Tribal Drinking Water Operator Certification Program 

Office of Water (4606M) 

August 2009 

EPA 816-B-09-002 

www.epa.gov/safewater 
100. Objective..................................................................................................................... 2 

101. Authority..................................................................................................................... 2 

102. Administrative Functions............................................................................................ 3 

103. Definitions................................................................................................................... 3 

104. Application for Certification....................................................................................... 4 

105. Examinations............................................................................................................... 5 

106. Certificates.................................................................................................................. 6 

107. Experience and Education Requirements ................................................................... 8 

108. Continuing Education ............................................................................................... 10 

109. Training..................................................................................................................... 10 

110. Classification of Distribution Systems and Treatment Facilities.............................. 11 

111. Stakeholder Involvement .......................................................................................... 11 

100. Objective 

100.1 The purpose of the EPA Tribal Drinking Water Operator Certification 

Program is to increase public health protection through certification for 

personnel operating public drinking water systems in Indian country. 

101. Authority 

101.1 EPA is the Certifying Authority for the Certification Program. As such, 

EPA will issue all new and renewal certificates. EPA will also revoke 

certificates where appropriate. 

 

101.2. Although participation in this Certification Program is voluntary, EPA 

requires a Tribe to have, or agree to obtain within a certain time frame, a 

certified operator(s) for their public drinking water system(s) in order to 

secure funds in the Drinking Water Infrastructure Grant Tribal Set-Aside 

(DWIG TSA) program. Also, Federal drinking water regulations require 

some system operators to be “qualified.” Participation in the EPA Tribal 

Drinking Water Operator Certification program meets this requirement. 

Operators certified through this program will be listed by the Region on 

their “register” pursuant to the regulations (141.130(c)). 

101.3 When communicating with EPA regarding the EPA Tribal Drinking Water 

Operator Certification Program, operators should correspond with EPA 

Regional Tribal Coordinators specified in outreach materials for this 

program. 

101.4 EPA has the authority to establish a Tribal Operator Certification Program 

through its direct implementation authority set forth in Public Law No. 

105-65, 111 Stat.1334, 1374 (1997) and 42 U.S.C. 300j-2(a)(8). 

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102. Administrative Functions 

102.1 The administrative functions for this program include the following: 

o Processing applications submitted to the Program; 

o Administering examinations; and 

o Maintaining an accurate record of the certification status of all 

applicants and operators that have been certified by this Program. 

103. Definitions 

Certification Level: Any one of the possible steps within this water treatment or 

water distribution Certification Program. 

Certified Operator: A qualified operator of a public water system who holds a 

valid certification from any Certifying Authority approved by EPA. 

Certifying Authority: An organization that issues new certificates and renewal 

certificates, and revokes certificates as appropriate (USEPA). 

Community Water System (CWS): a public water system which serves at least 15 

service connections used by year-round residents or regularly serves at least 25 

year-round residents. 

Distribution System: Distribution pipelines, appurtenances, and facilities, which 

carry water for potable use to consumers through a public water supply. 

Distribution System Complexity: Conditions or characteristics that exist in a 

distribution system, such as: pressure zones, booster stations, storage tanks, fire 

protection, chlorination, non-residential consumer, cross connection potential 

demand variations, size of pipes, total distance of pipes and/or total geographic 

area that must be considered when classifying the distribution system. 

Indian Country: Indian country means (a) all land within the limits of any Indian 

reservation under the jurisdiction of the United States Government, 

notwithstanding the issuance of any patent, and including rights-of-way running 

through the reservation, (b) all dependent Indian communities within the borders 

of the United States, whether within the original or subsequently acquired 

territory thereof, and whether within or without the limits of a state, and (c) all 

Indian allotments, the Indian titles to which have not been extinguished, including 

rights-of-way running through the same. 

Non-transient Non-community Water System (NTNCWS): a public water system 

that is not a community water system and regularly serves at least 25 of the same 

persons over 6 months per year. Common types of NTNC water systems are those 

serving schools, day care centers, factories, nursing homes, casinos, and hospitals. 

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Operator: A person who operates, repairs, maintains, and is directly employed by 

or is an appointed volunteer for a public drinking water system. 

Public Water System: A system for the provision to the public of water for human 

consumption through pipes or other constructed conveyances, if such system has 

at least 15 service connections or regularly serves an average of at least 25 

individuals daily at least 60 days out of the year. System includes any collection, 

treatment, storage, and distribution facilities under control of the operator of such 

system and used primarily in connection with such system; and any collection or 

pretreatment storage facilities not under such control that are used primarily in 

connection with such system. 

Source Water: The source of water that is collected for use in a public drinking 

water system. Examples include: type (surface water, groundwater, groundwater 

under the influence of surface water, purchased water); quality (variability); 

and/or protection (wellhead protection). 

Treatment Facility: Any place(s) where a community or non-community water 

system alters the physical or chemical characteristics of the drinking water. 

