United States
Environmental Protection
Agency
Solid Waste And
Emergency Response
(OS-420)
EPA/530/UST-91/015
February 1991
vxEPA Field Citations Training
Instructor's Manual
Printed on Recycled Paper
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FIELD CITATIONS TRAINING:
Instructor's Manual
U.S. Environmental Protection Agency
Office of Underground Storage Tanks
February 1991
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CONTENTS
INSTRUCTOR GUIDE v
Module I: INTRODUCTION TO FIELD CITATION TRAINING 1-1
Module II: EXPLANATION OF FIELD CITATIONS 11-1
Module III: ORGANIZATION AND PROGRAM OVERVIEW 111-1
Module IV: DEFINING VIOLATIONS AND MAKING ENFORCEMENT DECISIONS IV-1
Module V: PROCEDURES FOR ISSUING CITATIONS V-1
Module VI: FOLLOW-UP TO ISSUING CITATIONS VI-1
Module VII: LEGAL EVIDENCE NEEDS VII-1
Module VIII: CHAIN OF CUSTODY FOR EVIDENCE AND SAMPLE HANDLING VIII-1
Module IX: ENFORCEMENT CASE DEVELOPMENT AND TESTIMONY IX-1
Module X; REGULATED COMMUNITY RELATIONS X-1
Module XI: WRAP-UP DISCUSSION XI-1
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INSTRUCTOR GUIDE
This manual is designed to be used as part of an overall inspector training course or as a
stand atone training on field citation techniques. It contains a basic outline for the material to
be covered in the course, specific instructions for class activities which will reinforce tfie
training concepts and encourage class participation, hard copies of hand-outs for the class,
and suggestions for program-specific materials that could be developed at the state or local
level.
NOTE: Field citation program directors must make many policy decisions before instructors :'
can confidently conduct training. Program directors and course developers should refer to
the companion publication "How to Develop a Field Citation Program," EPA/530/UST-91/014,
for guidance in developing a field citation program and training course. As an instructor, you
must be completely familiar with program policy in order to teach the course. Inspectors will
have challenging questions that need to be addressed and there are a number of areas in the
manual that must be completed with jurisdiction-specific information. (See the list of
jurisdiction-specific documents at the end of this section.)
TRAINING PRESENTATION
The course is designed to present information through a combination of lectures (accompanied by
visual tools), exercises (such as hands-on work with a field citation or scenarios), and group discussion.
Each of these elements is essential in conveying the information in the manual to the inspectors. The
instructor outline should provide you with the direction and tools that you will need to accomplish this
delivery effectively. More information is provided in the "How to Use the Manual" section below.
DESIGN OF THE COURSE
This training course is designed to be as flexible as possible. The course contains modules on a
wide range of subjects that can be presented in a number of different ways. The modules can be
presented as they are arranged in the manual, re-arranged to best suit your needs, or deleted entirely
if they are not appropriate for your program. For example, we have included information on sampling,
evidence, chain of custody, and testifying, all of which may be used in different ways for different
programs. You will need to consider what pieces you want to use and how you will use them.
The manual was developed under the assumption that field citations are one step in the
enforcement process and that each field citation may result in a case that will be presented in a hearing
or in court. Thus, while it is unlikely that many citations will result in such cases, the manual contains
material that will be necessary for the inspectors to know in the event that a citation moves through the
administrative or court system. All of "this information may not be necessary for every local program. For
example, if your program will only have inspectors citing a few, clear-cut violations that will not involve
sampling, you may wish to present the training without the sampling section. Also, if your inspectors will
receive extensive inspector training elsewhere, you may wish to present only those sections that refer
specifically to field citation techniques.
LOCAL INFORMATION
This draining was prepared on a "generic" basis, to be used by as many States and localities as
possible. It is necessary for course coordinators and instructors to include jurisdiction-specific material
regarding certain policies and procedures. For example, Module III on Organization and Program
Overview needs to be developed with jurisdiction-specific material. Also, you will find that the manual
uses certain generic terms, such as "Department" or "Agency." We apologize if these terms do not
accurately reflect your organization but they are used only as general descriptive terms.
