THE INSPECTION The Ideal Inspection

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THE INSPECTIONThe Ideal Inspection

• Joseph Parker - Waste Management Specialist
• NCDENR - Division of Waste Management,
• Hazardous Waste Section
• Compliance Branch

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What is the Ideal inspection?

• You have memorized the facility file.
• Your trip to the facility is uneventful and the
  radio station plays all your favorite songs.
• Facility welcomes you into the site with open
  arms.
• All of the facilitys paperwork is current and
  organized.
• Violations are easily documented and the facility
  personnel admits everything. They sign their name
  to your notes.
• As a result of your report, the facility promptly
  writes a check for the full amount of the penalty
  and thanks you for your service to the citizens
  of State of North Carolina.

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Who is in attendance today?

• Division of Waste Management
• Division of Air Quality
• Division of Environmental Health
• Division of Land Resources
• Division of Forest Resources

• Division of Water Quality
• Division of Soil and Water Conservation
• Division of Water Resources
• Division of Coastal Mgmt.
• Division of Pollution Prevention
• Division of Marine Fisheries

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Presentation Topics

• Pre-Inspection Planning
• Entrance and access to the facility
• Equipment
• Photographs
• Interviewing Techniques
• Report Writing

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Roles of the Inspector

• Official Representative
• May be the only government official seen by a
  plant manager. This role requires tact,
  professionalism, and diplomacy.
• Fact Finder
• They must also have skill in obtaining
  information and following up leads to identify
  violations.
• Enforcement Case Developer
• The evidence collected by the inspector is
  usually the primary basis for any enforcement
  case . Good documentation is essential.
  Inspectors are often key witnesses in enforcement
  cases.

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Roles of the Inspector

• Enforcement Presence
• The inspector shows the flag, creating a visible
  presence of government interest in the
  environmental status of a facility. The
  potential of an inspection creates an incentive
  for compliance.
• Technical Educator
• The inspector serves as a source of regulatory
  information and may provide technical assistance
  to facility managers by directing them to sources
  of technical information.
• Technical Authority
• Inspectors may help EPA interpret regulatory
  requirements and assess the effectiveness of
  regulatory programs.

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Inspectors fulfill their roles through diverse
job duties

• Selecting facilities and determining the
  scope/objective of the inspection. Coordinating
  activities with the staff.
• Assessing the existence of violations and
  collecting substantiating evidence of those
  violations.
• Compiling the information and writing the
  inspection report.
• Collecting additional evidence to support their
  case.
• Participating in or supporting settlement
  negotiations with facilities.
• Serving as a government witness in enforcement
  hearings or trials.
• Checking to ensure that a facility has taken the
  steps in the enforcement action to return to
  compliance.

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Roles of the Inspector

• How should inspectors carryout their duties
• Thoroughly
• Ethically
• Safely
• Conduct of field inspectors
• Inspectors are skilled field professionals who
  represent regulatory agencies when dealing with
  industry and the public.
• As a result, inspection personnel are expected to
  perform their duties in a professional and
  responsible manner.

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Conduct of field inspectors

• Conflicts of Interest
• A conflict of interest may exist whenever an
  inspector has a personal or private interest in a
  manner which is related to his or her official
  duties.
• Even the appearance of a conflict of interest by
  the public damages the the integrity of the
  agency and their employees. Be aware of your
  actions!
• Public Relations
• It is important that cooperation be obtained
  from, and good working relations established
  with, the public and regulated community.
• This is best accomplished by using diplomacy,
  tact, and persuasion.
• Even a hostile person should be treated with
  courtesy and respect.
• Personnel should not offer opinions concerning
  any person, regulatory agency, manufacturer or
  industrial product.

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Conduct of field inspectors

• Gifts, Gratuities, Favors, Luncheons, Etc.
• Agency employees are forbidden to solicit or
  accept any gift, gratuity, entertainment
  (including meals), favor, loan, or any other
  thing of monetary value from any person,
  corporation, or group that
• Has a contractual or financial relationship with
  the Agency
• Has an interest that may be substantially
  affected by such employees official actions
• Conducts operations regulated by the Agency.
• Attempted Bribery
• Money in varying amounts may be offered by
  persons whose activities are being investigated.
• Offers are usually made by people unfamiliar with
  Agency rules.
• Some bribes may be blatant attempts to whitewash
  a serious violation or condition or to cause the
  withholding of damaging information or
  observations.

