Resources:
- You can find more information on the delegation of duties, including guidance documents, templates, and examples, on the Operator Resources webpage or on CCWP’s website.
- If you have any questions about the delegation of duties, feel free to contact Jessica Morgan (cdphe.facilityoperator@state.co.us).
A written 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. When 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. Keep in mind that only the ORC is authorized to make process control and system integrity decisions!
What makes an effective 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 (delegation 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 (regardless, this is best practice)
- 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 for a delegation 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.
Keep in mind that an ORC is accountable for the consequences of tasks performed by individuals acting under a written delegation 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 the 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 then 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 public health and the environment. An ORC who allows workers who do not adequately adhere to the training and follow established SOPs to continue performing delegated tasks or activities is not protecting public health and the environment.
Division field and compliance staff are seeing an influx of inadequate delegation by ORCs, uncertified operators making process control and system integrity decisions, or even instances where the ORC is a so-called “paper operator.” These are operators who are designated as operators in responsible charge (ORCs) but fail to adequately supervise the operation of their facilities. They are ORCs on paper only, or “an operator in name only.” The Water and Wastewater Facility Operators Certification Board (board) has revoked operators’ certificates for posing risks to public health and the environment when, as the certified operator in responsible charge, they have been inadequately and/or inappropriately delegating essential ORC duties and/or failing to provide adequate supervision of a facility. In Colorado, this behavior is considered negligence; it constitutes operator misconduct that can result in loss of certification.
The bottom line is that the written delegation plan, when used correctly, is a great resource with benefits for the ORC, 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 mission in mind and take the time to delegate responsibly and effectively!
➽ Jessica Morgan, Liaison for the Water/Wastewater Operator Certification Board
