[Federal Register Volume 63, Number 59 (Friday, March 27, 1998)]
[Notices]
[Pages 15064-15068]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-8059]
[[Page 15063]]
_______________________________________________________________________
Part IV
Environmental Protection Agency
_______________________________________________________________________
Public Review Draft Guidelines for the Certification and
Recertification of the Operators of Community and Nontransient
Noncommunity Public Water Systems; Notice
Federal Register / Vol. 63, No. 59 / Friday, March 27, 1998 /
Notices
[[Page 15064]]
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ENVIRONMENTAL PROTECTION AGENCY
[FRL-5988-3]
Public Review Draft Guidelines for the Certification and
Recertification of the Operators of Community and Nontransient
Noncommunity Public Water Systems
AGENCY: Environmental Protection Agency.
ACTION: Solicitation of comments on public review draft.
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SUMMARY: In this Public Notice, the Environmental Protection Agency
(EPA) is seeking comments on the public review draft ``Guidelines for
the Certification and Recertification of the Operators of Community and
Nontransient Noncommunity Public Water Systems.'' The public review
draft guidelines are published in the Supplementary Information section
of this notice.
DATES: Submit written comments on or before June 25, 1998.
ADDRESSES: Send written comments on these draft guidelines to the
Operator Certification Comment Clerk: Water Docket MC-4101 (docket #W-
98-07), Environmental Protection Agency: 401 M Street, S.W., Washington
DC 20460. Please submit an original and three copies of your comments
and enclosures (including references).
Those who comment and want EPA to acknowledge receipt of their
comments must enclose a self-addressed, stamped envelope. No facsimiles
(faxes) will be accepted. Comments may also be submitted electronically
to ow-docket@epamail.epa.gov.
Electronic comments must be submitted as an ASCII file avoiding the
use of special characters and forms of encryption. Electronic comments
must be identified by Docket #W-98-07. Comments and data will also be
accepted on disks as a WordPerfect 5.1 or 6.1 file. Electronic comments
on this notice may be filed online at many Federal Depository
Libraries.
The record for these guidelines has been established under Docket
#W-98-07, and includes supporting documentation as well as printed
paper versions of electronic comments. The record is available for
review at EPA's Water Docket: 401 M Street, S.W., Washington DC 20460.
For access to the Docket materials, call 202-260-3027 between 9:00 a.m.
and 3:30 p.m. for an appointment and reference Docket #W-98-07.
FOR FURTHER INFORMATION CONTACT: The Safe Drinking Water Hotline, toll
free (800) 426-4791, for general information about and copies of this
document. For technical inquiries, contact Richard Naylor,
Implementation and Assistance Division, Office of Ground Water and
Drinking Water (4606), U.S. EPA, 401 M Street, SW, Washington, DC,
20460. The telephone number is (202) 260-5135 and the e-mail address is
naylor.richard @epamail.epa.gov.
SUPPLEMENTARY INFORMATION:
I. Introduction
A. Statutory Requirements
B. Process for Developing Guidelines
II. Key Certification Issues
A. Baseline Standards
B. Grandparenting of Operators
C. Operator Testing
D. Operator Training
E. Renewal period
F. Size Categories for Systems
G. Exemptions
H. Indian Tribes
I. Expense Reimbursement
III. Operator Certification Guidelines
A. Public Health Objectives
B. Antibacksliding
C. Baseline Standards
1. Authorization
2. Classification of Systems, Facilities, and Operators
3. Operator Qualifications
4. Enforcement
5. Certification Renewal
6. Resources Needed to Implement the Program
7. Recertification
8. Stakeholder Involvement
9. Program Review
IV. Program Submittal Process
A. Requirements
1. Submittal Schedule
2. Submittal Contents
B. Approval Process
C. Disapproval Process
D. Withholding of Funds
E. Reallotment of Funds
V. Definitions
VI. Acronyms
I. Introduction
Statutory Requirements
The Safe Drinking Water Act (SDWA) Amendments of 1996 (Pub. L. 104-
182) direct the Administrator of the United States Environmental
Protection Agency (EPA), in cooperation with the States, to publish
guidelines in the Federal Register specifying minimum standards for
certification and recertification of operators of community and
nontransient noncommunity public water systems. The final guidelines
are required to be published by February 1999. States then have two
years to adopt and implement an operator certification program that
meets the requirements of these guidelines. After that date, if a State
has not adopted and implemented an approved program, the Administrator
must withhold 20 percent of the funds a State is otherwise entitled to
receive in its Drinking Water State Revolving Fund (DWSRF)
capitalization grants under section 1452 of SDWA.
