Analysis Prepared by Department of Natural Resources
Statutory authority
Statutes interpreted
Explanation of agency authority
Chapter
281, Stats. — Water and Sewage, grants authority to the Department to serve, to protect, maintain and improve the quality and management of the waters of the state, ground and surface, public and private. To the end that these vital purposes may be accomplished, all rules and orders promulgated under chapter 281, Stats., are to be liberally construed in favor of the policy objectives set forth in the chapter. Section
281.17 (3), Stats., specifically directs the department to promulgate rules establishing an examining program for certifying wastewater treatment system and plant operators.
Related statute or rule
Chapter
NR 114, Wis. Adm. Code, relates to regulation of wastewater discharges in the chapter NR 200, Wis. Adm. Code, series of rules. The quality of the discharge from wastewater treatment plants directly relates to the design and construction of the facility, as well the knowledge and competency of the operators, who run and manage the state's wastewater treatment plants. A well operated and managed wastewater treatment plant produces a high quality effluent thus protecting and maintaining water quality in the state.
Plain language analysis
Operator certification requirements in Wisconsin originated with Chapter
614, Wisconsin laws of 1965. After passage of the Clean Water Act of 1972, the operator certification program became more solidified with the establishment of wastewater treatment plant classifications (1, 2, 3, 4) and numerous subclasses. Study guides and exams were developed for operators of the different classes and subclasses of treatment plants. The Bureau of Science Services administers the certification program, while the Bureau of Water Quality provides the technical base and support. Examinations are given in each of the regions twice a year in May and November.
The program underwent code revisions in the 1990's and currently has a critical need of revisions with the advent of changes and innovation in computer and wastewater technologies over the past two decades. Wisconsin permits over 1000 industrial and municipal wastewater treatment works and has 2400 certified operators operating these wastewater facilities. In the past 25 years, most treatment plants have more received stringent effluent limitations, and have become more complex and technologically advanced through upgrading and new construction. Well operated and maintained wastewater treatment works (sewer systems and treatment plants) by knowledgeable and skilled operators directly translates into protections of public health and the environment. Increased competency of operators also results in more consistent and improved compliance with Wisconsin Pollutant Discharge Elimination System (WPDES) permit requirements. This then leads to fewer instances of noncompliance and a lowered potential for costs due to enforcement of permit violations by the Department.
Chapter
NR 114, Subchapter I — Certification of Waterworks and Wastewater Treatment Plant Operators, Wis. Adm. Code, is being repealed and recreated to achieve five objectives: (1) update and revise treatment plant classifications and subclasses to reflect new and changed technologies; (2) eliminate advanced certification examinations and replace them with an advanced certification point system to allow operators more flexibility and educational options towards advancement; (3) expand certification to include sanitary sewer collection systems; (4) provide more options for a new generation of operators to gain knowledge and competency through on-line classes and apprenticeship opportunities; and (5) separate the certification requirements for waterworks and wastewater works operators for improved readability and understanding.
Chapter
NR 114, Wis. Adm. Code, establishes revised plant classification levels (basic or advanced) and subclasses; an advanced certification point system; future certification requirements for sanitary sewer collection systems and a fair conversion (grandfathering) process of transferring existing operators into the new certification system.
Summary and comparison with existing and proposed federal regulations
While
33 USC 1251, federal Clean Water Act, does not mandate operator certification for wastewater treatment plants, the need for operating and maintaining wastewater treatment plants properly by knowledgeable and highly skilled operators is recognized by all states. All fifty states have wastewater treatment plant operator certification programs.
Comparison of similar rules in adjacent states
All U.S. Environmental Protection Agency (EPA) Region 5 states (Illinois, Indiana, Michigan, Minnesota, and Ohio) have wastewater treatment plant operator certification programs. These certification programs are based on examination and experience.
Of the EPA Region 5 states, Ohio is the only state that requires a certified operator in charge for wastewater collection systems. Minnesota requires a collection system certificate for operation of wastewater collection, pumping, and conveyance facilities that are managed separately from the wastewater treatment facility. Illinois offers a voluntary wastewater collection system operator certificate while, Indiana and Michigan do not offer state certification.
ILLINOIS: In Illinois, a voluntary collection system operator certification is available for wastewater operators. The certification is administered by the Illinois State Environmental Protection Agency's Bureau of Water. Prerequisites for certification include a high school diploma (or equivalent), 6 months collection system operating experience and the equivalent of 6 months substitution experience. There is only one level of voluntary certification offered.
INDIANA: The Indiana Department of Environmental Management, who oversees certification of Wastewater Operators, does not offer collection system certification. The professional member association, Indiana Water Environment Association has a Collection System Committee (30+ members) who administer a voluntary collection system operation certification at 4 levels for wastewater operators.