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Types of Inspections

• Compliance Inspections
• Follow-up Inspections
• Case Development Inspections - Evidence gathering
  (sampling, photographs, document collection)
• Compliance Monitoring Inspections - groundwater
  monitoring, wastewater monitoring
• Compliance Assurance Monitoring (Title V)
• Compliance Assistance Inspections
• Multi-Media Inspections
• Facility Self Disclosure - Under the
  Self-Confessor Policy

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Types of Investigations

• Complaint Investigations
• Agency referrals (Federal, State, Local)
• Citizen referrals
• Emergency Response
• Drum Dumps
• Tanker Spills
• Fish Kills
• Wild Fires
• Water Supply
• Weather Related

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Preparing for the Inspection

• Prior to conducting an inspection, the inspector
  should become familiar with the history of the
  site.
• Most facilities have been inspected before and
  therefore will have records located in Regional
  Offices or in Central Files in Raleigh.
• If the inspection is to be conducted at a new
  facility, information can be gathered from other
  sources, including other State/Fed/Local
  agencies. (fire marshal)
• Discuss the site/facility with these other
  agencies.What did they find?

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Information to be gathered includes

• The type of business and where it is located.
• Manufacturing processes involved.
• Past compliance and inspection history.
• Record any required permits.
• Record of citizen complaints.
• The names and titles of responsible persons at
  the facility.
• Map of the facility layout.
• Any available checklists.

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Entrance and Access to the Facility

• Identify yourself and show credentials.
• My Name is __________ and I work for NCDENR.
• Purpose - State your purpose
• The purpose of my visit today is to conduct
  an inspection of your facility.
• Facility contact - What if your contact is not
  present? Who do you ask for?
• Visitors log - Do you sign the Visitors Log?

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Entrance and Access to Facilities

• Unless the owner consents to the inspection of
  his property, an inspector must either obtain a
  warrant or be sure the inspections fits under one
  of the exceptions to the warrant requirement. The
  exceptions that courts have recognized are
  inspections of
• Areas that are not private or that are in plain
  view
• Abandoned property
• Emergency situations
• Heavily regulated businesses
• Check your Division/Agency inspection guidelines

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N.C. General Statute 130A-17

• Right of Entry - The Secretary and a local health
  director shall have the right of entry upon the
  premises of any place where entry is necessary to
  carry out the provisions of this Chapter or the
  rules adopted by the Commission or a local board
  of health. If consent for entry is not obtained
  an administrative search warrant and inspection
  warrant shall be obtained pursuant to G.S.
  15-27.2. However, if an imminent hazard exists,
  no warrant is required for entry upon the
  premises.
• RCRA Section 3007.(a) Access Entry -
• For purposes of developing or assisting in the
  development of any regulation or enforcing the
  provisions of this chapter, such officers,
  employees or representatives are authorized (1)
  to enter at reasonable times any establishment or
  other place where hazardous wastes are or have
  been generated and (2) to inspect and obtain
  samples from any person of any such wastes and
  samples of any containers or labeling for such
  wastes.

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Inspection Equipment

• Official Department Identification Card/Business
  Cards
• Cameras and Recording Devices (tape recorders,
  video)
• Safety Equipment (Steel toe boots, hardhat, ear
  plugs, safety glassesetc..).
• Sampling equipment, if necessary.
• Documentation (inspection reports, field-note
  forms, facility compliance file)
• Regulation Book
• Change for purchasing snacks.

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Pre-Inspection Discussion

• Before starting the inspection, the inspector
  should inform the facility contact
• of the reason for the inspection,
• outline the order in which the various aspects of
  the facilities operations will be examined, and
• the documents to be reviewed.
• The contact must be informed of their right
  to request and receive duplicates of any samples
  and photographs taken during the inspection.
• Inspectors have access to all parts of the
  facility - Right of Entry

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Reviewing Records Interviews

• The inspector must review all records pertinent
  to the inspection requirements.
• Copies of all paperwork relating to potential
  violations should be made available.
• Ask the interviewee to confirm what is reviewed
  in the paperwork. This should be noted in the
  report.
• Dont rush your information gathering! You
  control the inspection!
• If the records are unavailable, the walk-through
  inspection can be conducted while the records are
  being collected.

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Interviewing TechniquesThe more interviews you
conduct, the easier they become.

• The five steps to an interview
• Introduction/Identification
• Rapport Building
• Topic Questions - general to specific
• Summary/Review
• Closing
• Remember.. first impressions can be lasting ones.

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Interviewing Techniques

• Introduction/Identification Rapport
  Building - Most people resist giving information
  to a stranger. A good interviewer will take time
  to establish a relationship of sincerity and
  mutual trust.
• Properly identify yourself.
• State your purpose at the beginning of the
  interview.
• Begin discussion by commenting on a topic of
  apparent interest to the subject. Talk for a
  short period on everyday topics.
• Stay away from controversial topics.
• Dont ask suspicious questionstears down
  rapport.
• Rebuild rapport at any point during the interview.