All of the requirements contained in these guidelines are
requirements to avoid DWSRF capitalization grant withholding. There are
no other sanctions for States with operator certification programs that
do not meet the requirements of these guidelines.
B. Process for Developing Guidelines
The draft guidelines consist of nine baseline standards. In the
development of the nine baseline standards, EPA utilized the combined
knowledge and expertise of two working groups that it appointed on
operator certification. One work group, the State-EPA Work Group, was
appointed to fulfill EPA's responsibility under section 1419(a) to
publish guidelines on operator certification ``in cooperation with
States.'' This work group was composed of seven State and ten EPA
representatives. The other work group, the Operator Certification
Working Group of the National Drinking Water Advisory Council (NDWAC),
also referred to as the Partnership, was formed to provide EPA with
views in addition to those of States. This group was composed of 23
members representing public water systems, environmental and public
interest advocacy groups, State drinking water program representatives,
EPA, U.S. Department of Agriculture, U.S. Public Health Service, Indian
Health Service, and other interest groups.
Procedurally, the two groups worked closely together. The
Partnership identified potential categories for which minimum standards
would be developed. The State-EPA Work Group then developed draft issue
papers for these categories. The Partnership and the State-EPA Work
Group exchanged reviews of the proposed language on what both groups
referred to as ``baseline standards,'' and worked toward achieving
consensus on these standards. The baseline standards were then
forwarded by the Partnership to the NDWAC. In October 1997, the NDWAC
formally transmitted its recommended baseline standards to the EPA. The
baseline standards contained in these guidelines are based on the
formal recommendations of the NDWAC.
II. Key Certification Issues
During the development of the baseline standards upon which these
guidelines are based, the work groups debated a number of certification
issues. Included here, as background for the reader, is a discussion of
the key issues along with a brief explanation of how
[[Page 15065]]
the groups chose to address each issue. EPA would like to draw the
public's attention to these issues to encourage review and comment.
A. Baseline Standards
Should training, coverage and reciprocity be separate baseline
standards? The Partnership, in identifying the baseline standards for
operator certification, initially debated whether to make training,
coverage and reciprocity separate baseline standards. After
considerable discussion, the group decided that training and coverage
should be appropriately included as elements within other baseline
standards. It was decided that reciprocity should not be a requirement,
but States should be encouraged to develop reciprocity procedures
between certifying authorities.
B. Grandparenting of Operators
Should the guidelines provide for the grandparenting of operators?
The terminology ``grandparenting of operators,'' as used in the context
of these draft guidelines, means exempting existing operators from the
initial certification requirements such as having to have a high school
education or equivalent and passing an exam. The consensus of the work
groups was that grandparenting may be necessary to allow the many
competent operators who have been successfully operating treatment
facilities and/or distribution systems but who may not meet the initial
requirements of certification to become certified. It does not make
sense to put people out of work. Also, some members felt that a
grandparenting provision was important because of their concern that it
may not be legal in some States to impose requirements that could cause
someone to lose their present job if they did not meet the initial
certification requirements. Furthermore, it was felt that
grandparenting may be necessary to provide a transition period for some
States to accomplish the certification of operators (identify, notify,
test, etc.) for which certification had not previously been required.
The intent of the work groups was to make grandparenting a short-lived
option available only to facilitate the transition to the new
guidelines. The decision to allow grandparenting would be left to the
State's discretion. Some States may not offer grandparenting; however,
if a State chooses to allow grandparenting the guidelines impose
certain restrictions.
C. Operator Testing
Should written exams be mandatory? Some members argued that a
written exam was essential to ensure that an operator could read
directions, warning labels, regulations, etc. Others felt that certain
individuals did not perform well on written exams, especially those
with a disability such as dyslexia and therefore, should have available
an alternative to a written exam. Some members felt that a performance
exam was superior. The consensus was to allow the States to decide what
type of exam would be the most appropriate--written, oral, performance-
based, or a combination, as long as the exam demonstrates that the
applicant has the necessary skills, knowledge, ability and judgement
that is appropriate for the classification.
