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)

Baseline Standard No.	EPA Guideline	Circle one		State Citation document title; page #; § and ś	Remarks [Explain here if different than federal requirement; use separate sheet, if necessary]
I.	Authorization
	Does the State have the legal authority to implement an operator certification program for its:
	Community Water Systems (CWSs)?	Y	N
	Nontransient Noncommunity Water Systems (NTNCWSs)?	Y	N
	Does the State have the legal authority to require that systems comply with the requirements of the operator certification program?	Y	N
	Did the State submit its Attorney General Certification?	Y	N
	Has the Authorization been delegated?	Y	N
	If delegated, to whom?______________________________________________
	Did the State submit documentation of legal delegation?	Y	N
	*Does the State's program meet the baseline standard for Authorization?*	Y	N
II.	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	N
	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.	Y	N
	Has the State developed specific operator certification and renewal requirements for each classification level?	Y	N
	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?	Y	N
	Are operator(s) in responsible charge required to hold a valid certification equal to or greater than the classification of the treatment facility and/or distribution system?	Y	N
	Are all operating personnel making process control/system integrity decisions about water quality or quantity that affect public health required to be certified?	Y	N
	Does the State require that a designated certified operator be available for each operating shift?	Y	N
	Did the State backslide with respect to any of the requirements under Baseline Standard No. II? If yes, explain in remarks.	Y	N
	*Does the State's program meet the baseline standard for Classification of Systems, Facilities and Operators?*	Y	N
III.	Operator Qualifications
	Does the State require applicants to pass an exam?	Y	N
	Do exams demonstrate that the applicant has the necessary knowledge, skills, ability, and judgement as appropriate for the classification?	Y	N
	Are all exams validated or in the process of being validated? Please give date that the State expects to have all exams validated. Date ____________________________	Y	N
	By whom? _______________________________________________________
	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?	Y	N
	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?	Y	N
	Is grandparenting allowed by the State? If yes, answer the following:	Y	N
	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?	Y	N
	Is the system owner required to apply for grandparenting within two years of the effective date of the State's regulation?	Y	N
	What is the effective date of the State's regulation?______________________
	Is grandparenting site-specific to systems and non-transferable to other operators?	Y	N
	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)	Y	N
	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?	Y	N
	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?	Y	N
	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.	Y	N
	*Does the State's program meet the baseline standard for Operator Qualifications?*	Y	N
IV.	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
	In non-primacy States, has the Governor determined which State agency shall enforce operator certification requirements? Name of agency:___________________________________	Y	N
	What specific enforcement capabilities does the State have:
	1. Administrative Orders?	Y	N
	2. Bilateral Compliance Agreements?	Y	N
	3. Civil Administrative Penalties?	Y	N
	4. Criminal Administrative Penalties?	Y	N
	5. Stipulated Penalties?	Y	N
	6. Other? _________________________
	Does the State have appropriate enforcement capability?	Y	N
	Does the State have the authority to revoke an operator's certification?	Y	N
	Does the State have the authority to suspend an operator's certification or take other appropriate enforcement action for operator misconduct? Explain in remarks.	Y	N
	Did the State backslide with respect to any of the requirements under Baseline Standard No. IV? If yes, explain in remarks.	Y	N
	*Does the State's program meet the baseline standard for Enforcement?*	Y	N
V.	Certification Renewal
	Has the State established training requirements for renewal based on the level of certification held by operator?	Y	N
	Does the State require all operators including grandparented operators to acquire necessary amounts and types of State approved training?	Y	N
	Does the State have a fixed cycle of renewal not exceeding 3 years? How long? _______________________________	Y	N
	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?	Y	N
	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?	Y	N
	Identify which one or more of the following approaches the State uses:
	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.	Y	N
	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	N
	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	Y	N
	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.	Y	N
	Did the State backslide with respect to any of the requirements under Baseline Standard No. V? If yes, explain in remarks.	Y	N
	*Does the State's program meet the baseline standard for Certification Renewal?*	Y	N
VI.	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?	Y	N
	Does the State have a dedicated fund that is self-sufficient?	Y	N
	Did the State backslide with respect to any of the requirements under Baseline Standard No. VI? If yes, explain in remarks.	Y	N
	*Does the State's program meet the baseline standard for Resources Needed to Implement the Program?*	Y	N
VII.	Recertification
	Does the State's program have a process for the recertification of operators whose certification has expired for a period exceeding two years?	Y	N
	Does the recertification process include:
	1. Review of the individual's experience and training?	Y	N
	2. Re-examination?	Y	N
	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.	Y	N
	Did the State backslide with respect to any of the requirements under Baseline Standard No. VII? If yes, explain in remarks.	Y	N
	*Does the State's program meet the baseline standard for Recertification?*	Y	N
VIII.	Stakeholder Involvement
	Does the State include ongoing stakeholder involvement in the revision and operations of its operator certification program?	Y	N
	Describe the State's stakeholder involvement process:
	Does the State have a stakeholder board or advisory committee ?	Y	N
	Did the State backslide with respect to any of the requirements under Baseline Standard No. VIII? If yes, explain in remarks.	Y	N
	*Does the State's program meet the baseline standard for Stakeholder Involvement?*	Y	N
IX.	Program Review
	Does the State have a process for reviewing its own program? Explain in remarks.	Y	N
	Does the State's process include periodic internal reviews? Identify time frame for review and plan for review in Remarks section	Y	N
	Does the State's process include occasional external/peer reviews? Identify time frame for review and plan for review in Remarks section	Y	N
	Does the State's program review process include review of:
	Regulations?	Y	N
	Exam items for relevancy and validity?	Y	N
	Compliance?	Y	N
	Enforcement?	Y	N
	Budget and staffing?	Y	N
	Training relevancy?	Y	N
	Training needs through exam performance?	Y	N
	Data management system?	Y	N
	Did the State backslide with respect to any of the requirements under Baseline Standard No. IX? If yes, explain in remarks.	Y	N
	*Does the State's program meet the baseline standard for Program Review?*	Y	N
	Initial Submittal Contents
	Has the State submitted the following:
	Attorney General's certification?	Y	N
	Documentation of the delegation of authority, if AG statement is signed by delegated counsel?	Y	N
	A full description and explanation of how its operator certification program complies with or is substantially equivalent to the requirements of these guidelines?	Y	N
	Copy of its operator certification statutes and regulations?	Y	N
	Description of the basis for classification of treatment and /or distribution facilities?	Y	N
	Description of certification requirements for each classification level?	Y	N
	Description of the renewal requirements for each classification level?	Y	N
	Description of special renewal requirements for grandparented operators?	Y	N
	Documentation of exam validation for all classification levels?	Y	N.
	Plan for tracking compliance and enforcement?	Y	N
	11. Plan for enforcing its operator certification program?	Y	N
	Description of program resources?	Y	N
	Description of internal program review procedures?	Y	N
	Description of external program review procedures?	Y	N
	Plan for stakeholder involvement?	Y	N
	Implementation schedule?	Y	N