Treatment Facility (Complexity): Factors that may impact a Treatment Facility’s 

ability to control water quality, consumer safety and/or the safety of the operator. 

Validated Examination: An examination that is independently reviewed by 

subject matter experts to ensure it is based on a job analysis and related to the 

classification of the system or facility. 

104. Application for Certification 

104.1 An operator requesting certification must meet the following 

requirements. 

104.1.1 Take and pass an examination that demonstrates the applicant 

has the necessary skills, knowledge, ability, and judgment 

relevant to and appropriate for the classification of the public 

drinking water system. 

104.1.2 Have a high school diploma or a general equivalency diploma 

(GED) or complete the Operator In Training (OIT) Program as 

described in Part 107. 

104.1.3 Have the defined minimum amount of experience and 

education for each level of certification, or complete the OIT 

Program. Education and experience requirements for each level 

of certification are outlined in Part 107. 

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104.1.4 Be an employee or an appointed volunteer of a public drinking 

water system in Indian country. 

104.2 Required documentation showing the applicant meets the minimum 

certification, education and experience criteria must accompany the 

application. 

104.3 Evaluation and Verification of Applicant Qualifications 

104.3.1. EPA will make final determinations of exam eligibility. 

104.3.2. Evaluation of experience will include reports of supervisors or 

other agencies having appropriate responsibilities for water 

utility system oversight. 

104.4. EPA will notify the applicant of exam eligibility status. Any appeals 

regarding exam eligibility status will be handled by EPA Regional Tribal 

Coordinators. 

105. Examinations 

105.1 Certification examinations are prepared for use in determining skill, 

knowledge, ability, and judgment of the applicants. 

105.2 All examination questions shall be validated. 

105.3 Sequential examinations are required; that is, an applicant for a Level 2 

certification must have taken and passed the Level 1 examination; an 

applicant for a Level 3 certification must have taken and passed the Level 

2 examination; and, an applicant for the Level 4 certification must have 

taken and passed the Level 3 examination. 

105.4 Operators who have been approved for examination have six months from 

the date of eligibility approval to schedule the exam. 

105.5 Any applicant taking the examination is required to provide adequate 

identification prior to receiving the examination packet. Before leaving the 

testing session the applicant must return all examinations and related 

materials. 

 

105.6 In order to receive a certificate, the applicant must achieve a minimum 

examination passing score of 70%. 

105.7 Applicants will receive a score report at the completion of the exam. 

Applicants who pass the exam will receive their certificate by mail. 

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105.8 Applicants who did not pass may retake the exam within six months of the 

original test date, but no sooner than 30 days after the original test date. 

Applicants who do not pass the retake exam must submit a new 

application form. 

105.9 Examinations are not available for review. EPA will provide applicants 

the opportunity to appeal his/her exam score. All appeals must be in 

writing and must be made within 30 days of the date of the examination. 

105.10 Accommodations will be made for applicants that require special 

accommodation due to a disability that may impair ability to take the 

examination. Applicants must submit a Request for Accommodation 

Form with the application and provide documentation of the need for a 

special accommodation. A letter from a physician or a medical specialist 

knowledgeable of your disability must accompany the completed 

application. Contact the EPA Regional Tribal Coordinator to request a 

copy of the Request for Accommodation Form. 

106. Certificates 

106.1. Issuance 

106.1.1. Certificates will be issued independently for water 

treatment and water distribution. 

106.1.2. Upon satisfactory fulfillment of all certification 

requirements, the EPA will provide the applicant a 

certificate by designating the applicant's competency. 

106.1.3. The certificate will state the certified operator's name, 

certification level, date of issue, expiration date, and the 

official certificate number. 

106.1.4. Subject to 106.1.5 and 106.1.6, Certificates will be issued 

for a three-year period. 

106.1.5. Certificates will be valid only so long as the holder uses 

reasonable care, judgment, and application of knowledge in 

the performance of duties. 

106.1.6. No certificate will be valid if obtained or renewed through 

fraud, deceit, or the submission of inaccurate qualification 

data. 

106.1.7. No grandfathered or temporary certificates will be issued. 

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106.2. Expiration and Renewal 

106.2.1 All certificates must be renewed before expiration. 

106.2.2 To renew a certificate, the certified operator must have 

been actively working in the area of certification and 

completed at least 30 continuing education hours during the 

previous three-year period. 

106.2.3 EPA may send a notice of renewal to the operator prior to 

the expiration date of the certificate. 

106.2.4 Renewal applications must be returned and accompanied 

by documentation for continuing education hours. 

106.2.5 Lapsed certificates may be reinstated within 30 days of the 

date of expiration. After 30 days, the operator will no 

longer be certified. 

106.2.6. If a certified operator terminates current employment or is 

no longer an appointed volunteer in a public drinking water 

system in Indian country, the certification will remain valid 

for 180 days, or until the expiration date on the certificate, 

whichever is longer. 

106.2.7. If renewal of a certificate is denied, the operator may 

appeal the decision by making a written request to appeal to 

the EPA within 90 days after the EPA has issued the 

decision for renewal. 