D. Operator Training
Should the guidelines specify training requirements? Under the
guidelines, training is required in order for an operator to renew his/
her certification. Some members felt that the guidelines should be more
specific about the continuing education requirements that are necessary
for certification renewal. The consensus was to allow the States to
decide what type and amount of training is appropriate.
E. Renewal Period
Should the guidelines specify a maximum time for renewal or should
States decide what is appropriate? The consensus was that the
guidelines should require States to have a fixed cycle of renewal;
however, it was not a clear consensus as to whether the guidelines
should specify a period of time or leave it up to the States. The
majority of members voted for a fixed cycle of renewal not to exceed
three years. Most States already have a renewal cycle of three years or
less.
F. Size Categories for Systems
The work groups discussed establishing size categories for systems
and tailoring certification requirements to the size of the system. All
States currently have a method for categorizing systems within the
State. Establishing nationally uniform size categories would be very
disruptive with little benefit. The consensus was that defining the
size of systems should be left up to the States.
G. Exemptions
Should small or certain types of systems be exempt from the
requirement to have a certified operator? Some members of the work
groups felt that there should be exemptions from the requirement to
have a certified operator for some systems such as small ground water
systems with no treatment. However, small water systems historically
violate drinking water requirements significantly more often than those
serving larger communities. Competent operating personnel are vitally
important to the long term, safe operation of small water systems. The
Partnership felt it was Congress' intent that small systems should be
covered by the operator certification guidelines. Hence, the
reimbursement provision for the training and certification costs for
operators of systems serving 3,300 or less. Accordingly, the guidelines
do not provide any categorical exemptions to the certification
requirements. Instead, the guidelines do provide the States with the
flexibility to decide what is the appropriate level of training and
type of examination for certification. For example, in the case of a
small ground water system with no treatment and only on-site plumbing,
it may be only necessary for the operator to be trained and tested on
proper sampling procedures to become certified.
H. Indian Tribes
The Partnership, through the NDWAC, made the following
recommendation to EPA concerning operator certification for Indian
Tribes:
The Council recognizes that the SDWA, with regard to operator
certification, is silent as to whether these guidelines apply to
Indian Tribes. The Council believes that all users of public water
supplies are entitled to safe water and that a program for operator
certification is one means of helping to ensure this basic need. As
a result, the Council recommends that EPA, seek clarification and
resolve this omission, and consult to the greatest extent
practicable, and to the extent permitted by law, with the Tribal
governments prior to taking action on operator certification issues
that impact Tribes or Tribal systems. We recommend using the
operator certification baseline standards to initiate discussions
with Tribes.
EPA is currently pursuing this recommendation.
I. Expense Reimbursement
The SDWA authorizes the Administrator to provide reimbursement for
the costs of training, including an appropriate per diem for unsalaried
operators, and certification for persons operating systems serving
3,300 persons or fewer that are required to undergo training pursuant
to these guidelines. The reimbursement will be provided through grants
to States. EPA is in the process of developing an estimate of the
reimbursable expenses of training and certification of small system
operators and will work with stakeholders to develop an appropriate
grant allocation methodology.
[[Page 15066]]
III. Operator Certification Guidelines
A. Public Health Objectives
The public health objectives of the guidelines are to ensure that:
Customers of any public water system be provided with an
adequate supply of safe, potable drinking water.
Consumers are confident that their water is safe to drink.
Public water system operators are trained and certified
and that they have knowledge and understanding of the public health
reasons for drinking water standards.
Ongoing training is necessary to the public health objectives of
this program.
B. Antibacksliding
Because these guidelines represent only minimum standards, it is
expected that States whose current operator certification program
requirements go beyond or exceed these minimum standards not lower
their operator certification program requirements. EPA will not approve
the operator certification program of any State that reduces its
standards below the level that existed 12 months prior to the effective
date of these guidelines unless the reduction can be justified by the
State and is approved by EPA.
