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
Which document formally communicates a regulatory agency's findings of violations and required corrective actions to a utility?
Answer: Notice of Violation (NOV)
A Notice of Violation (NOV) is the formal regulatory document that identifies specific violations and typically requires the utility to respond with corrective actions.
What does 'residual risk' mean in the context of utility risk management?
Answer: The risk remaining after mitigation measures have been implemented
Residual risk is the risk that remains after controls, safeguards, or mitigation measures have been applied to reduce the original risk.
A water utility must submit a Discharge Monitoring Report (DMR) monthly to demonstrate compliance with its NPDES permit. What does this report primarily contain?
Answer: Effluent quality data compared against permit limits
DMRs document actual effluent quality measurements and compare them against the numeric limits established in the utility's NPDES permit.
Which risk matrix quadrant should a utility prioritize FIRST when allocating limited mitigation resources?
Answer: High likelihood, high consequence
Risks with both high likelihood and high consequence represent the greatest overall risk and should be addressed first to maximize risk reduction.
Under the Safe Drinking Water Act, what is a 'variance' and who may grant it?
Answer: State permission for a utility to use an alternative treatment method while still protecting public health
A variance allows a utility to use an alternative treatment technique if it cannot meet an MCL while still achieving the same level of public health protection; states generally grant them.
Which federal agency has primary jurisdiction over workplace safety violations at a water treatment facility?
Answer: Occupational Safety and Health Administration (OSHA)
OSHA has primary jurisdiction over workplace safety and health standards, including chemical handling, confined space entry, and electrical safety at utility facilities.
A utility's business continuity plan (BCP) differs from its emergency response plan (ERP) primarily because the BCP focuses on:
Answer: Sustaining essential business functions and recovering operations after a disruption
A BCP addresses how the organization maintains and restores critical operations during and after a disruption, while an ERP focuses on the immediate emergency response actions.