106.3. Revocation 

106.3.1. EPA will revoke the certificate of a certified operator if it is found that 

the certified operator has: 

• Practiced fraud or deception; 

• Performed in a grossly negligent, incompetent manner; 

• Has committed misconduct in the performance of duties as an 

operator of a public water system; and/or 

• Demonstrated disregard for the health and safety of the public 

• Been convicted of a violation of any Federal law relating to water 

quality; including, but not limited to, the Safe Drinking Water Act. 

106.3.2. EPA will provide a certificate holder with an opportunity to appeal the 

revocation of a certificate. A written request to appeal must be made to 

the EPA within 30 days after the EPA has issued the decision. 

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106.3.3. Upon receipt of any appeal, EPA will convene a special meeting at a 

date mutually agreeable to all parties. The requestor will present 

his/her appeal to the EPA, either personally or in written form. EPA 

will consider the appeal and reach a determination. 

106.4. EPA will recognize certification from EPA approved certification 

providers under this program and certification provided by any approved 

State program for purposes of meeting the Drinking Water Infrastructure 

Grant Tribal Set Aside requirement for a certified operator. The EPA 

Tribal Drinking Water Operator Certification Program will extend 

reciprocity to any operators already certified by a State with an approved 

operator certification program and on a case by case basis to operators 

already certified by other EPA approved providers pre-dating this 

program. 

107. Experience and Education Requirements 

107.1. Experience and education requirements are the same for water distribution 

certification and water treatment certification. The same experience and 

education can be used to meet the requirements for both the water 

distribution and water treatment certification. 

107.2. The education and experience requirements for operators are: 

107.2.1 Operator In Training (OIT) 

• An operator who does not meet the education and/or experience 

criteria may apply for OIT certification and must take and pass 

an exam at the appropriate certification level. This option is only 

available for VSWS and Class I levels. 

• Operators who hold an OIT certification must complete a basic 

operator course and fulfill the renewal continuing education 

requirements to receive full certification at the time of renewal 

after three years. Examples of basic operator courses include: 

- Water Treatment Plant Operation, Level 1, offered by 

Sacramento State; 

- Small Water System Operations and Maintenance, offered by 

Sacramento State; 

- Operator Basics, offered by Montana University Water 

System Program on-line or on CD-ROM; 

- General Module and Water Distribution - Level One, offered 

by the Inter-Tribal Council of Arizona; 

- Other training courses pre-approved by EPA. 

• Operators that have completed the OIT program are eligible for 

higher certification levels when they complete the experience 

and renewal hours for each level. 

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107.2.2. Very Small Water System 

• Work Experience: six months of operations experience. 

• Education: High school diploma or GED. 

• Water Training Requirements: Five (5) hours of approved 

Continuing Education Hours in topics relevant or specific to 

water utility operations. 

107.2.3 Level 1 

• Work Experience: One (1) year of acceptable operating 

experience as defined in these guidelines. (Education cannot be 

substituted for experience.) 

• Education: High school diploma or GED. 

• Water Training Requirements: Ten (10) hours of approved 

Continuing Education Hours in topics relevant or specific to 

water utility operations. 

107.2.4. Level 2 

• Work Experience: Two (2) years of acceptable operating 

experience. 

• Education: High school diploma, GED, or completion of OIT. 

• Water Training Requirements: Thirty (30) approved Continuing 

Education Hours in topics relevant or specific to water utility 

operations. 

107.2.5. Level 3 

• Work Experience: Five (5) years of acceptable operating 

experience. 

• Education: High school diploma , GED, or completion of OIT; 

and 1 year of post high school education or the equivalent in 

approved training as defined in Part 108. 

• Water Training Requirements: Fifty (50) approved Continuing 

Education Hours in topics relevant or specific to water utility 

operations. 

107.2.6. Level 4 

• Work Experience: Six (6) years of acceptable operating 

experience, of which at least 11⁄2 years must have occurred after 

obtaining a Level 3 Certificate. 

• Education: High school diploma or GED and 2 years of post high 

school education or the equivalent in approved training as 

defined in Part 108. 

• Water Training Requirements: Eighty (80) approved Continuing 

Education Hours in topics specific or relevant to water utility 

operations. 

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107.3 Experience and education qualifications are based on the years of 

experience that the applicant has completed in association with the duties 

of the Certification Level for which the application is made. 

107.4 Experience is defined as work performed in the operation, maintenance, 

monitoring, analysis, or management of water production, treatment, 

storage, distribution, laboratory facilities, or other positions in the water 

utility field. 

107.5 Continuing Education Hours (CEH) used for fulfilling examination 

requirements may not be reused for a higher certification level (e.g., 30 

CEH used to qualify for level 2 cannot be counted towards 50 CEH to 

qualify for level 3). However, CEH taken for renewal can be used to 

qualify for the next level. CEH also can be used to meet both distribution 

and treatment certification requirements. 