C. Baseline Standards
Each State operator certification program must include as a minimum
the essential elements of the nine baseline standards described below.
Essential elements to avoid DWSRF withholding are introduced by words
such as ``the States must.'' For each essential element, the State must
describe how its operator certification program complies with the
requirement. Additionally, several of the baseline standards include
highly recommended elements that are intended to complement, improve,
and expand the parameters of essential elements of an operator
certification program. These highly recommended elements are introduced
by words such as ``the States should.''
1. Authorization
As evidenced by an Attorney General's certification, the State must
have the legal authority to implement the program requiring the
certification of operators of all community and nontransient
noncommunity water systems and to require that the systems comply with
the appropriate requirements of the program.
2. Classification of Systems, Facilities, and Operators
To avoid DWSRF withholding, a State's program must meet the
following requirements:
It must classify and rank all community and nontransient
noncommunity water systems based on indicators of potential health risk
such as but not limited to: a) complexity, size and source water for
treatment facilities, and b) complexity and size for distribution
systems.
It must require owners of all community and nontransient
noncommunity water systems to place the direct supervision of their
water system, including each treatment facility and/or distribution
system, under the responsible charge of an operator(s) holding a valid
certification equal to or greater than the classification of the
treatment facility and/or distribution system.
It must require, at a minimum, that the operator(s) in
responsible charge or equivalent must hold a valid certification equal
to or greater than the classification of their water system, including
each treatment facility and distribution system, as determined by the
State.
It must require that all operating personnel making
process control/system integrity decisions about water quality or
quantity that affect public health be certified.
It must require that a designated certified operator must
be available for each operating shift.
3. Operator Qualifications
To avoid DWSRF withholding, States must require operator applicants
to:
Take and pass an exam that demonstrates that the applicant
has the necessary skills, knowledge, ability and judgement as
appropriate for the classification. All exam questions must be State
validated to ensure no illegal bias, and they must be based on a job
analysis and related to the classification of the system or facility.
Have a high school diploma or a general equivalency
diploma (GED).
Have the defined minimum amount of on-the-job experience for each
appropriate level of certification. The amount of experience required
increases with each classification level. Experience that is used to
meet the experience requirement for any class of certification may not
be substituted for education. Education that is used to meet the
education requirement for any class of certification may not be
substituted for experience.
States may allow experience and/or relevant training to be
substituted for a high school diploma or GED. Post high school
education may be substituted for experience. Credit may be given for
experience in a related field (e.g., wastewater). Experience and
education may not be used more than once as a substitution.
Grandparenting
EPA recognizes that there are many competent small system operators
that may not meet the initial requirements to become certified. EPA
believes that some States may need a transition period to allow these
operators to become certified and that this can be accomplished through
``grandparenting'' the requirements in some circumstances. It is
recommended that grandparenting determinations be based on factors such
as system compliance history, operator experience and knowledge, system
complexity, and lack of treatment.
If States choose to include a grandparenting provision in their
programs, it must include the following requirements:
During this initial transition period, grandparenting is
permitted only 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.
There are two options offered for consideration and
comment concerning the time period within which a system must apply to
the State for grandparenting. Because a clear consensus was not
achieved during the deliberations of the work groups both options are
presented here.
(1) The system must apply for grandparenting within two years of
the effective date of the State's regulation; or
(2) The system must apply for grandparenting within one year of the
effective date of the State's regulation.
Grandparenting shall be site specific and non-
transferable.
After an operator is grandparented, he or she must, within
some time period specified by the State, meet all requirements to
obtain certification including the payment of any necessary fees,
acquiring necessary training to meet the renewal requirements, and
demonstrating the skills, knowledge, ability and judgement for that
classification.
If the classification of the plant or distribution system
changes to a higher level, then the grandparented certification will no
longer be valid.
[[Page 15067]]
4. Enforcement
To avoid DWSRF withholding, the State agency with primary
enforcement responsibility for the Public Water System Supervision
(PWSS) Program must have regulations requiring community water systems
and nontransient noncommunity water systems to comply with State
operator certification requirements. In nonprimacy States, the Governor
shall determine which State Agency shall have this responsibility.
