Background
In 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 by the board. Therefore, a division investigation needs 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
According to Guidance 16-1, 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 about the operator in question.
Considerations
When there is evidence of operator misconduct, the division, guided by Board Guidance 16-1, considers the following factors before deciding whether to resolve the issue informally or to recommend formal disciplinary action of the board:
- The gravity of the incident(s) at issue, including the level of risk posed to public health and the 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 approaches to address the behavior that resulted in misconduct and/or recommend training or coaching to improve the operator’s knowledge and skills. The issuance of an informal letter of reprimand does not close the investigation of possible misconduct. The investigation will remain open and confidential for up to three years. If there is evidence of repeat misconduct or escalation of misconduct during that time, the division will request that the board take formal disciplinary action against the operator. Informal division action does not affect an operator’s standing as a certified water professional.
Recommendation of Formal Disciplinary Action
Only the board has the authority to formally reprimand an operator or to formally suspend or revoke the operator’s certificate. However, the division does have the authority to immediately suspend or revoke an operator's certificate to protect public health in emergency situations, but then the board must confirm and formalize the division's action at a later date. The division requests formal board action for severe offenses, as well as repeat or escalated behavior. The board follows procedures detailed in 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 website for three years.
➽ Jessica Morgan, Facility and Operator Outreach and Certification Board Liaison