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Interviewing Techniques

• Topic Questioning - Have a plan.important!
• Stay on the subject matter
• Separate facts from opinions. Accept and rely on
  facts.
• Be stern if the interview calls for this method.
  Challenge answers you know to be wrong or hard to
  believe.
• A complete interview will involve
• Who
• What
• When
• Where
• Why
• How

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Interviewing Techniques

• Characteristics of good questions
• The nature of your questions and persuasions
  will follow your pattern of thinking, which are
  usually based on assumptions.
• Fundamentals of good questions
• Make questions short and confined to one topic.
• Make questions clear and easily understood.
• Avoid the use of scary or judgmental words.
• Ask the interviewee to repeat their answers if
  they are not clear or misunderstood.

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Interviewing Techniques

• Types of Questions
• Close-ended or precise questions
• A precise question will call for a specific
  answer.
• But, the answer may come in a yes or no,
  which usually restricts the information the
  subject may want to give.
• When seeking new information, yes or no
  questions should not be used.
• They are useful in verifying information.

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Interviewing Techniques

• Types of Questions
• Open-ended or extended answer questions
• Generally framed to require a narrative answer.
• Best type of question when gathering verbal and
  nonverbal information.
• Leading or suggestive questions
• Tend to influence the answers given by a subject.
  They suggest the desired answer.
• Should be avoided while asking for original
  information

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Interviewing Techniques

• Example of bad leading questions -
• Mr. Jones, Ive had several employees tell me you
  gave orders to dump oil in the Cape Fear River,
  instead of manifesting it off-site properly.
  Isnt that correct?
• This example is bad for three reasons
• Gives Mr. Jones too much information at first
  (Dont show your cards too soon).
• Asks for a yes or no answer.
• Puts the interviewee in a defensive posture.

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Interviewing Techniques

• Lets revise the previous question
• Mr. Jones, could you describe to me the specific
  instructions you gave your employees with regard
  to handling oil within the plant?
• The question now is
• not as combative or judgmental
• an open-ended answer is required
• it allows him to sink his own ship with a wrong
  answer

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Interviewing Techniques

• Summary or Review
• Allows the interviewer to go over any notes and
  confirm with the individual that they have the
  correct information.
• The interviewee may change some of their answers
  upon reflection.
• A good interviewer may have to ask the same
  question three times during the course of the
  interview, in order to receive a
  consistent/correct answer.
• Closing
• Never overlook a chance to build rapport for the
  future. You may have to contact your interviewee
  again.

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Qualities Good Interviewer

• The most Important Qualities of a Good
  Interviewer are
• Honesty and integrity with the ability to impress
  upon all interviewees that you seek only the
  TRUTH.
• The ability to build rapport quickly under many
  diverse conditions.
• The ability to listen to the interviewee and
  evaluate their responses.
• The ability to maintain self-control, be flexible
  during interviews and not become emotionally
  involved in the investigation or inspection.

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Documentation

• All information collected during an
  inspection or investigation should be recorded in
  at least one of four forms
• Field Notes
• Checklists
• Copies of documents obtained from the facility
• Photographs
• All information and copies of documents obtained
  should be reviewed prior to leaving the site to
  ensure all violations have been adequately
  documented.
• Proper documentation is crucial to the
  enforcement system therefore, it is critical
  that the inspector keeps detailed records of
  inspections, investigations, etc.

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Inspecting Operations

• Do not allow facility personnel to coordinate and
  guide the inspection. YOU CONTROL THE INSPECTION!
• Use the HEEL technique.
• Request a map of the facility.
• Interview facility personnel on their actions and
  activities.
• Inspections should be done Fence post to Fence
  post.
• Review the facilitys contingency plan before
  walk through.
• If no contingency plan, you may want to discuss
  any site safety concerns with your contact.

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Inspecting Operations

• Be sensitive to the nonverbal communication of
  the facility personnel accompanying the
  inspection team and also of others.
• Watch their eyes, their hand motions, facial
  expressions. Are they nervous or sweating?
• Do they get defensive or shy away from any area?
  
• Inspectors should inspect rail cars, tractor
  trailer trucks, out-of-the-way buildings and
  brushy or wooded areas.
• Look for environmental indicators stressed
  vegetation, stained soil, sheen of water
  surfaces, distinct smells.
• If something doesnt look right.it usually
  isnt!!!!

