Regulatory Compliance & Risk Management Flashcards
7 cards from real UMC practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Regulatory Compliance & Risk Management flashcards as text
What is the purpose of a Maximum Contaminant Level Goal (MCLG) under the Safe Drinking Water Act?
Answer: A non-enforceable health-based target set at zero health risk
MCLGs are non-enforceable public health goals set at the level where no known or anticipated adverse health effects occur; they inform but do not legally bind utilities.
During a regulatory inspection, an auditor finds that a utility's operator certifications have lapsed. This is classified as which type of compliance violation?
Answer: Administrative or personnel violation
Lapsed operator certifications constitute an administrative or personnel violation, as they relate to regulatory requirements for qualified staff rather than water quality standards.
A utility's emergency response plan must be updated after which of the following events per AWIA 2018 requirements?
Answer: Completion of a risk and resilience assessment
AWIA 2018 requires utilities to review and update emergency response plans after completing or updating their risk and resilience assessments.
Which term describes the practice of documenting all steps taken during a regulatory incident to demonstrate due diligence?
Answer: Audit trail maintenance
Maintaining an audit trail provides a chronological record of actions, decisions, and communications that demonstrates regulatory compliance and due diligence.
What is the significance of the 'treatment technique' requirement in the Surface Water Treatment Rule?
Answer: It substitutes for an MCL where contaminants are too difficult to measure reliably
Treatment technique requirements are used when measuring a contaminant is impractical; compliance is demonstrated by meeting specific process performance criteria instead.
A utility experiencing financial stress is unable to fund a required infrastructure upgrade. Which risk management approach best describes deferring the upgrade while documenting the decision?
Answer: Risk acceptance (risk retention)
Knowingly accepting a risk and documenting the decision — often due to resource constraints — is risk acceptance or risk retention.
Under the EPA's Sanitary Survey program, how frequently must community surface water systems typically receive a comprehensive sanitary survey?
Answer: Every 3 years
EPA regulations generally require community water systems using surface water sources to receive a sanitary survey at least every 3 years.