108. Continuing Education 

108.1 Continuing Education Hours (CEH) must be either acceptable as college 

transfer or directly related to the field of water treatment or water 

distribution. For education gained in programs such as short schools, 

correspondence courses, trade schools, community colleges, formalized 

workshops, seminars, etc., credit will be allowed in accordance with the 

following schedule at the discretion of the Certification Administrator. 

1 Continuing Education Unit (CEU) = 10 Continuing Education Hours 

1 Semester Hour = 10 Continuing Education Hours 

30 Semester Hours (1 year of 

college) = 300 Continuing Education Hours 

109. Training 

109.1 Continuing Education Hours must be acquired from the subject areas 

listed in Appendix 1 and must be conducted by a recognized provider such 

as EPA, American Water Works Association (AWWA), Rural Community 

Assistance Corporation (RCAC), Rural Water Association (RWA), New 

Mexico Environmental Finance Center (NMEFC), etc. Contact hours for 

renewal may not all be in the same subject area and operators are 

encouraged to seek training from a variety of providers. 

109.2 A list of training opportunities is available at 

http://www.epa.gov/safewater/tribal/training.html

109.3 It is the responsibility of the operator to obtain documentation of contact 

hours. 

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109.4 Operators should verify in advance with the EPA Regional Tribal 

Coordinator if a specific training course will count towards required 

renewal contact hours. 

 

109.5 All in-house or in-plant training which is intended to meet any part of the 

credit hour requirements must be approved in writing by the EPA 

Regional Tribal Coordinator prior to the training. Criteria for approval 

include: 

• Submittal of an instructor resume; 

• Submittal of an outline of the subjects to be covered along with 

the time allocated to each area; and 

• A list of the instructor's objectives documenting the essential 

points of the instruction ("need to know" information) and the 

methods used to illustrate these points. 

110. Classification of Distribution Systems and Treatment Facilities 

110.1. In order to determine the appropriate level of certification for a water 

system operator, EPA will classify all water systems in Indian country. 

110.2. Water distribution systems shall be classified according to the 

classification system as defined in Appendix 2. 

110.3. Water treatment facilities shall be classified according to the point 

classification system as defined in Appendix 3. 

111. Stakeholder Involvement 

111.1 EPA will provide ongoing stakeholder involvement in the Certification 

Program. 

111.2 Representatives from all Tribes are invited to give input on the 

Certification Program at any time. 

111.3 EPA will initiate review of the Certification Program as appropriate based 

upon comments received. 

Appendix 1: Continuing Education Hour Topic List 

Appendix 2: Water Distribution Systems Point Rating System 

Appendix 3: Water Treatment Plant Point Rating System 

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Appendix 1: Continuing Education Hour Topic List 

WATER TREATMENT CONTINUING EDUCATION TOPICS 

Continuing Education Topics 

Water Approved 

(Yes/No) 

General 

Basic Computers Yes 

Basic Electricity for Operators Yes 

Basic Hydraulics Yes 

Geographic Info Systems (GIS) No 

Math for Operators Yes 

Water Chemistry Yes 

Water Microbiology Yes 

Safety 

Backhoe Operator No 

Chlorine Safety Yes 

Confined Space Yes 

Electrical Hazards Yes 

Excavations, Trenching/Shoring/ Competent Person No 

Hazard Communication/Right-to-Know Yes 

Lab Safety Yes 

Lockout/Tagout Yes 

Personal Protective Equipment / Respiratory Protection Yes 

Safe Handling of Materials Yes 

Spill Response Yes 

Traffic Control/Work Zone Safety No 

Water & Blood-borne Pathogens Yes 

O & M Equipment 

Aeration Equipment Yes 

Belt Filter presses Yes 

Blowers and Compressors Yes 

Booster Pumping Stations Yes 

Centrifuges Yes 

Chemical Storage/Feed Systems Yes 

Cross Connection/Backflow Prevention Equipment Yes 

Electrical controls/SCADA Yes 

Flow Monitoring & Level Sensing Equipment Yes 

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Continuing Education Topics Water Approved 

(Yes/No) 

Generators/Switchgear Yes 

Hydraulic and Pneumatic Equipment Yes 

Instrumentation Yes 

Leak Detection No 

Cathodic Protection No 

Mechanical Process Equipment Yes 

Mixers Yes 

Motor Control Centers Yes 

Motors/Engines/Drives Yes 

Pipe, Valves, Fittings Yes 

Programmable Logic Controllers Yes 

Pumping/Lift Stations Yes 

Pumps Yes 

Stand-by/Aux/Support Equip Yes 

Variable Freq Drives Yes 

Water Treatment Process/ Quality Control 

Adsorption Processes Yes 

Aeration Yes 

Algae Control Yes 

Aquifer Storage & Recovery Yes 

Arsenic Removal Yes 

Bacteriological Sampling Procedures Yes 

Basic Knowledge of Groundwater Treatment Yes 

Basic Knowledge of Water Treatment Yes 

Cation Exchange Softening Yes 

Chemical Precipitation Softening Yes 

Chemical Storage & Handling Yes 

Chemical Treatment Yes 

Coagulation & Flocculation Yes 

Corrosion Control Yes 

Cross-Connection/ Backflow Yes 

Disinfecting Water Storage Vessels Yes 

Drinking Water Disinfection Yes 

Drinking Water Standards & Rules Yes 

Filtration Yes 

Flow Measurement: Open Channel & Pipe Yes 

Fluoridation Yes 

Groundwater Basics/Aquifers Yes 

Intake Structures Yes 

Iron & Manganese Removal Yes 

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Jar Testing Yes 

Continuing Education Topics Water Approved 

(Yes/No) 