States must have appropriate enforcement capabilities such as, but not
limited to: administrative orders, bilateral compliance agreements,
criminal or civil administrative penalties, and stipulated penalties.
States must have the ability to revoke operator certifications.
States must also have the ability to suspend operator
certifications or take other appropriate action for operator misconduct
such as, but not limited to: fraud, falsification of application,
falsification of operating records, gross negligence in operation,
incompetence, or failure to use reasonable care or judgement in the
performance of duties.
5. Certification Renewal
To avoid DWSRF withholding, the State must establish training
requirements for renewal based on the level of certification held by
the operator.
States must require operators to acquire necessary amounts and
types of approved training. States may determine other requirements as
deemed necessary.
States must have a fixed cycle of renewal not to exceed three
years.
The State must consider a certificate to have lapsed and the
individual must recertify, if the individual fails to renew or qualify
for renewal and is beyond a grace period (not to exceed two years).
6. Resources Needed To Implement the Program
To avoid DWSRF withholding, the States must provide sufficient
resources to adequately fund and sustain the operator certification
program (including components such as, but not limited to: staff, data
management, testing, enforcement, administration, and training
approval). EPA recommends that States establish a dedicated fund that
is self-sufficient.
7. Recertification
To avoid DWSRF withholding, the States must have a process for
recertification of individuals whose certification has lapsed. This
process must include: review of the individual's experience and
training, and reexamination. The State must consider the certificate to
have lapsed and the individual must recertify, if the individual fails
to renew or qualify for renewal and is beyond a grace period (not to
exceed 2 years). The State may develop more stringent requirements for
recertification for individuals whose certificates have been revoked or
suspended.
8. Stakeholder Involvement
Stakeholder involvement is important to the public health
objectives of the program. It helps to ensure the relevancy and
validity of the program, and the confidence of all interested parties.
To avoid DWSRF withholding, States must include ongoing stakeholder
involvement in the revision and operations of State operator
certification programs. A stakeholder board or advisory committee is
strongly recommended.
9. Program Review
To avoid DWSRF withholding, States must perform reviews of their
operator certification programs. EPA recommends that States perform
periodic internal reviews and occasional external/peer reviews.
Examples of reviews include, but are not limited to: regulations, exams
and exam scores for bias, exam items for relevancy and validity,
compliance, enforcement, budget and staffing, training relevancy,
training needs through examination performance, and data management
system.
IV. Program Submittal Process
A. Requirements
1. Submittal Schedule
Not later than two years after the guidelines are published, to
avoid DWSRF withholding, States must have adopted and implemented a
program for the certification of operators of community and
nontransient noncommunity public water systems that meets the
requirements of or is substantially equivalent to these guidelines.
States are encouraged to submit their operator certification programs
to the appropriate EPA Regional Administrator for review as early as
possible. Any State that expects to receive its FY 2000 or FY 2001
capitalization grant after February 6, 2001, should submit its operator
certification program to EPA by August 2000. Also, any State that
intends to enforce its existing operator certification program in lieu
of these guidelines must submit its program to EPA by August 2000. EPA
must determine whether an existing State operator certification program
is substantially equivalent to these guidelines.
Future annual submittals of state operator certification programs
to EPA must be submitted either before or with the annual
capitalization grant application.
2. Submittal Contents
The submittal of operator certification programs to EPA by States
must include the following:
(1) The State Attorney General's certification that the State has
the legal authority to implement the program requiring the
certification of operators of all community and nontransient
noncommunity water systems and to require that the systems comply with
the appropriate requirements of the program;
(2) A full description and explanation of how the State's operator
certification program complies with or is substantially equivalent to
the requirements of these guidelines;
(3) A copy of the State operator certification regulations; and
(4) All annual program submittals subsequent to the initial
submittal must include documentation and evaluation of ongoing program
implementation.
B. Approval Process
EPA must approve or disapprove a State program within nine months
after submittal. If there is no EPA action within the nine month
period, a State program will be deemed approved and/or substantially
equivalent to the guidelines.
C. Disapproval Process
If the Regional Administrator determines that a program (or portion
thereof) is to be disapproved, EPA will send a written statement of the
reasons for such disapproval to the State.