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USING ADDITIONAL INSTRUCTORS
The manual is designed to provide enough detail to allow an individual with a working knowledge
of the material to present the module, even if he or she has no training experience. For this reason, you
may wish to split the course and have different members of your department teach different sections. For
example, one of your department's attorneys could present the testimony or evidence sections, or an
outstanding inspector with experience could present the chain of custody section. Different instructors
provide variety for the inspectors but it is extremely important that 'guest instructors" cover the material
in the manual and do not simply "talk off the top' of their heads." It is important to keep the course well
paced and directed, especially if others teach specific modules, in order to maintain the inspectors'
interest. Also, the training will be more credible if the guest instructors are familiar with your program and
can refer to field situations or other issues that are familiar to your instructor. In other words, while it may
be a feather in your cap to have an important Bureau chief teach a section of the course, the students
may be more receptive and learn more from an experienced inspector or long-time prosecuting attorney.
HOW TO USE THE MANUAL
The information in the manual is presented in a two-column format. The left column contains
the text for the course; the text in the instructor and student manuals is identical. The smaller,
right column contains specific instructions !on how to present the course in the instructor
manual and is blank in the student manual (so the students can take notes).
The manual is divided into clearly labeled modules, which can be used as the instructor sees
fit (see above). Handouts and samples from other program's training courses are included at
the end of each appropriate module as "teaching aids."
INSTRUCTOR ASSISTANCE
i
Module Instruction Sheet. At the start of each module, you will find a one-page instruction sheet to use
when presenting the course. The sheet provides a list of the outcomes you should work to achieve in
teaching the manual, indicates approximately >how long it should take to present the material, and
provides a list of other sources of material for your use, or for inspector/student use. This information is
provided to give you guidance as you teach the course; you may wish to vary your presentation time or
direction.
Right Column Text. The text in the right column provides specific direction for presentation of the
material and use of teaching tools, as well as information on the content of the course and the message
the instructor should attempt to convey. The italicized text provides tips and additional information and
is directly across from the course text to which it refers. You should read these sections carefully when
you are preparing to teach the course. The non-italicized bold text describes the specific teaching tools
you should use in each section and how you shpuld use them. These tools are found at the end of each
module. The accompanying student manual ha^; a blank right column, which students can use to record
notes. !
Scenarios/Discussions. The manual provides specific scenarios, discussion topics, and discussion
questions at the end of the modules (these materials are only included for modules in which they are
needed; some modules do not have these additional materials). You should feel free to augment these
with local situations or issues. Please note that these items are intended to foster class participation in
the training and should serve to get the inspectors talking and contributing to the course.
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Please note that there may be inspectors who are very uncomfortable in front of groups. No
inspector should be forced to "perform" in a role play or discussion if he or she strongly objects. For this
reason, the manual includes a number of discussion topics and questions that can be used to foster class
discussion without intimidating those who may be uncomfortable in certain situations. In addition, the
role-play scenarios contain suggested methods of using the role-play so that all members of the class are
comfortable and learn from the exercise.
Handouts and Samples. The back of most modules contains items from other enforcement or UST
programs that may be helpful in teaching this course. These items can be used as handouts or overhead
slides during the course.or can be used as examples for developing similar (but program-specific) material
on your own for the course. A brief discussion of how each handout or sample should be used is
contained in both the module cover page and in the instructional text in the right column of the manual.
DETAILS AND LOGISTICS
There are a number of details that you will need to attend to before you begin teaching from this
manual.
Pre-Course Planning for the Course Coordinator
Schedule date and time of training.
Arrange instructor schedule, distribute materials (If you are using multiple instructors).
Meet with all instructors to review their presentations and ensure speakers are prepared for
the sessions.
Review all course material thoroughly. Preview all slides and video segments that you are
planning to use. Titles do not always describe content! All audio-visual segments should
be relevant to the course content. For example, don't include slides that aren't relevant
simply for the sake of adding slides.
Prepare any jurisdiction specific material (outlines, slides, overheads, videos).
Logistics
Arrange for all necessary audio and visual equipment.
Provide necessary props for any role play.
Make copies of all handouts.