Membrane Processes: Filtration Modes Yes 

Metering Yes 

Nitrate Removal Yes 

Oxidation Yes 

Pesticide & Herbicide Reduction Yes 

Plant & Distribution Storage Yes 

Point of Use/Point of Entry Devices No 

Process Optimization & Upgrade Yes 

Residuals Disposal Yes 

Sampling & Lab Analysis Yes 

Sedimentation/Clarification Yes 

Surface Water Treatment Yes 

Taste & Odor Control Yes 

Water Source Treatment & Characteristics Yes 

Well Maintenance & Rehab Yes 

Well Operation (yield, drawdown) Yes 

Zebra Mussel Control Yes 

Distribution Process/ Quality Control 

Aquifer Storage & Recovery Yes 

Chlorination Yes 

Corrosion Control Yes 

Cross-Connection/ Backflow Yes 

Dechlorination Yes 

Distribution Systems Yes 

Drinking Water Standards Yes 

Fire Flow Testing No 

Flushing, Pigging, and Swabbing No 

Groundwater Basics/Aquifers Yes 

Hydrants, Valves, Exercising Programs No 

Leak Detection/Water Audits No 

Mapping, Locating, Tracer Wire No 

Metering Yes 

New Main & Repair Disinfection No 

Sampling & Lab Analysis Yes 

Service Line & Curb Box Maintenance No 

Service Line Thawing No 

Storage Yes 

Trenchless Construction: Pipe Bursting No 

Water Source Characteristics Yes 

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Well Maintenance Rehabilitation Yes 

Well Operation (yield, drawdown) Yes 

Continuing Education Topics Water Approved 

(Yes/No) 

Wellhead/Source Water Protection Yes 

Administration/ Management 

Capacity, Management, Operation & Maintenance for 

Separate Systems 

Yes 

Compliance Yes 

Construction Inspection/ Documentation/ Design Build No 

Community/Public Relations/Complaint Response Yes 

Design Manual Development No 

Emergency Response Planning & Security Training Yes 

Energy Efficiency/ Energy Conservation at W/WW Facilities Yes 

Federal & State Financing Programs Yes 

Finance, Budget, Rate Setting Yes 

Health and Safety Program Implementation Yes 

Legal Issues for W/WW Utilities Yes 

Records and Reports: Monitoring/Reporting/Records 

Management 

Yes 

Planning/Organization/Project Management Yes 

Plant Optimization: Contin Process 

Improve/Sustainability/Asset Management/Statistical Process 

Control Techniques 

Yes 

Private Property Issues/Service Laterals No 

Problem Solving/Troubleshooting/Decision Making Yes 

Regs (CWA/SDWA, State & Local such as Operator 

Certification Requirements), NPDES Permit Requirements 

Yes 

Right-of-Way Management/Maintenance No 

Risk Management Yes 

Sanitary Surveys/plant/system inspections Yes 

Sewer Use Ordinances and Moratoriums No 

SSO/CSO Reduction/Elimination (Sanitary Sewer Overflow/ 

Combined Sewer Overflow) 

No 

Supervision and Personnel Management / Communication 

Skills 

Yes 

Surface Water/Groundwater/Watershed Protection Yes 

Training/Teaching Skills No 

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Water Conservation Yes 

WATER DISTRIBUTION CONTINUING EDUCATION TOPICS

Continuing Education Topics Distribution Approved 

(Yes/No) 

General 

Basic Computers Yes

Basic Electricity for Operators Yes

Basic Hydraulics Yes

Geographic Info Systems (GIS) Yes

Math for Operators Yes

Water Chemistry Yes

Water Microbiology Yes

Safety 

Backhoe Operator Yes

Chlorine Safety Yes

Confined Space Yes

Electrical Hazards Yes

Excavations, Trenching/Shoring/ Competent Person Yes

Hazard Communication/Right-to-Know Yes

Lab Safety No

Lockout/Tagout Yes

Personal Protective Equipment / Respiratory Protection Yes

Safe Handling of Materials Yes

Spill Response No

Traffic Control/Work Zone Safety Yes

Water & Blood-borne Pathogens Yes

O & M Equipment 

Aeration Equipment No

Belt Filter presses No

Blowers and Compressors Yes

Booster Pumping Stations Yes

Centrifuges No

Chemical Storage/Feed Systems Yes

Cross Connection/Backflow Prevention Equipment Yes 

Electrical controls/SCADA Yes

Flow Monitoring & Level Sensing Equipment Yes

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Generators/Switchgear Yes 

Hydraulic and Pneumatic Equipment Yes

Continuing Education Topics Distribution Approved 

(Yes/No) 

