401 KAR 5:010. Certification of wastewater system operators.

401 KAR 5:010. Certification of wastewater system operators.

RELATES TO: KRS 224.10-110, 224.73-110

STATUTORY AUTHORITY: KRS 224.01-110, 224.10-100, 224.10-110, 224.73-110

NECESSITY, FUNCTION, AND CONFORMITY: The secretary is directed to adopt administrative regulations applicable to certification of wastewater system operators. This administrative regulation establishes standards for classification of wastewater systems; qualifications of applicants; examination procedures; duties of the Kentucky Board of Certification of Wastewater System Operators; provisions relating to the issuance and renewal of certificates; disciplinary actions; a fee schedule and other provisions necessary for certification of operators.

Section 1. Definitions. The following terms shall have the meanings set forth below unless the context clearly indicates otherwise:

(1) "Association of Boards of Certification" or "ABC" means that organization which serves as an information center for certification activities, recommends minimum standards and guidelines for classification of water supply and wastewater systems, and assists authorities in establishing new certification programs and upgrading existing programs.

(2) "Board" means the Kentucky Board of Certification of Wastewater System Operators.

(3) "Cabinet" has the meaning given it in KRS 224.01-010.

(4) "Certificate" means a certificate of competency issued by the secretary or his designated agent stating that the operator has met the requirements for the specified operator classification as set by this administrative regulation.

(5) "Certified operator" means a wastewater operator employed at a wastewater system who has primary responsibility for the system or a portion thereof which may affect the performance of the system and who holds a certificate of competency meeting the requirements of this administrative regulation.

(6) "Division" means the Division of Water.

(7) "Operator" means any person involved in the operation of a wastewater system.

(8) "Primary responsibility" means having the authority to conduct the procedures and practices necessary to insure that the wastewater system or any portion thereof is operated in accordance with accepted practices, laws and administrative regulations of the Commonwealth, or to supervise others in conducting these practices.

(9) "Secretary" has the meaning given it in KRS 224.01-010.

(10) "Wastewater system" means sewage system as defined in KRS 224.01-010.

Section 2. General Provisions. (1) Each wastewater system shall be operated under the supervision of an individual holding a Kentucky operator's certificate for at least the class of system supervised.

(2) If the certified operator is not physically present while a system is operating, the certified operator shall be reasonably available. Availability shall be determined by the board and cabinet.

(3) Facilities whose classification changed from Class I to Class II as a result of revisions to Section 8 of this administrative regulation as in effect on the effective date of this administrative regulation shall employ a certified Class II or higher operator by January 1, 1994.

(4) Certificate display. If a wastewater system office is available at the wastewater treatment plant or within the sewer service area, the operator's certificate shall be prominently displayed on the wall.

(5) Wallet card. Certified operators shall carry the cabinet-issued wallet card showing current certification status while on duty.

Section 3. Duties of the Board. In carrying out its responsibilities and with consideration given to the minimum standards and guidance of the ABC, the board may:

(1) Examine the qualifications of applicants and recommend qualified applicants to the cabinet for certification;

(2) Review and approve substitutions for education and experience requirements;

(3) Review and provide comments to the cabinet on proposed wastewater treatment plant operator certification administrative regulations;

(4) Review and make recommendations to the cabinet on proposed training courses and seminars designed to provide continuing education to certified operators;

(5) Review and assist the cabinet in the preparation of examinations;

(6) Review and provide comments to the cabinet on proposed fees for the training and certification of operators;

(7) Review the certification administrative regulations of states which are seeking reciprocity with the Commonwealth; and

(8) Review evidence and advise the cabinet regarding disciplinary actions for certified operators who fail to comply with the applicable laws and administrative regulations.

Section 4. Application and Examinations for Certification. (1) Application. An individual desiring to be certified shall file an application with the cabinet and pay the applicable fee specified in Section 5 of this administrative regulation. Applications shall be made on a form provided by the cabinet and incorporated by reference in Section 11 of this administrative regulation. Applications shall not be filed with the cabinet until the individual has met the qualifications specified in this administrative regulation.

(2) Examinations. The board and the cabinet shall be jointly responsible for preparation of the examinations which shall be used in determining knowledge, ability and judgment of the applicants. The cabinet shall administer written exams unless the cabinet and board grant a waiver to allow an oral exam. Oral exams may be administered to applicants who meet the minimum qualifications of Section 10 of this administrative regulation. The cabinet shall grade the examinations and notify the applicant of the outcome. Applicants shall achieve a score of seventy (70) percent to pass the examination. Examinations shall not be returned to the applicant, but results may be reviewed with a member of the board or cabinet upon written request by the applicant.