Arrange room. (Avoid a "classroom" setting. Rooms with chairs in a U-shape or with small
tables are best for group discussions.) Check the lighting, temperature, and "soundproofing"
of the room and anything else that may affect the comfort of the students. If heating the
room, remember that a room full of people can get warm quickly and you may want to set
the temperature a little lower than standard comfort level.
VII
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Make sure that all the students are situated so that they can hear you. Unless you hear any
complaints about the room environment, do not ask students if they are comfortable or need
adjustments to the lighting or temperature. Taking care of these requests can become time
consuming and you should have made all the proper adjustments ahead of class time.
Pre-Course Planning for Presenters
Allow approximately four hours of preparation time for every one hour of class time you will
teach.
Study the instructor guide and student manual. Review the reference materials (example
sheets and handouts), and select other reference materials and audio-visual materials (such
as slides your program may have Ion hand or appropriate videos) that you want to use
during the course. It is critical that presenters properly introduce all handouts and audio-
visual aids so the class understands how these tools fit into the course.
Arrange presentation of additional reference materials and audio-visual materials within the
course Practice use of the audio-visual materials and possible incorporation of scenarios
and role plays into the training. Get a good feel for the length of time that will be required
to present the audio-visual materials and the scenarios.
Research any regulations that are specific to your jurisdiction and must be presented within
the course.
Be certain to note the schedule tf)at you have developed for presenting the materials in
addition to any notes on items not in the manual and side notes to help in the presentation.
It will be easy to forget something bnce you have begun the presentation.
j
Take a watch to the podium or the desk with you or make sure you are facing a clock in the
classroom.
Pace your speaking pattern. Taking a few deep breaths now and then during delivery will
help to alleviate nervousness and speaking too quickly.
Although the manual is designed to allow the instructor flexibility in tailoring the course to the
trainees' needs, instructors should avoid contradicting the text or another instructor's
presentation in front of the trainees. Trainees are likely to become confused if they hear
conflicting opinions during training. If instructors have a difference of opinion it should be
resolved during a break and the results presented to the class. The instructor should make
sure that such disputes do not interrupt the class.
STUDENT EVALUATION
Getting feedback on the training course is critical to ensuring that the training course is an effective
teachinq tool. If your program may offer this training more than once, you should make sure the students
fill out an evaluation and then revise the course accordingly. You will find a sample student evaluation
form at the end of this section, immediately preceding the sample course schedule.
VIII
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SAMPLE STUDENT EVALUATION
Please take a minute to complete this form and return it to the course coordinator or lead instructor.
Please make your comments as specific as possible. Your comments will help us revise and improve the
training for future participants.
(1) Do you feel that the training has prepared you to issue field citations confidently? Why or why not?
(2) Did the training adequately cover the most important issues relating to issuing field citations?
Were there sections that should have been covered more extensively? Topics not covered that you
felt should have been?
(3) Were there any topics you think were particularly well or poorly handled? Please explain.
(4) Was the use of multiple instructors helpful or did you find it distracting?
(5) Were the instructors successful in presenting their materials? What could be improved in the next
training session?
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(6) Which exercises (scenarios, role plays, discussions) were most effective? Why? Which exercises
did not add to the course? How would you improve these exercises?
(7) What aspect of the training seminar did you like best? What aspect did you like least?
(8) What specific suggestions dp you have forl'improving the training seminar? What elements should
be changed, added, or removed?
Thank you for your time. Please return this forrp to the course coordinator before you leave.