Instrumentation Yes

Leak Detection Yes

Cathodic Protection Yes

Mechanical Process Equipment No

Motor Control Centers Yes

Motors/Engines/Drives Yes 

Pipe, Valves, Fittings Yes

Programmable Logic Controllers Yes

Pumping/Lift Stations Yes

Pumps Yes 

Stand-by/Aux/Support Equip Yes

Variable Freq Drives Yes

Water Treatment Process/ Quality Control 

Adsorption Processes No

Aeration No

Algae Control No

Aquifer Storage & Recovery No

Arsenic Removal No

Bacteriological Sampling Procedures Yes

Basic Knowledge of Groundwater Treatment Yes

Basic Knowledge of Water Treatment Yes

Cation Exchange Softening No

Chemical Precipitation Softening No

Chemical Storage & Handling Yes

Chemical Treatment Yes

Coagulation & Flocculation No

Corrosion Control Yes

Cross-Connection/ Backflow Yes 

Disinfecting Water Storage Vessels Yes

Drinking Water Disinfection Yes

Drinking Water Standards & Rules Yes

Filtration No

Flow Measurement: Open Channel & Pipe Yes

Fluoridation No

Groundwater Basics/Aquifers Yes

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Intake Structures No

Iron & Manganese Removal No

Jar Testing No

Membrane Processes: Filtration Modes No

Continuing Education Topics Distribution Approved 

(Yes/No) 

Metering Yes

Nitrate Removal No

Oxidation No

Pesticide & Herbicide Reduction No

Plant & Distribution Storage Yes

Point of Use/Point of Entry Devices Yes

Process Optimization & Upgrade No

Residuals Disposal No

Sampling & Lab Analysis Yes

Sedimentation/Clarification No

Surface Water Treatment Yes

Taste & Odor Control Yes

Water Source Treatment & Characteristics Yes

Well Maintenance & Rehab Yes

Well Operation (yield, drawdown) Yes

Zebra Mussel Control No

Distribution Process/Quality Control 

Aquifer Storage & Recovery No

Chlorination Yes

Corrosion Control Yes

Cross-Connection/ Backflow Yes

Dechlorination Yes

Distribution Systems Yes

Drinking Water Standards Yes

Fire Flow Testing Yes

Flushing, Pigging, and Swabbing Yes

Groundwater Basics/Aquifers Yes

Hydrants, Valves, Exercising Programs Yes

Leak Detection/Water Audits Yes

Mapping, Locating, Tracer Wire Yes

Metering Yes

New Main & Repair Disinfection Yes

Sampling & Lab Analysis Yes

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Service Line & Curb Box Maintenance Yes

Service Line Thawing Yes

Storage Yes

Trenchless Construction: Pipe Bursting Yes

Water Source Characteristics Yes

Well Maintenance Rehabilitation Yes

Continuing Education Topics Distribution Approved 

(Yes/No) 

Well Operation (yield, drawdown) Yes

Wellhead/Source Water Protection Yes

Administration/ Management 

Capacity, Management, Operation & Maintenance for Separate 

Systems 

Yes

Compliance Yes

Construction Inspection/ Documentation/ Design Build Yes 

Community/Public Relations/Complaint Response Yes 

Design Manual Development No

Emergency Response Planning & Security Training Yes

Energy Efficiency/ Energy Conservation at W/WW Facilities Yes

Federal & State Financing Programs Yes

Finance, Budget, Rate Setting Yes

Health and Safety Program Implementation Yes

Legal Issues for W/WW Utilities Yes

Records and Reports: Monitoring/Reporting/Records 

Management 

Yes

Planning/Organization/Project Management Yes

Plant Optimization: Contin Process 

Improve/Sustainability/Asset Management/Statistical Process 

Control Techniques 

No

Private Property Issues/Service Laterals Yes

Problem Solving/Troubleshooting/Decision Making Yes

Regs (CWA/SDWA, State & Local such as Operator 

Certification Requirements), NPDES Permit Requirements 

Yes

Right-of-Way Management/Maintenance Yes

Risk Management No

Sanitary Surveys/plant/system inspections Yes

Sewer Use Ordinances and Moratoriums No

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SSO/CSO Reduction/Elimination (Sanitary Sewer Overflow/ 

Combined Sewer Overflow) 

No

Supervision and Personnel Management/ Communication 

Skills 

Yes

Surface Water/Groundwater/Watershed Protection Yes

Training/Teaching Skills No

Water Conservation Yes 

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Appendix 2: 

Water Distribution Systems Point Rating System

EPA will classify distribution systems according to population served and system characteristics. 