Within six months of EPA's written statement to the State, the
State must submit a modified program to EPA to avoid DWSRF withholding.
The State's modifications to the program must be based upon the
recommendations of EPA. If EPA disapproves the program (or portion
thereof), EPA will advise the State of any deficiencies in an
expeditious manner to ensure that the State has an opportunity to
develop an approvable program.
EPA must then make a decision on whether to approve or disapprove a
State's re-submittal.
D. Withholding of Funds
The Administrator shall withhold 20% of a State's funds that it is
entitled
[[Page 15068]]
to receive under the DWSRF program (section 1452) unless the State has
adopted and is implementing a program for the certification of
operators of community and nontransient noncommunity public water
systems that meets the requirements of these guidelines. This
withholding provision will begin two years after the effective date of
these guidelines.
E. Reallotment of Funds
All funds withheld by the Administrator because the State does not
develop and implement an operator certification program that meets the
requirements of these guidelines shall be reallotted using the
allotment formula that was used to distribute funds for that year,
except that the Administrator may reserve and allocate 10 percent of
the amount for financial assistance to Indian Tribes. None of these
funds reallotted by the Administrator shall be allotted to a State
unless the State has met the requirements of these guidelines.
V. Definitions
Administrator--means the Administrator of the United States
Environmental Protection Agency.
Available--Based on system size, complexity, and source water
quality, a certified operator must be on site or able to be contacted
as needed to initiate the appropriate action in a timely manner.
Community Water System (CWS)--a public water system providing water
to at least 15 service connections used by year-round residents or
regularly serves at least 25 year-round residents.
Distribution Complexity--Such as, but not limited to, pressure
zones, booster stations, storage tanks, fire protection, chlorination,
non-residential consumers, cross connection potential, and demand
variations.
Distribution Size--Such as, but not limited to, population served,
number of service connections, size of pipes, total distance of pipe,
and quantity.
Distribution System--Any combination of pipes, tanks, pumps, etc.
which delivers water from the source(s) and/or treatment facility(ies)
to the consumer.
Grandparenting--The exemption for the existing operator(s) in
responsible charge, as of the effective date of the State's regulation,
from meeting the initial education and/or examination requirements for
the class of certification the system has been assigned.
Nontransient Noncommunity (NTNC) Water Systems--is a public water
system that is not a community water system and that regularly serves
at least 25 of the same persons over six months per year. Common types
of NTNC water systems are those serving schools, day care centers,
factories, restaurants, nursing homes, and hospitals.
Operating Shift--That period of time during which operator
decisions that affect public health are necessary for proper operation
of the system.
Primacy--Primary enforcement responsibility for administration and
enforcement of the primary drinking water regulations and related
requirements applicable to public water systems within a State.
Responsible Charge--The Operator(s) in Responsible Charge or his/
her equivalent is defined as the person(s) designated by the owner to
be the certified operator(s) who makes decisions regarding the daily
operational activities of a public water system, water treatment
facility and/or distribution system, that will directly impact the
quality and/or quantity of drinking water.
Source Water--Such as but not limited to: type (surface water,
groundwater, groundwater under the influence of surface water,
purchase), quality (variability), protection (e.g., wellhead
protection)
Treatment Size--Such as but not limited to, population served,
number of service connections, and plant flow.
Treatment Facility--Any place(s) where a community water system or
nontransient non-community water system alters the physical or chemical
characteristics of the drinking water. Chlorination may be considered
as a function of a distribution system.
Treatment Complexity--Such as, but not limited to, difficulty in
controlling water quality, potential effect to the consumer and safety
of the operator.
VI. Acronyms
CWS--Community Water System
DWSRF--Drinking Water State Revolving Fund
EPA--United States Environmental Protection Agency
GED--General Equivalency Diploma
NDWAC--National Drinking Water Advisory Council
NTNCWS or NTNC--Nontransient Noncommunity Water System
PWSS Program--Public Water System Supervision Program
SDWA--Safe Drinking Water Act
Dated: March 23, 1998.
Cynthia C. Dougherty,
Director, Office of Ground Water and Drinking Water, Environmental
Protection Agency.
[FR Doc. 98-8059 Filed 3-26-98; 8:45 am]
BILLING CODE 6560-50-P
