Task Delegation through written operating plans, the regulatory requirements and inherent responsibilities
Resources: - Division's delegation plan website with templates and examples On September 29, 2020, disciplinary action was taken against an operator in responsible charge (ORC), in part for their failure to have a written operating (delegation plan). This operator thought they had a perfectly fine delegation plan. They unsuccessfully argued that a generic, stand-alone standard operating procedure that they filed in the facility’s office met the requirements of a delegation plan as laid out in Regulation 100.12.6. It did not. A written operating (delegation) plan is a tool that an ORC can use to authorize certified or uncertified individuals at a facility to perform specific tasks or activities related to the operation of the system. Used correctly, it enables an ORC to meet the regulatory responsibility of supervision over the operation of the facility and over the operational activities and functions of other facility operators, without having to be on-site 24-7. This may translate into cost savings, especially for smaller systems that don’t need, and cannot afford, a full-time ORC. The written delegation plan also helps certified or uncertified operators understand the limits of their tasks and activities. That is, they know when they have to consult with the ORC. Only the ORC is authorized to make process control and system integrity decisions. To be effective, the following elements should be included in a delegation plan. - Name of the facility/system including the PWSID number or Permit number - Name of the ORC who is delegating the task or activity - Date range of delegation (operating plans must be reviewed, and if appropriate, updated annually) - Name and/or brief description of the task or activity - Person(s) or Position Title of the individual(s) being authorized to perform the task or activity at the system - Delegation limits identifying when the individual(s) must contact the ORC for further instructions - Date of training provided by the ORC to the individual(s) being authorized to perform the task or activity - If the task or activity isn’t already included in writing in the individual’s job description, the delegation plan should document the individual’s written acceptance of the delegated task or activity - Written standard operating procedures (SOPs) that provide detailed, step-by-step instructions for performing the task or activity. A blanket statement delegating all operational responsibilities to an on-site individual does NOT meet the minimum requirements in Regulation 100 for an operating plan because it does not identify specific tasks, nor does it identify the limits of each task. Delegation is a specific ORC responsibility. An ORC cannot authorize a system owner or anyone else to delegate tasks to subordinate personnel. An ORC cannot delegate any responsibilities that are reserved to the ORC, such as process control or system integrity decisions. An ORC is accountable for the consequences of tasks performed by individuals acting under a written operating plan. Therefore, it is necessary for the ORC to provide adequate training and to routinely verify that each individual to whom tasks are delegated is performing these tasks correctly. Written SOPs are a best practice to help ensure consistency of performance. Because the ORC has supervisory responsibility, the ORC needs to train the individual, verify the person’s understanding of the task, verify the individual knows where the written SOPs are kept and how to refer to them if memory fails and confirm the individual’s willingness to follow the instructions. If an individual trained by the ORC is unwilling or unable to perform in accordance with the ORC’s verbal and written instructions, the ORC needs to take back the delegated tasks or activities from that person. Then the ORC must perform the tasks personally or find another person to perform them. Regulation 100 states that “certified operators in responsible charge shall protect the public health and the environment in the conduct of their duties.” An ORC who allows untrained or inadequately trained individuals to continue performing tasks or activities incorrectly is not protecting the public health and the environment. An ORC who allows workers that won’t follow clear directions to continue performing delegated tasks or activities is not protecting the public health and the environment. The written delegation plan, when used correctly, is a great resource with benefits for the ORC, the other facility operators and system owners. When used correctly, it provides a lot of flexibility, while still protecting the people we serve. Let’s keep our Culture of Health in mind and take the time to delegate responsibly and effectively. ➽ Nancy Horan, Facility and Operator Outreach and Certification Board Liaison