(3) Scheduling examinations. Examinations shall be conducted at least semiannually at places and times set forth by the cabinet. The cabinet shall provide advance announcement of these examinations.

(4) Exam content. The cabinet shall prepare examinations to address the basic differences in the duties and responsibilities of certified operators, types of facilities, water quality standards, conditions of receiving waters and other pertinent matters.

(5) Applicants who fail to pass an examination may register to take the examination again on a regularly scheduled examination date.

Section 5. Fees. (1) Fees for certification of operators of wastewater systems shall not exceed the following:

(a) Examination: thirty-five (35) dollars.

(b) Renewal of certificate: thirty-five (35) dollars per biennium. Limited certificates: twenty (20) dollars per year.

(d) Reinstatement of lapsed certificate: not to exceed thirty-five (35) dollars plus renewal fee.

(2) For training sessions conducted by the cabinet: not to exceed five (5) dollars per contact hour.

(3) Fees shall not be returned to applicants who do not pass the examination.

(4) The cabinet shall provide an estimate of program costs for the upcoming renewal period and a draft schedule of reasonable fees for that renewal period to the board for approval prior to the beginning of the new renewal period.

Section 6. Issuance of Certificates. (1) Certification. Upon satisfactory fulfillment of the requirements of this administrative regulation and upon recommendation of the board, the cabinet shall issue a certificate to the applicant designating the classification of the wastewater system for which the operator has demonstrated competency. If information related to the operator's employment or mailing address changes from the application filed for certification, the certified operator shall provide written notification to the division within thirty (30) days. If a certified operator becomes permanently incapacitated while employed by a wastewater treatment plant, the employer shall notify the division.

(2) Duration and renewal of certificates.

(a) Certificates for all certified operator classes, except limited, as identified in Section 8 of this administrative regulation, shall be valid for up to two (2) years after each renewal, unless suspended or revoked for cause or replaced by that of a higher classification. Certificates shall expire on June 30 of odd-numbered years. Certificates may be renewed without examination, if the certified operator is in good standing, upon completion of the required training hours outlined in subsection (7) of this section and upon submittal of a complete renewal application and applicable renewal fees. Application for certificate renewal shall be made on a form provided by the cabinet and incorporated by reference in Section 11 of this administrative regulation. If the renewal application and fee are not received by the cabinet by June 30, the certificate shall be considered lapsed and shall not be reinstated without completion of the training required in subsection (7) of this section and payment of a reinstatement fee as provided in Section 5 of this administrative regulation. Expired certificates shall continue in force pending administrative processing of a renewal, if the certified operator is in good standing and has complied with the renewal requirements of this subsection by June 30 of the renewal year. Certificates continued under this paragraph shall remain fully effective and enforceable.

(b) Limited certificates shall expire on June 30 of each year. The cabinet may renew the limited certificate upon receipt of the renewal application if the certified operator has complied with all requirements for proper operation of the facility under his supervision, and has submitted a complete renewal application and applicable renewal fees.

(3) Certification for a higher classification. Certified operators who desire to become certified in a higher classification shall satisfactorily complete the minimum requirements of Sections 4 and 10 of this administrative regulation for the higher classification before submitting a new application. Experience earned under a limited certificate shall not count toward fulfillment of the qualifications for other classifications.

(4) Certificates shall be valid only while the holder uses reasonable care, judgment, and application of his knowledge in the performance of his duties. Certificates shall not be valid if obtained through fraud, deceit or the submission of inaccurate data on qualifications.

(5) Termination of a certification. Certificates shall terminate if not renewed for two (2) consecutive renewal periods. Limited certificates shall terminate immediately after the expiration date if not renewed. If a certificate terminates, an operator shall apply, pay applicable fees and pass an examination in the classification for which he is qualified to be certified.

(6) Reciprocity. Certificates may be issued in a comparable classification, without examination, to a person who holds a valid certificate in a state, territory, or possession of the United States or a country if the requirements for certification of operators under which the person's certificate was issued are no less stringent than the requirements for certification set forth in KRS Chapter 224 and this administrative regulation and reciprocal privileges are granted to certified operators of the Commonwealth.

(7) Training requirements. Certified operators shall accumulate continuing education credits approved by the cabinet or board prior to applying for certificate renewal.

(a) Class I and II certified operators shall complete twelve (12) hours of training for renewal. Class III and Class IV certified operators shall complete twenty-four (24) hours of training for each renewal. Training includes, but is not limited to, correspondence courses, short courses, trade association meetings, and on-the-job training courses. However, at least one-half (1/2) of the training required for recertification shall be in process control and operation or in the basic sciences related to these topics. Training hours accumulated in excess of the minimum number required for renewal may be carried forward for a period of two (2) years from the date earned. No training is required for holders of limited certificates.