MICHIGAN: The State of Michigan's Department of Environmental Quality, who certifies Wastewater Operators, does not offer certification for collection systems.
MINNESOTA: The Minnesota Pollution Control Agency (MPCA) , who certifies wastewater operators, requires at least one certified collection system operator for a system of collection, pumping, and conveyance facilities that is operated separately from the facility that treats, stabilizes and disposes of wastewater. The MPCA classifies these facilities as type-S facilities with four subclasses (A, B, C, & D), based upon the size of the population served. If the collection facility is not operated separately from the treatment facility, the designated operator of the treatment facility is responsible and does not need a type S certificate.
OHIO: The Ohio Environmental Protection Agency's Division of Drinking and Groundwater certifies the person responsible and in charge of a collection system. Sewerage systems, a.k.a. collection systems, are classified. Sewerage systems may be classified at one of two levels (I and II) based upon design flow (< or > 0.15 MGD respectively).
Summary of factual data and analytical methodologies used in the rules and how any related findings support the regulatory approach chosen
Given the increase in on-line training courses and programs for wastewater treatment plant operators, especially in the last ten years, it became apparent and imperative that the Department revise and modernize its certification program to allow operators more flexibility and choices in achieving advanced certification beyond only examinations. During the revisions of ch.
NR 114, Wis. Adm. Code, the Department of Workforce Development, Bureau of Apprenticeship Standards received federal grant monies to develop an Apprenticeship Program for Wastewater Treatment plant operators. The Apprenticeship Program has since been developed and now available for wastewater treatment plant operators. Operators earn 6 of 10 points towards advanced certification by completing this program.
The concept of an advanced certification point system came from the Kansas wastewater operator certification program. Kansas uses a point system to determine what level exam an operator is eligible to take. The Department adapted the point system concept by developing one for advanced certification. Advanced certification allows operators to gain a deeper insight and knowledge about a particular aspect of wastewater treatment. A deeper and stronger knowledge through advanced certification is critical in operating more complex wastewater treatment plants or require greater operational skills because of various factors.
Concurrent to these ch.
NR 114, Wis. Adm. Code, revisions, the Department has also drafted revisions to various rules for collection systems, more commonly referred to as the “Sanitary Sewer Overflow (SSO) Rules" (WT-23-11). These rule revisions are primarily intended to prevent, to the extent possible, the overflow of untreated sewage to state waters and land surfaces and/or the backup of sewage into basements and buildings where such discharges present a risk to public health and may cause environmental harm. The SSO rules require that all sewage collection system owners implement defined programs to assure the long-term viability of those systems. Effective programs for the proper operation and maintenance of the systems will be less costly in the long-term by reducing and preventing infiltration and inflow that lead to SSOs and building backups, assuring treatment facility capacity is not exceeded, and proactively dealing with potential failures of the system components. The SSO rules will require that all collection system owners develop and implement a Capacity, Management, Operation and Maintenance (CMOM) program within three years to assure proper long-term operation of sewage collection systems. The SSO Rules will also specify what components must be included in a CMOM and the documentation and reporting requirements associated with such a program.
With CMOM requirements and implementation of the SSO Rules, certification requirements for collection system operators will complement those rule revisions. It will provide the needed knowledge and skills for operators to develop and implement successful CMOM Programs and better operate and maintain their collection systems. Improved operational knowledge of sanitary sewer systems directly translates into protecting public health and water quality from basement back-ups and sanitary sewer overflows. Knowledgeable collection system operators also help protect and maintain the large investment of government funding of infrastructure. The Department evaluated collection system certification programs for every state in the nation. Approximately 46% of the states require some level of collection system certification.
In March 2010, the Department established a wastewater operators trainers stakeholders workgroup to assist and advise the Department in revising the certification program for wastewater treatment plant operators. The workgroup consisted of representatives from the Wisconsin Wastewater Operators Association (WWOA), Wisconsin Rural Water Association (WRWA), private trainers, consultants, technical colleges, UW-Stevens Point, and EPA. Several workgroup meetings were held during 2010-2012 in crafting the revisions. Comments and ideas for revisions from the workgroup members contributed significantly to the changes and modernization of the certification program.
Analysis and supporting documentation used to support the small business analysis
No small businesses, as defined in s.
NR 227.114 (1), Wis. Adm. Code, will be affected by changes in wastewater treatment plant operator certification requirements. Small businesses, as defined, do not generally own and operate treatment plants, or at least mechanical treatment plants with surface water discharges, that require certified operators under ch.
NR 114, Wis. Adm. Code. Any fiscal impacts that would occur from these rule changes would affect municipalities and larger industries, that have treatment plants or municipal sanitary sewer collection systems.