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FIELD CITATION
INSPECTOR TRAINING
Sample Schedule
Day One
8:30 - 9:00 a.m. Introduction to Training/General Overview
9:00 -10:15 a.m. Explanation of Field Citations
10:15- 10:30 a.m. BREAK
10:30 - 11:00 a.m. Organization and Program Overview
11:00 -12:00 p.m. Defining Violations and Making Enforcement Decisions
12:00-1:00 p.m. LUNCH
1:00 - 2:00 p.m. Defining Violations and Making Enforcement Decisions
Wrap-Up and Questions
2:00-2:15 p.m. BREAK
t
2:15 - 3:30 p.m. Procedures for Issuing Citations
3:30 - 4:30 p.m. Follow-Up to Issuing Citations
Day Two
8:30 - 9:00 a.m. Review of Questions
9:00 - 10:30 a.m. Legal Evidence Needs
10:30-10:45 a.m. BREAK
10:45 - 11:45 a.m. Chain of Custody and Sample Handling
11:45-1:00 p.m. LUNCH
1:00 - 2:30 p.m. Enforcement Case Development and Testimony
2:30 - 3:30 p.m. Regulated Community Relations
3:30 - 4:00 p.m. Wrap-Up
XI
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JURISDICTION-SPECIFIC INFORMATION NECESSARY TO COMPLETE
COURSE PREPARATION
Module II (1) Mission statement of agency |
(2) Specific job performance review procedures affected by the citation program
Module III (1) Organizational structure
(2) Inspectors' position in the organization
(3) Relationship between expedited enforcement and other enforcement efforts
(4) Specifics of program implementation
Module IV (1) Procedures for handling multiple minor violations
(2) Procedures for handling major and minor violations at one site
(3) Circumstances warranting standard enforcement procedures
(4) Procedures for using warning citations/circumstances that warrant warnings
(5) Short-form wording lists
Module V (1) To whom inspectors may issue citations
(2) When inspectors must issue [citations
(3) Getting a signatures on citations
(4) Brief overview of appeals process
(5) Setting hearing dates
(6) Scheduling informal conferences
(7) Modifying or voiding citations
(8) Handling lost citations ;
Module VI (1) Specific follow-up procedures for citations
(2) Delivery options for citations
(3) Procedures for processing citations
(4) Necessary paperwork j
Module VII (1)
(2)
(3)
Policies regarding collection [of evidence
Policies regarding documentation of evidence
Policies for developing inspection reports
Module VIII (1)
(2)
Policies regarding sampling in the field
Specific chain of custody procedures
Module IX (1)
Module X (1)
Role of inspectors in the appeals process
Handling questions from the general public or the press
XII
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MODULE I:
INTRODUCTION TO FIELD CITATION TRAINING
Desired Outcome for the Module:
Inspectors will be introduced to what will be covered in the training course.
Approximate Time: 30 minutes
1-1
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CONTENT OUTLINE
INSTRUCTOR NOTES
!. INTRODUCTION TO THE TRAINING
A. Explanation of Field Citations
B. Organization and Overview of
Enforcement Program
C. Defining Violations and Making
Enforcement Decisions ;
D. Procedures for Issuing Citations
E. Follow-Up Procedures
F. Legal Evidence Needs
G. Chain-of-Custody and Sample Handling
H. Enforcement Case Development and
Testimony ',
I. Regulated Community Relations
J. Wrap-Up Discussions
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MODULE II:
EXPLANATION OF FIELD CITATIONS
Desired Outcome for the Module:
i Inspectors will understand their role in accomplishing the mission of protecting human health
and the environment
1 Inspectors will understand the difference between field citations and standard enforcement
Inspectors will realize the advantages of using field citations
Inspectors will be aware of the change from their previous role of inspection officer to their
new role as enforcement officer
Inspectors will understand the positive impact of field citations on their jobs
, Inspectors will be motivated to use field citations
Teaching Aids:
Group Discussion Topics
Reference sheet describing the multiple roles of the inspector
Chart detailing the differences between field citations and standard enforcement
Approximate Time: 1 hour and 15 minutes
11-1
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CONTENT OUTLINE
INSTRUCTOR NOTES
II. EXPLANATION OF FIELD CITATIONS
. A. Overview of Module
1. Overview of enforcement
2. Role of inspectors in enforcement activities
3. Field citation program and techniques
4. Advantages of field citations
5. Role of inspectors in the field citation program
B. Mission Statement of the Agency
1. To protect human health and the environment
2. To promote compliance and enforce regulations
3. To ensure that violations of regulations are
addressed in the most effective manner possible
C. Enforcement j
i
1. Enforcement is any action tal|:en under the
authority provided for in a statute^ administrative
order, or judicial action to achieve compliance
with a law
2. One of the major roles of : inspectors is
promoting compliance and enforcing against
violations
3. Field citations are one piece of a comprehensive
enforcement strategy
D. Role of Inspectors in Accomplishing the
Mission of Protecting Human Health and
the Environment
1. Inspectors are the backbone of enforcement
and compliance efforts ;
a. Inspectors are often the first and only
contact the regulated community has with
the Agency :
b. Inspectors represent the entire Agency in
any interaction with the community
c. The effectiveness of the enforcement
program depends on the inspectors
Section B should be brief.