(b) Certified operators who teach board-approved training courses may receive, upon approval of the board, hour-for-hour credit for actual instruction time.

1. The ability of the course to provide information that will enhance the proper operation and maintenance of wastewater treatment facilities; and

2. The ability of the instructor to properly present the information.

(d) Alternate training courses may be considered by submittal to the division and review by the board of the following information: the course name; the date, location, and a timed agenda for the course; the credit hours being requested; a summary of the course content of sufficient detail to determine relevance and quality of the course; and the name and credentials of each instructor for the course.

(e) The board may waive any of the requirements of paragraph (a) of this subsection for all or portions of a class of operators as identified in Section 9 of this administrative regulation.

Section 7. Disciplinary Action. A certified operator shall be subject to a disciplinary action identified in this section if the cabinet, in consultation with the board according to this section, determines that the certified operator has practiced fraud or deception in obtaining certification or filing cabinet mandated reports; has not used reasonable care or judgment in the performance of duties; has failed to apply knowledge in the performance of duties; or is incompetent, unable or unwilling to properly perform duties.

(1) Sanctions. The disciplinary action shall be determined by the cabinet in accordance with the review procedures in subsection (2) of this section, and may take the form of the following sanctions depending on the severity, duration, and number of the violations. The sanctions may include, but are not limited to:

(a) Probation for a specified period of time, not to exceed one (1) year;

(b) Suspension of the operator's certificate for a specified period of time, not to exceed one (1) year, during which the certificate shall be considered void;

(c) Temporary or permanent revocation of the operator's certification (temporary revocations shall not be less than one (1) year or more than four (4) years in duration); or

(d) Civil or criminal penalties against the operator.

(2) Initial review procedures. Written complaints received by the board or cabinet on a certified operator, unless duplicitous or frivolous, shall be reviewed at the next regularly scheduled board meeting. If the charges warrant further investigation, the certified operator may be advised to appear before the board to discuss the charges levied. Upon completion of the review, the board shall make a recommendation to the cabinet regarding the operator's certification status. The board may recommend that no action be taken, that the cabinet impose a sanction identified in subsection (1) of this section, or any other action.

(3) Cabinet action. The cabinet shall review the evidence presented and the board's recommendations. Upon completion of the review, the cabinet will initiate the recommended action or notify the board as to why an alternative action was taken. The certified operator and his employer shall be advised by certified mail of the action, the reasons outlined for the action, and the length of time for which the sanction shall apply. A certified operator whose certificate has been suspended or revoked shall not have primary responsibility for a wastewater system during the period that the disciplinary action remains in effect. If a certification is permanently revoked, the operator shall be ineligible for future certification as a wastewater system operator. Experience gained during a suspension or temporary or permanent revocation shall not be included toward meeting the requirements of Section 10 of this administrative regulation. An action taken by the cabinet pursuant to this section shall not preclude the cabinet from pursuing additional civil or criminal action.

(4) Sanction review and removal. During the operator's probation, suspension, or temporary revocation, the board and cabinet will monitor the operator's work activities. At the end of the sanction period, the board will recommend to the cabinet whether the sanction should be lifted or whether additional action is necessary against the certified operator.

(5) Appeal procedures. An operator who considers himself aggrieved by a disciplinary action may file a petition for hearing with the cabinet pursuant to KRS 224.10-420(2).

Section 8. Classification of Wastewater Systems. Wastewater systems shall be classified in one (1) of five (5) classes. These classifications shall be made according to population served, type of treatment process, character and volume of wastes to be treated, and the use and nature of the waters receiving the system effluent. Classifications I through IV shall be based on the population served or for which the system is designed, except that a system may be classified by the cabinet and board in a group lower or higher than indicated if the incorporation into the system of special features of design or characteristics makes the system easier or more difficult to operate than usual, or if conditions of flow or use of the receiving water require an unusually low or high degree of system operation control, or if combinations of these conditions or circumstances exist. In addition, a limited classification is available for operators of wastewater facilities owned by school systems. Classes I through IV are as follows:

(1) Class I: Systems with a design capacity of less than or equal to 50,000 gallons per day.

(2) Class II: Systems with a design capacity more than 50,000 gallons per day, but less than or equal to two (2) million gallons per day.

(3) Class III: Systems with a design capacity more than two (2) million gallons per day, but less than or equal to seven and one-half (7 1/2) million gallons per day.

(4) Class IV: Systems with a design capacity in excess of seven and one-half (7 1/2) million gallons per day.

Section 9. Classification of Wastewater System Operators. Five (5) classes of certified operators are hereby established and shall range from Class I through Class IV, plus limited. Each operator classification except for limited relates directly to the corresponding classification of wastewater system outlined in Section 8 of this administrative regulation.