For example, in the small businesses analysis prepared for the phosphorus water quality criteria, Board Order WT-25-08, that could also potentially apply to treatment plant operator certification, 11 dairy operations were identified that met the small business definition. Small cheese factories may be the best example of a small business. Of those 11, 6 apply wastes to the land through a variety of methods and are exempt from certification requirements. The other 5 discharge their wastes to municipal wastewater treatment plants, also exempt from certification requirements.
Based on this analysis, the Department concluded there are few, if any, small businesses that will be affected by changes in wastewater treatment plant or sanitary sewer system operator certification requirements.
Effect on small business, including how this rule will be enforced
Based on the above analysis, the Department determined that few, if any, small businesses would be affected by the proposed changes in wastewater treatment plant operator certification requirements. Small cheese factories may be the best example of a small business that would have wastewater treatment and management needs. Many of these small dairies land apply their wastewater and thus are excluded from operator certification requirements.
A positive effect on small business will be additional training opportunities for consultants and private trainers to provide advanced training (on-line or classroom) to operators, especially those seeking advanced certification through education. The requirement for municipal collection systems to have a certified operator will result in the development of sanitary sewer collection system classes by wastewater education based businesses and technical colleges for municipal operators who will need this certification in the next 5-10 years.
Initial Regulatory Flexibility Analysis Summary
No small businesses, as defined in s.
NR 227.114 (1), Wis. Adm. Code, will be affected by changes in wastewater treatment plant operator certification requirements. Small businesses, as defined, do not generally own and operate treatment plants, or at least mechanical treatment plants with surface water discharges, that require certified operators under ch.
NR 114, Wis. Adm. Code. Any fiscal impacts that would occur from these rule changes would affect municipalities and larger industries, that have treatment plants or municipal sanitary sewer collection systems.
For example, in the small businesses analysis prepared for the phosphorus water quality criteria, Board Order WT-25-08, that could also potentially apply to treatment plant operator certification, 11 dairy operations were identified that met the small business definition. Small cheese factories may be the best example of a small business. Of those 11, 6 apply wastes to the land through a variety of methods and are exempt from certification requirements. The other 5 discharge their wastes to municipal wastewater treatment plants, also exempt from certification requirements.
Based on this analysis, the Department concluded there are few, if any, small businesses that will be affected by changes in wastewater treatment plant or sanitary sewer system operator certification requirements.
Fiscal Analysis and Economic Impact Analysis Summary
Ultimately, the impact on the state's economy will be moderate. Most of the changes that result from this rule are transfers rather than costs. The advanced exam will be slightly more expensive, but there will be fewer exams for operators to take and the exam is not mandatory. Wastewater treatment facilities may need to pay higher salaries that they offset by increasing rates (or absorbing), but employees will benefit from the raises. Operators may choose to pay for preparatory classes, but those offering these courses will realize an increase in their business.
While there is some variability, we predict the total statewide costs and transfers to be between $100,000 and $200,000 for the first year of implementation as facilities pursue operator certification necessitated by facility reclassification and the new sanitary system requirements. After the first year, economic impacts will be reduced to transfers resulting from salary increases and changes in exam costs.
We anticipate that the Department will absorb implementation costs into the existing program. Table 1 in Appendix 2 of the Fiscal Estimate & Economic Impact Analysis (DOA-2049) provides a summary of the costs associated with different aspects of the point system.
Environmental Impact
The Department has made a determination that these rule revisions are a Type IV action under Chapter
NR 150, Wis. Adm. Code, and no environmental analysis is required.
Agency Contact
Jack Saltes, WY/3
Bureau of Water Quality
P.O. Box 7921
101 South Webster Street
Madison, WI 53707
(608) 264-6045.
Notice of Hearing
Safety and Professional Services
Professional Services, Chs. 1—299
NOTICE IS HEREBY GIVEN that pursuant to authority vested in the Department of Safety and Professional Services in sections
227.11 (2) (a),
440.03 (1), and
458.12, Stats., and interpreting section
440.03 (1), Stats., the Department of Safety and Professional Services will hold a public hearing at the time and place indicated below to consider an order to repeal s.
SPS 81.04 (1) (c) 3. and
4. and to amend s.
SPS 81.04 (2), relating to reciprocity. As provided in section
227.24 (4), Stats., this hearing will also be for emergency rules currently in effect that have identically created this SPS section.
Hearing Information
Date: Monday, August 12, 2013
Time: 11:00 a.m.