Inspectors will probably already
understand their roles as
protectors of the environment and
enforcers. You should remind
them of these roles in Pans 1 and
2 and then discuss how expedited
enforcement techniques will help
them carry out these roles.
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CONTENT OUTLINE
INSTRUCTOR NOTES
d. The public depends on inspectors to
confirm that facilities are in compliance and
not threatening the environment
3. Inspectors perform more than one essential role
in the enforcement process
a. Official representative of the Agency
b. Fact-finder
c. Enforcement case developer
d. Enforcer/citer
What are Field Citations?
1. Field citations usually involve inspectors issuing
enforcement notices on site, often with a penalty
a. Citations are similar to traffic tickets
b. Citations are issued by an inspector on site
or shortly thereafter
2. Used for clear-cut violations
a. Simple to determine on site if a violation
has occurred (e.g., no sample test
required)
b. No "grey area" issues
3. Require owner or operator to correct the
violation
4. Can be warnings, notices of violation, short-form
settlement agreements, etc.
Differences between Standard
i Enforcement and Field Citation
Procedures
1. Standard enforcement usually involves Agency
staff issuing a Notice of Violation (NOV) or
Administrative Order to an owner or operator
through relatively complicated office procedures
2. Field citations involve relatively simple
procedures and are issued in the field
3. Standard enforcement procedures may include
the activities of one or more offices and many
staff
II-3
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CONTENT OUTLINE
INSTRUCTOR NOTES
4. Inspectors issue citations and Candle most of
the follow-up with field citations :
5. Standard enforcement generally involves
extensive paperwork and sometimes lengthy
court proceedings; cases are often not resolved
for long periods of time '
6. Field citations often eliminate extensive
paperwork and court backlogs i
i
7. Minor violations are often not addressed using
standard enforcement methods '
i
8. Using field citations, an inspector may be able
to address a simple violation quickly before it
becomes a major problem
a. Minor violations, when left1 unaddressed,
have the potential to become major
violations
9. Standard enforcement requires legal staff
involvement in nearly all cases :
10, Field citations only involve legal staff at the
program development stage; most of the issues
can be handled by the inspector or other
program staff i
G. Advantages of Field Citation^
1. Provides a relatively simple and effective method
for dealing with clear-cut minor violations
2. Allows the State or locality to take action in a
manner that is less complicated and
cumbersome than standard enforcement
proceedings
3. Allows more violations to be cited
4. Presents clear sense of consequences to owner
and operators
5. Allows violations to be addressed immediately,
on site \
6. Provides the inspector with another useful tool
in protecting human health and |he environment
7. Serves as a deterrent to violators; word will
spread in the regulated community about the
. program
Sections F and G should
demonstrate the advantages of
expedited enforcement over
standard enforcement.
A chart describing the
difference between standard
enforcement and expedited
enforcement is included at the
end of this section as a
handout.
The introductory video on the
District of Columbia's Office of
Civil Infractions Program is a
good sample of a video
developed by one locality to
present its overall field citation
program. You may wish to
obtain a copy from Washington,
D.C. and view it as an example.
Contact the District of
Columbia's Office of Civil
Infractions for information. The
address can be found in the
companion booklet, "How to
Develop Your Own Field Citation
Program."