EPA Regions may increase classification based on other system characteristics. 

System Characteristics Check all that apply System Level 

Population = 3,300 or less Level I 

Distribution storage Level I 

Hypochlorination Level I 

Population=3,301 to 10,000 Level II 

Gaseous and other chlorine disinfectant Level II 

Pressure zones greater than 5 Level II 

Recycled water distribution Level II 

System is blending sources to meet MCL Level II 

Population > 10,000 Level III 

Distribution system complexity1 Level II-IV 

1

Distribution system complexity=Conditions or characteristics that exist in a 

distribution system, such as: pressure zones, booster stations, storage tanks, fire 

protection, chlorination, non-residential consumer, cross connection potential 

demand variations, size of pipes, total distance of pipes and/or total geographic area 

that must be considered when classifying the distribution system. 

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Appendix 3: 

Water Treatment Plant Point Rating System 

Item Points 

Possible 

Size 

Design flow average day, or peak month's average day, whichever is larger (1 point per 

0.5 MGD. Round up.) Design flow: Consider this to be the design capacity of the plant. 1 - 20 

Examples: 9.2 MGD = 19 points 4.7 MGD = 10 points (20 points maximum allowed) 

Water Supply Sources (Rating based on public health significance) 

Seawater/saltwater 0 

Groundwater 0 

Groundwater under direct influence of surface water (GWI) 8 

Surface water 10 

Average Raw Water Quality Variation - Applies to all sources (surface and groundwater). 

Key is the effect on treatment process changes that would be necessary to achieve 

optimized performance. 

• Little or no variation – no treatment provided except disinfection (0 points) 

• Minor variation - e.g. "high quality" surface source appropriate for slow sand filtration 

(1 point) 

• Moderate variation in chemical feed, dosage changes made: monthly (2 points), 

weekly (3 points), or daily (4 points) 0 - 10 

• Variation significant enough to require pronounced and/or very frequent changes 

(5 points) 

• Severe variation - source subject to non-point discharges, agricultural/urban storm 

runoff, flooding (7 points) 

• Raw water quality subject to agricultural or municipal waste point source discharges 

(8 points) 

• Raw water quality subject to industrial waste pollution (10 points) 

Raw water quality is subject to: 

• Taste and/or odor for which treatment process adjustments are routinely made 1 2 

• Color > 15 CU (not due to precipitated metals) - see exceptions in Note 1 at end of table 1 3 

• Iron or/and manganese > MCL: Fe (2 points), Mn (3 points) (3 points maximum allowed) -

see exceptions in Note 1 at end of table 1 2 - 3 

• Algal growths for which treatment process adjustments are routinely made 1 3 

Chemical Treatment/Addition Processes 

Fluoridation 4 

Disinfection/Oxidation (Note: Points are additive to a maximum of 15 points 

allowed for this category.) 

CHECK 5 ALL THAT APPLY: 

• Chlorination: 

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• Hypochlorites (5 points)  

• If generated on site (add 1 point)  

• Chlorine gas (8 points)  0 - 15 

• Chloramination (10 points)  

• Chlorine dioxide (10 points)  

• Ozonation (10 points)  

• UV Irradiation (2 points)  

• Iodine, Peroxide, or similar (5 points)  

• Potassium permanganate (4 points)  (If used with greensand filtration do not 

give 4 points) 

pH adjustment for process control (e.g. pH adjustment aids coagulation) 4 

Stability or Corrosion Control (If the same chemical is used for both Corrosion 

Control and pH adjustment, count points only once) 4 

Coagulation/Flocculation & Filter Aid 

Primary coagulant addition 6 

Coagulant aid / Flocculant chemical addition (in addition to primary coagulant use) 2 

Flocculation 2 

Filter aid addition (Non-ionic/anionic polymers) 2 

Clarification/Sedimentation 

Sedimentation (plain, tube, plate) 4 

Contact adsorption 6 

Other clarification processes (air flotation, ballasted clarification, etc.) 6 

Upflow clarification ("sludge blanket clarifier") 2 8 

Filtration 

Granular media filtration (Surface water/GWI) ≤ 3 gpm/sq ft 10 

Granular media filtration (Surface water/GWI) > 3 gpm/sq ft 20 

Groundwater filtration 6 

Membrane filtration 

• For compliance with a primary regulation (10 points) 6-10 

• For compliance with a secondary regulation (6 points) 

Diatomaceous earth (pre-coat filtration) 10 

Cartridge/bag 5 

Pre-filtration (staged cartridges, pressure sand w/o coagulation, etc.): add one point 

per stage to maximum of 3 points 1 - 3 

Slow sand 5 

Other Treatment Processes 

Aeration 3 

Air stripping (including diffused air, packed tower aeration) 5 

Ion-exchange/softening 5 

Greensand filtration 10 

Lime-soda ash softening (includes: chemical addition, mixing/flocculation/ 

clarification/filtration - do not add points for these processes separately) 20 

Granular activated carbon filter (do not assign points when included as a bed layer 

in another filter) 5 

Powdered activated carbon 2 

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Blending sources with significantly different water quality 