Location: 1400 East Washington Avenue
Room 121A
Madison, Wisconsin
Appearances at the Hearing
Interested persons are invited to present information at the hearing. Persons appearing may make an oral presentation but are urged to submit facts, opinions and argument in writing as well. Facts, opinions and argument may also be submitted in writing without a personal appearance. All submittals must be directed to Shawn Leatherwood, Rules Coordinator, at
shancethea.leatherwood@wisconsin.gov; or by mail addressed to the Department of Safety and Professional Services, Division of Policy Development, P.O. Box 8935, Madison, Wisconsin 53708. Written comments must be received at or before the public hearing to be included in the record of rule-making proceedings.
Place Where Comments are to be Submitted and Deadline for Submission
Comments may be submitted to Shawn Leatherwood, Rules Coordinator, Department of Safety and Professional Services, Division of Policy Development, 1400 East Washington Avenue, Room 151, P.O. Box 8935, Madison, WI 53708-8935, or by email to shancethea.leatherwood@ wisconsin.gov. Comments must be received at or before the public hearing to be held on August 12, 2013 to be included in the record of rule-making proceedings.
Copies of Rule
Analysis Prepared by the Department of Safety and Professional Services
Statutes interpreted
Statutory authority
Explanation of agency authority
The Department is empowered to promulgate rules interpreting the provision of any statute it enforces or administers pursuant to s.
227.11 (2) (a), Stats. Under the authority of s. 440.3 (1), Stats., the department may promulgate rules defining uniform procedures to be used by the Real Estate Appraisers Board. Under s.
458.12, Stats., the Real Estate Appraisers Board is allowed to enter into reciprocal agreements. The subject of these proposed rules deals with the procedure for entering into reciprocity agreements with other states. Therefore, the Board is authorized to draft these proposed rules
Related statute or rule
Plain language analysis
A procedure for reciprocity for real estate appraisers is the topic of these proposed rules. Presently applicants seeking reciprocity in Wisconsin must hold a current credential from another state, which has not been subject to discipline, and was granted in compliance with the Financial Institutions Reform Recovery Act of 1989, (FIRREA)
12 USC 3331 et. seq. Applicants must also pass a Wisconsin statutes and rules examination, have no arrests or convictions and have satisfied the required experience. As a result of federal legislation, namely FIRREA Title XI as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act), less strenuous procedures for reciprocity must be put into place on or before July 1, 2013.
The Dodd-Frank Act directs states to refrain from imposing additional barriers on the issuance of reciprocity credentials to appraisers from other states. Under the federal legislation, an applicant seeking reciprocity in Wisconsin must be from a state that is in compliance with FIRREA Title XI. Also, the applicant must hold a valid credential from that state. Furthermore, the credentialing requirements of that state, as they currently exist, must meet or exceed the credentialing requirement in Wisconsin, as they currently exist.
Summary of, and comparison with, existing or proposed federal regulation
FIRREA Title XI regulates real estate appraisers on the federal level. The purpose of FIRREA Title XI “is to provide that Federal financial and public policy interests in real estate related transactions will be protected by requiring that real estate appraisals utilized in connection with federally related transactions are performed in writing, in accordance with uniform standards, by individuals whose competency has been demonstrated and whose professional conduct will be subject to effective supervision."
12 U.S.C. 3331. This federal mandate is accomplished via the Appraisal Subcommittee (ASC). The ASC monitors state regulation of licensed appraisers and reviews each state's compliance with the federal legislation. The ASC also monitors appraisal standards for federally-related transactions and determines whether state licensed appraisers will be required for these real estate transactions.
The Dodd-Frank Act amended the reciprocity requirement of FIRREA XI. Instead of merely encouraging states to develop reciprocity agreements, the Act requires that states may not impose additional impediments when issuing reciprocity credentials. However, states may be more lenient in issuing reciprocity credentials and advance a more open door policy.
Comparison with rules in adjacent states
Illinois: Illinois does not grant licensure by reciprocity for real estate appraisers but allows licensure by endorsement for non-resident applicants. Endorsement applicants must submit an application, the required fee, and a certification of good standing from the jurisdiction of the applicant's place of residence. Ill. Admin. Code tit. 68 §1455.100.
Iowa: Iowa grants non-resident applicants licensure by reciprocity. Applicants seeking reciprocity must submit the appropriate form, pay the required fee and demonstrate good standing in another state. The good standing requirement may be demonstrated by being listed as an appraiser in good standing on the National Registry of the Appraisal Subcommittee. Iowa Admin. Code r. 193F-10.01 (2).
Michigan: Michigan provides for licensing without examination. MCL 339.2623. The state will issue a certified general real estate appraiser, or state licensed real estate appraiser licensure without examination as long as that applicant is licensed, registered, certified, or otherwise regulated by another state and if the requirements of that state are at least equal to Michigan's requirements.
Minnesota: Minnesota requires non-resident applicants to comply with the same application requirements as in-state applicants. Minn. Stat. §82B.071 subd.7.
Summary of factual data and analytical methodologies
