
conservation and to provide an equitable method of
distributing costs, we believe that it is appropriate for States to use this flexibility consistent with their
assessment of the need for these "consecutive" systems to conduct additional monitoring to protect the
public health of their customers.
If you have any question concerning this guidance, please call Jennifer Melch at (202) 260-
7035.
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