• To achieve MCL compliance (4 points) 2-4 

• For aesthetic reasons (2 points) 

Reservoir management employing chemical addition 2 

Electrodialysis 15 

Other: Certification authority may assign 2 to 15 additional points for processes 

not listed elsewhere in this document. 2 - 15 

(Specify: ) 

Residuals Disposal 

• Discharge to surface, sewer, or equivalent ( 0 points) • On-site disposal, land 

application (1 point) • Discharge to lagoon/drying bed, with no recovery/recycling – 

e.g. downstream outfall (1 point) • Backwash recovery/recycling: discharge to basin 

or lagoon and then to source (2 points) • Backwash recovery/recycling: discharge to 

basin or lagoon and then to plant intake (3 points) 

0 - 3 

Facility Characteristics 

Instrumentation - Use of SCADA or similar instrumentation systems to provide 

data, with: 

• Monitoring/alarm only, no process operation - plant has no automated 

shutdown capability (0 points) 

• Limited process operation - e.g. remote shutdown capability (1 point) 0 - 4 

• Moderate process operation - alarms and shutdown, plus partial remote operation 

of plant (2 points) 

• Extensive or total process operation - alarms and shutdown, full remote operation 

of plant possible (4 points) 

Raw water quality is subject to: 

. • Taste and/or odor for which treatment process adjustments are routinely made (2 points): 

1) T&O issue has been identified in a pre-design report, etc., 2) a process has been installed to address, 

and 3) operational control adjustments are made at least seasonally. Do not give points for T&O when there 

is no specific additional impact on operation. E.g. if a system is already pre-chlorinating for disinfection, give 

no points for T&O. 

. • Color > 15 CU (not due to precipitated metals) (3 points) with following exceptions. 

Color will be considered elevated and points assigned when levels exceed 75 Color Units (CU) for 

conventional filtration, 40 CU for direct filtration, or 15 CU for all other technologies, except reverse osmosis 

(no points given for color for reverse osmosis). 

. • Iron and/or manganese > MCL: Fe (2 points), Mn (3 points) (3 points maximum allowed) 

with following exceptions. Iron and manganese levels will be considered elevated and points assigned if 

they are greater than the MCL, except for applications of manganese greensand filters. For applications of 

manganese greensand filters, iron and manganese levels will be considered elevated when their combined 

level exceeds 1.0 mg/L (3 points allowed). 

. • Algal growths for which treatment process adjustments are routinely made (3 points): Raw 

water will be considered subject to algae growths when treatment processes are specifically adjusted due to 

the presence of high levels of algae on at least a weekly basis for at least two months each year. 

2 Upflow clarification ("sludge blanket clarifier") – 8 points – Also known as sludge blanket 

clarification. Includes such proprietary units as Super-Pulsator. These units include processes for 

flocculation and sedimentation. Important note: these are not the same as adsorption clarifiers. 

 
Water Treatment Definitions 

Definitions reprinted from "Master Glossary of Water and Wastewater Terms," 

[http://www.owp.csus.edu/glossary/glossary.php], with permission from Office of Water 

Programs, California State University, Sacramento. 

Adsorption 

The gathering of a gas, liquid, or dissolved substance on the surface or interface zone of 

another material. 

Aeration 

The process of adding air to water. Air can be added to water by passing air through water or 

passing water through air. 

Air stripping 

A treatment process used to remove dissolved gases and volatile substances from water. Large 

volumes of air are bubbled through the water being treated to remove (strip out) the dissolved 

gases and volatile substances. 

Chloramination 

The application of chlorine and ammonia to water to form chloramines for the purpose of 

disinfection. 

Diatomaceous earth 

A fine, siliceous (made of silica) "earth" composed mainly of the skeletal remains of diatoms. 

Direct filtration 

A method of treating water which consists of the addition of coagulant chemicals, flash 

mixing, coagulation, minimal flocculation, and filtration. The flocculation facilities may be 

omitted, but the physical-chemical reactions will occur to some extent. The sedimentation 

process is omitted. 

Electrodialysis 

The selective separation of dissolved solids on the basis of electrical charge, by diffusion 

through a semipermeable membrane across which an electrical potential is imposed. 

Reverse osmosis 

The application of pressure to a concentrated solution which causes the passage of a liquid from 

the concentrated solution to a weaker solution across a semipermeable membrane. The 

membrane allows the passage of the water (solvent) but not the dissolved solids (solutes). 

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SCADA system 

The Supervisory Control And Data Acquisition system is a computer-monitored alarm, response, 

control and data acquisition system used by drinking water facilities to monitor their operations 

Stabilization 

Processes that convert organic materials to a form that resists change. Organic material is 

stabilized by bacteria which convert the material to gases and other relatively inert substances. 

Stabilized organic material generally will not give off obnoxious odors. 

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