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Field Notebooks Checklists

• Field Notes Checklists are used for gathering
  info.
• Field notes should be taken in log book or
  notebook.
• The field notebook can substantiate the proper
  gathering of facts to justify the resulting
  agency action, if your investigation leads to an
  enforcement action.
• Checklists allows the inspector to prepare.
• Try not to rely to heavily on the specifics of a
  checklists. KEEP IT SIMPLE!
• Checklists should be used to move an inspector
  through the inspection smoothly and confidently.

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Tips on Photographs

• Photographs are excellent physical evidence
• To be admissible, they must fairly and
  accurately represent what the inspector
  witnessed on-site. DO NOT ENHANCE.
• The inspector need not have taken the photographs
  personally.
• Inspectors have a right to photograph anything.
  If the facility restricts the inspectors ability
  to photograph, such an action is considered a
  denial of consent.
• There may be sensitivity about inclusion in a
  photograph of CBI (Confidential Business
  Information) that is not relevant to the
  inspection. May want to shield CBI from the
  picture. N.C GENERAL STATUTE 130A-304

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Tips on Photographs

• Photographs should be documented in the field
  logbook or your inspection notes. At a minimum,
  documentation should indicate
• The location where the picture was taken (name of
  the facility and exact location at the site where
  the picture was taken)
• Date and time the photograph was taken
• An identifying number or other means of matching
  the photograph with the particular inspection and
  the particular location and activity at the site
• Survey participants

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Tips on taking photographs

• Adding scale to the object being photographed
  (ruler, notebook, etc)
• Take an overview shot of the area first, then
  take your close-up shot.
• Photographs should not be taken in areas that the
  flash could cause an explosion. Check safety of
  the area.
• Do not include individuals in your photographs.
• Do not take pictures of your sampling activities.
  Your techniques could be used against you in
  court.
• Practice taking photographs.

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Inspection/Investigative Report Writing

• Importance of Good Report Files
• Others decide if the case proceeds to enforcement
  based on the information in your reports.
• You must be prepared to testify.
• Information is needed in your absence.
• All reports should be completed in a timely
  manner.
• You are only as good as your last report

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Information Gathering

• Interviews - make them count
• Note-taking
• Good notes are needed to write good reports
• Remember to answer
• Whois involved
• What was found or what happen
• Wheredid it take place
• Whendid happen
• Howdid happen

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Inspection Forms Narrative Reports

• Inspection Forms
• Designed to collect standard, reviewable
  information about an inspection.
• Function as guides to ensure that all basic data
  is being collected during the inspection.
• Narrative Reports
• The purpose is to record factually the procedures
  used in, and findings resulting from, the
  evidence gathering process.
• Use a simple writing style with an active
  approach.
• Keep paragraphs brief and to the point and avoid
  repetition
• Proofread your reports!!

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Report Content

• A report must include
• Statement of factsnot opinions.
• Available material to explain, illustrate or
  corroborate those facts.
• References to sampling and analytical methods.
• Be Specific -
• Write In the warehouse, incompatible wastes
  were stored within five feet of each other.
• Dont write There were unsafe storage
  conditions.
• Do not include rumor and prejudices in your
  report.

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Report Content

• Inspection and Investigative reports must be
• Accurate - All information must be factual and
  based on sound inspection practices.
• Clear - The information should be presented in a
  clear, well-organized manner.
• Relevant - Irrelevant facts will clutter a
  report and may reduce its clarity and usefulness.
• Comprehensive - The subject of the report (i.e.,
  any suspected violations) should be substantiated
  by as much factual, relevant information as is
  feasible.
• Neat and Legible - Adequate time should be taken
  to allow the preparation of a neat legible report.

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Rules of Good Report Writing

• 1. Write to one person, who is critical and does
  not understand all that environmental stuff.
• 2. Use the active voice whenever you can.
• 3. Write as you would speak. (Read you report
  aloud before you submit it. Change what sounds
  artificial.)
• 4. Break up the text. Use plenty of paragraphs.
  The average reader easily comprehends only three
  or four sentences per paragraph and no more than
  20 words in a sentence. Keep it short and
  simple.
• 5. Avoid long words. The environmental business
  is full of long words. Strive to use shorter
  words.
• 6. Organize! Think first and prepare a list of
  essential points. Write a draft. Revise, and
  revise again. Proofread!

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QUESTIONS???

• Joseph Parker - Waste Management Specialist
• NCDENR - Division of Waste Management
• Hazardous Waste Section, Compliance Branch
• Phone [phone]
• Email Joe.Parker_at_ncmail.net
• Sources used
• Basic Environmental Crime Investigations, SEEN,
  January 1996
• RCRA Field Manual, US EPA, December 1998
• Inspection Guidance Document, NCDENR-DWM, 1996