1. Operator Certification 101 Strengthening the Protection of America’s Drinking Water Bob Dunlevy, EPA Region 7 Capacity Development and Operator Certification Contact Operator Certification 101 Webinar November 3, 2015

2. Objectives Review basics of the operator certification program Promote collaboration and program understanding among state coordinators 2

3. Webinar Overview Statutory Background Operator Certification Program Implementation and Other Interaction Between Programs 3

4. Statutory Background 4

5. SDWA: 1996 Amendments Amendments address concerns through: –Emphasis on comprehensive public health protection Multiple barriers of protection, from source to tap –Increased funding –Prevention tools and programs –Increased enforcement authority –More public participation –Reliance on best available science –Risk-based standard setting 5

6. 1996 Amendments and Drinking Water: Creation of the State Revolving Loan Fund Program [§1452] 6 Loans to Public Water Supplies Set-asides Program Assistance Program for Disadvantaged Systems Training and Certification of Small System Operators Assistance to Tribal Water Supplies

7. State Revolving Loan Fund Program [§1452] 7 Conditions to Receive Full Annual Grant Allotment § 1452(a)(1)(G)(I & ii) –Operator Certification – Section § 1419, 20% –Capacity Development – Section § 1420, 20% Condition for System to Receive a Loan § 1452(a)(3) –Technical, Managerial, and Financial Capabilities to ensure compliance

8. DWSRF under the 1996 Amendments [§1452(g & k)] Affordable financing to help PWSs achieve and maintain compliance Supports states in offsetting the costs of administering water programs –2%: Small system technical assistance –4%: Administrative and technical assistance –10%: State program management –15%: Local assistance and other state programs 8

9. Operator Certification Program 9

10. Operator Certification and the 1996 SDWA Amendments [§1419(a-d)] States, water systems, and public partnership to develop operator certification guidelines Issue and adoption of guidelines with minimum standards for certification and recertification Existing State Programs Reimburse training and certification costs for CWS and NTNCWS operators (≤ 3,300) –Expense Reimbursement Grants 10

11. Development of the Federal Operator Certification Guidelines Two workgroups formed by EPA –State-EPA Workgroup –National Drinking Water Advisory Council (NDWAC) Operator Certification Working Group 23 members Met from March 1997 to August 1998 11

12. A Focus on Public Health Providing customers with an adequate supply of drinking water Building consumer confidence Increasing operator knowledge and understanding 12

13. Results Final guidelines for the Certification and Recertification of the Operators of Community and Nontransient Noncommunity Public Water Systems (February 5, 1999) 13

14. Antibacksliding The guidelines represent minimum standards No state may reduce its standards below the level that existed 12 months prior to the development of the guidelines 14

15. Nine Baseline Standards 15

16. Baseline Standards Authorization Classification of Systems, Facilities and Operators Operator Qualifications Enforcement Certification Renewal Resources Needed to Implement the Program Recertification Stakeholder Involvement Program Review 16

17. Baseline Standard 1: Authorization States must have legal authority to implement operator certification program Program authority lies primarily in state agencies focused on public health or environmental/natural resources Some states have assigned authority to other agencies, such as licensing agencies or certification boards 17

18. Baseline Standard 2: Classification of Systems, Facilities and Operators Classification of all CWSs and NTNCWSs based on indicators of potential health risk Owners must place direct supervision of their water system under responsible charge of an operator All personnel making decisions affecting water quality or quantity must be certified Designated certified operator must be available for each operating shift 18

19. Baseline Standard 3: Operator Qualifications Operators must pass an exam that demonstrates they have the necessary skills, knowledge, ability and judgment All exam questions must be validated Operators must have as a minimum a high school diploma or GED Operators must have a defined minimum amount of on on-the the-job experience 19

20. Baseline Standard 3: Operator Qualifications Grandparenting – Transition period If allowed: –Existing operator(s) in responsible charge of existing systems only –The system owner must apply for grandparenting –The grandparenting was site specific and non-transferable –After an operator is grandparented, they must meet all requirements to obtain certification renewal within a specified timeframe –If the classification of the system changed to a higher level, then the grandparented certification will no longer be valid. 20

21. Baseline Standard 4: Enforcement States with PWSS program primacy must have regulations that meet guidelines States must have the ability to revoke operator certifications States must have the ability to suspend operator certifications, or –Take other appropriate enforcement action for operator misconduct 21