Section 10. Certified Operator Qualifications: Experience, Education and Equivalencies. Applicants shall be examined by the cabinet as to education, experience, and knowledge as related to the classification of wastewater systems for which the application applies. Applicants shall pass the required written examination unless granted a waiver to take an oral examination in accordance with Section 4(2) of this administrative regulation.

(1) Classification of wastewater treatment plant operator certificates. Experience and educational requirements for certification of operators shall be as follows:

(a) Class I:

1. Completion of high school or general education development (GED) efficiency; and

2. One (1) year of acceptable operation of a wastewater system.

(b) Class II:

1. Completion of high school or GED efficiency; and

2. Two (2) years of acceptable operation of a wastewater system.

1. Completion of high school or GED efficiency; and

2. Three (3) years of acceptable operation of a wastewater system with one (1) year of that experience in a Class II or higher wastewater system.

(d) Class IV:

1. A baccalaureate degree in a standard curriculum in engineering, allied sciences or equivalent; and

2. At least five (5) years of acceptable operation of a wastewater system. Three (3) years of the required experience shall be in a Class III or higher wastewater system with at least two (2) years of primary responsibility for a Class III or higher system.

(e) Limited: An operator of a wastewater treatment facility for a school shall be entitled to apply for a limited certificate of competency for the particular facility operated. The certification shall only be issued if the operator has demonstrated to the cabinet that he has the knowledge and experience required to properly operate the specific wastewater facility.

(2) Substitutions In evaluating qualifications of operators and experience or educational equivalencies, substitutions may be allowed as follows:

(a) If applicable, experience may be substituted for a portion of the educational requirements:

1. Experience, to be acceptable, shall be the result of satisfactory accomplishment of work.

2. Partial credit may be given for operating experience in maintenance, laboratories or other work of wastewater systems and allied trades.

3. To establish how much experience will be accepted, the board shall determine whether the work performed required some technical knowledge and if the applicant was primarily responsible for the operation of the system. In wastewater systems where responsibility is divided, supervisors of important divisions may be credited with having primary responsibility.

4.a. One (1) year of board-approved experience may be considered equivalent to one (1) year of high school. Four (4) years of board-approved experience may be considered equivalent to a high school degree or a GED, subject to the approval of the board. Operators requesting this substitution shall submit a written request to the cabinet and may be requested to appear before the board.

b. Each year of experience in wastewater operations shall be equivalent to one (1) year of college. Four (4) years of experience approved by the board shall be considered equivalent to a baccalaureate degree.

c. Experience applied to educational requirements shall not be applied to the experience requirement.

(b) If applicable, education may be substituted for a portion of experience requirements as specified below:

1. One (1) year of college work (limited to curricula in environmental engineering, environmental technology or related scientific fields) may be considered as equivalent to one (1) year of experience.

2. Education substituted for experience shall not reduce the requirements of actual operating experience to less than six (6) months for Class I, less than one (1) year for Class II, less than two (2) years for Class III, or less than three (3) years for Class IV.

3. Education applied to the experience requirement shall not be applied to the education requirement.

(c) Substitutions for formal education may be as follows: Training credits for board approved operator training schools, seminars and technical courses may be substituted for high school and college requirements upon approval of the board. One (1) year of college work equals thirty (30) semester hours or forty-five (45) quarter hours. Six (6) classroom hours of board approved courses equals one (1) training credit, and forty-five (45) training credits equals eighteen (18) semester hours of college or one (1) year of high school. One (1) continuing education unit (CEU) shall equal ten (10) training credit hours. Training credits substituted for the education requirement shall not be used as continuing education for certificate renewal.

Section 11. Documents Incorporated by Reference for Wastewater System Certified Operators. The following documents are incorporated by reference and are available for public inspection and copying, subject to the copyright laws, between the hours of 8 a.m. and 4:30 p.m., Monday through Friday, at the Division of Water, 14 Reilly Road, Frankfort Office Park, Frankfort, Kentucky 40601:

(1) Drinking Water or Wastewater Operator Certification Application, Kentucky Division of Water, Frankfort, Kentucky, January 1992.

(2) Application for Certificate Renewal, Kentucky Division of Water, Frankfort, Kentucky, January 1992. (6 Ky.R. 329; Am. 560; eff. 5-7-80; 11 Ky.R. 1128; eff. 4-9-85; 14 Ky.R. 1289; eff. 2-8-88; 15 Ky.R. 285; 1007; eff. 10-26-88; 16 Ky.R. 603; 1193; eff. 1-9-90; 19 Ky.R. 415; 717; eff. 8-27-92.)