Annual Testing Compliance and Enforcement for a Shopping Center
A water purveyor administers a cross-connection control program covering a shopping center with 14 tenant spaces. Twelve tenants have testable assemblies; two have non-testable devices. The program requires annual testing, and the deadline is March 31. On April 15, the purveyor's records show six assemblies tested, four overdue, and two with no record at all. One overdue tenant claims the assembly was tested but the report was sent to the landlord. The landlord says it never received it. The purveyor must decide on enforcement while maintaining due process for the tenants.
1. Describe the steps the purveyor should take to resolve the missing records and enforce compliance fairly.
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The purveyor should follow a documented, escalating process:
- Verify records. Contact each tenant and the landlord to locate the missing reports. A report sent to the wrong party is still a report; the purveyor should obtain a copy and update the file.
- Send written notice. For the four overdue and two missing, issue a notice of violation with a clear cure period, the specific requirement, and the consequence of non-compliance.
- Distinguish fault. The tenant whose report went to the landlord should not be penalized if a valid test report exists and is produced within the cure period. The landlord's record-keeping failure should be addressed separately.
- Escalate consistently. If the cure period passes, apply the program's defined enforcement steps, such as increased monitoring, service restrictions, or penalties, applied equally to similarly situated tenants.
- Document everything. Each contact, notice, and response should be logged so the process is defensible.
Due process means notice, a reasonable opportunity to cure, and consistent treatment.
2. The landlord proposes that the purveyor simply accept a blanket statement from the landlord that all assemblies are 'in good working order.' Evaluate this proposal.
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The proposal should be rejected. A blanket statement is not a test report and does not satisfy the program's requirement for annual testing by a certified tester. Accepting it would:
- Eliminate verification. The purpose of testing is to confirm that each assembly actually holds differential and that relief valves operate correctly. A landlord's general assurance provides none of that evidence.
- Create unequal treatment. Tenants who complied would be treated differently from those covered by the blanket statement.
- Weaken enforcement. If the program accepts assurances, it cannot demonstrate compliance to regulators or respond to a contamination event.
A better approach is to require individual test reports for each testable assembly, allow the landlord to coordinate scheduling, and maintain a shared record system so reports reach both parties. The purveyor can offer a consolidated reporting portal, but the underlying requirement stays per assembly.