Investigations of operator misconduct complaints
The Water and Wastewater Facility Operators Certification Board adopted revisions to Board Procedure 16-2, Operator Misconduct Investigation and Disciplinary Action Adjudicatory Hearing Procedures in April. The revisions provide additional guidance regarding Water Quality Control Division investigations of possible misconduct by water and wastewater facility operators. They also describe the division’s approach to escalating from a division informal reprimand to a division recommendation of formal disciplinary action by the board.
Background
In Board Guidance 16-1, the board established that it is neither practical nor desirable for all instances of operator misconduct to result in formal disciplinary action. A division investigation is needed to determine whether a violation of law or regulation occurred, and if so, whether the operator’s behavior rises to the level of formal disciplinary action.
Specific allegations
The revisions clarify that an investigation of operator misconduct is limited to the specific allegations against an operator. The division’s task is not to examine the operator under a microscope to see if any possible infraction might be found. Rather, the investigation must determine whether or not there is evidence to support the claim against the accused operator.
Considerations
When there is evidence of operator misconduct, the division considers the following factors before deciding whether to resolve the issue informally or recommend formal disciplinary action of the board:
- The gravity of the incident(s) at issue, including the level of risk posed to the public health and environment.
- The operator’s degree of control over the incident(s).
- The operator’s attitude during and after the incident(s), including the operator’s willingness to cooperate with the division during the investigation.
- The division also considers whether correction through training, instruction and/or coaching might be effective.
Informal Action
When a complaint can be resolved informally, the division notifies the operator, and possibly the operator’s supervisor, of the division’s findings through an informal letter of reprimand. The division may suggest alternatives to the questionable behavior or recommend training or coaching to improve the operator’s knowledge and skills. The investigation will remain open and confidential for up to three years. If there is evidence of a repeat or escalation of the behavior during that time, the division will request that the board take formal disciplinary action against the operator. Division informal action does not affect an operator’s standing.
Recommendation of formal disciplinary action
Only the board has the authority to formally reprimand an operator, or to suspend or revoke the operator’s certificate. The division requests formal board action for severe offenses, as well as repeat or escalated problematic behavior. The board follows procedures detailed in Board Procedure 16-2 when responding to a division request for formal board action. While division informal action is confidential, the board’s disciplinary action decisions (formal reprimand, certificate suspension or certificate revocation) are made in open meetings and are posted on the board’s webpage for three years.