22. Baseline Standard 5: Certification Renewal States must establish training requirements for renewal States must require all operators to acquire state-approved training States must have a fixed cycle of renewal States must require an individual to recertify if the individual fails to renew or qualify for renewal 22

23. Baseline Standard 6: Resources Needed to Implement the Program States must provide sufficient resources to adequately fund and sustain the program EPA recommended establishing a self- sufficient fund 23

24. Baseline Standard 7: Recertification States must have a process for recertification of individuals Recertification process must include review of experience, training, and reexamination States can develop more stringent requirements for expired, revoked or suspended certificates 24

25. Baseline Standard 8: Stakeholder Involvement States must include ongoing stakeholder involvement the program Public comment on rule revisions alone is not adequate Recommendation: establish a stakeholder board or advisory committee 25

26. Baseline Standard 9: Program Review States must perform reviews of their programs –Internal reviews every 3 years –External or peer reviews every 5 years –Analyze various program components 26

27. Program Submittal Initial submittal –State Attorney General’s certification –Program description & explanation of compliance –Copy of regulations Annual submittal –Documentation and evaluation of ongoing program implementation –New State Attorney General’s certification for changes to regulations or statute 27

28. Implementation and Other 28

29. Early Issues Temporary Certification –Do not have either education, experience, take and pass an exam or combination Initial Submittal and Annual Reports –What needs to be provided and when 29

30. In Addition... Final Additions to the Final Guidelines for the Certification and Recertification of the Operators of Community and Nontransient Noncommunity Public Water Systems; Final Allocation Methodology for Funding to States for the Operator Certification Expense Reimbursement Grants Program (April 18, 2001) 30

31. Expense Reimbursement Grant Program 1419(d) EPA reimbursed costs of training and certification for ≤3,300 system operators States used grants for: –Drinking water operator curricula –Databases on certified operators/certification levels –Mobile training units –Classroom and online trainings EPA authorized to allocate $30M to states each year from 1997-2003. 31

32. Interaction of Programs 32

33. What is capacity? Ability to plan for, achieve, and maintain compliance with applicable drinking water standards Sufficient capabilities in 3 areas 33

34. Elements of Technical Capacity Source water adequacy and protection Infrastructure adequacy and improvement Technical knowledge and implementation 34

35. Elements of Managerial Capacity Ownership accountability Staffing and organization Effective external linkages 35

36. Financial Capacity Criteria Revenue sufficiency Fiscal management and controls Credit worthiness 36

37. New System Capacity Development Program§1420(a) A State shall receive only 80 percent of the allotment that the State is otherwise entitled to receive under section 1452 (relating to State loan funds) unless the State has obtained the legal authority or other means to ensure that all new community water systems and new nontransient, noncommunity water systems commencing operation after October 1, 1999, demonstrate technical, managerial, and financial capacity with respect to each national primary drinking water regulation in effect, or likely to be in effect, on the date of commencement of operations. 37

38. Existing System Capacity Development Strategy §1420(c)(1) In general.--Beginning (2003)..., a State shall receive only... 80 percent in each subsequent fiscal year, of the allotment that the State is otherwise entitled to receive under section 1452 (relating to State loan funds), unless the State is developing and implementing a strategy to assist public water systems in acquiring and maintaining technical, managerial, and financial capacity. 38

39. 5 Elements to Consider in a State’s Capacity Development Strategy §1420(c)(2)(A-E) Methods or criteria used to prioritize systems Factors that encourage or impair capacity development Utilization of SDWA authority/resources Establishing a baseline and measure improvements in capacity Procedures used to identify “interested persons” 39

40. Assisting Capacity Development Reports Annual Reports Report to the Governor 40

41. Parts of the Drinking Water Program PWSS Rule Implementation Enforcement Data Management Field Services 41

42. Operators in Regulation Federal Regulations mention operator 29 times (40 CFR part 141) Qualified Operator/Personnel Certified Operator 42

43. EPA HQ and Regional Contacts Region 1 – Katy Marrese Region 2 – Gerry McKenna Region 3 – Ghassan Khaled Region 4 – Janine Morris Region 5 – Jennifer Crooks Headquarters – Matthew Reed Region 6 – Amy Camacho Region 7 – Bob Dunlevy Region 8 – Kendra Morrison Region 9 – Kevin Ryan Region 10 – Kenneth Fisher 43

44. Final Thought 44 I think this (annual) report should focus on the states’ ongoing commitment to have excellent operator certification programs, and I also believe that EPA (HQ and regions) should do everything we can to encourage states to continue down that path. Jenny (Jacobs) Bielanski, 2001