II-4
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CONTENT OUTLINE
INSTRUCTOR NOTES
8. Sets forth enforcement strategy from the outset
a. Under standard enforcement, policy is
often determined after the enforcement
action is initiated
b. Lack of established policy can be difficult
and confusing for regulated community
and inspectors
H. Advantages of Field Citations for
inspector's Job
1. Inspectors find violations and cite them, rather
than reporting the violation to enforcement
personnel at the Agency
2. Inspectors have the satisfaction of facilitating the
relatively speedy conclusion of cases
("immediate gratification")
3. Inspectors can follow enforcement cases
through to their conclusion
4. Inspectors have responsibility of knowing when
and what to cite
5. Inspectors become a
enforcement presence
constant, visible
6. Inspectors will be recognized as effective
enforcement officers
7. Inspectors may have more control of the
outcome of their work through the use of
citations
8. Lengthy and complicated appeals are unlikely,
so inspectors will have more control over their
schedules
9. Field citations increase the inspectors'
enforcement presence considerably
10. Field citations allow the inspector to issue a
warning or penalty that is "tailored" to the
situation without requiring extensive
administrative resources
11. In an "introductory" warning citation program,
the inspectors will have important input to
perfect the procedures; they will be the experts
Instructors will need to address
Section H in a program-specific
manner. Some programs may be
established and inspectors will be
familiar with standard enforcement
procedures, a situation which may
require "convincing" that expedited
enforcement is more efficient
overall. Other programs and/or
inspectors may be new and more
accepting of the concept.
II-5
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CONTENT OUTLINE
INSTRUCTOR NOTES
12. Issuing citations may help inspectors have an
immediate effect on protecting i human health
and the environment
a. Owners and operators rpay be more
vigilant about keeping tank systems in
compliance if violations are cited
immediately
b. Owners and operators will realize that the
Agency "means business," and thus come
into compliance to avoid citations
I. Inspectors' Roles May Change with the
Implementation of the Field Citation
Program
1. The relationship between inspectors and
regulated parties may become'similar to the
relationship between traffic police and citizens
2. Inspectors will have the authority to take
immediate enforcement actions
3. Standard enforcement methods will still be
necessary in some situations, especially in the
case of 'major" violations |
4. Violations will need to be addressed promptly
for the program to be effective ;
At this point, you should insert any
local points regarding the mission
of the Agency or Department. You
should explain specific job
performance review procedures
and address how the citation
program may or may not affect the
reviews. Be sure to include local
policies and guidelines.
Conduct class discussion using
the Group Discussion
suggestions that follow. Also,
distribute handout on roles of
inspectors found at the end of
this module.
II-6
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MODULE II: Teaching Aids
Group Discussion Topics
Multiple Roles of the Inspector
Field Citations Compared with Standard Enforcement
11-7
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GROUP DISCUSSION TOPICS
A group discussion of the overall concept of field citations should be held. The discussion should
include a candid explanation of what will be required of inspectors and how the job may change and then
allow time for all inspectors to discuss the new program and their roles in it. The discussion will be
especially helpful in the case of experienced inspectors who have used standard enforcement methods
in the past. Some inspectors, new or old, may hiave difficulty with the concept of issuing citations. The
discussion may help alleviate their concerns andimay be helpful in identifying inspectors who might not
have the personality to issue citations. As many of the topics that inspectors bring up here may be
covered in subsequent modules, this discussion, can be used to get concerns out in the open from the
beginning.
Suggestions for group discussion topics:
What problems do the inspectors foresee with field citations?
How would the inspectors address the problems?
How will field citations affect the inspectors' enforcement activities on a day-to-day basis?
How can inspectors get better cooperation from the owners and operators when using field
citations?
What are inspectors' initial problems with/objections to using field citations?
If the program will be implementing an "inti-oductory warning citation program at first, stress how
this may make inspectors' jobs easier by preparing both themselves and the regulated community for the
final citation. Also, inspector input on the program will be needed to refine the program after the warning
period is complete.
11-8
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EPA's Office of Enforcement and Compliance Monitoring (OECM):
Multiple Roles of the Inspector
The following handout should be distributed to students during the Module II discussion
concerning the roles of inspectors. It provides an interesting view of the job of inspector and
presents the different tasks the inspectors may be asked to perform.
11-9
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Multiple Roles of the Inspector
Official Representative. The inspector is a representative of EPA and is often the only Agency
official the plant manager and facility workers will ever see in person. In dealing with these
facility employees, the inspector must be dignified, tactful, courteous, and diplomatic. The
inspector's technical competence and know-how reinforce the credibility of EPA. Equally
important is the manner in which the inspector explains the "purpose of the visit, what the
requirements are, and why the facility should comply with them.
Fact-Finder. The inspector assesses whether the facility is in compliance with the laws and
regulations and with any relevant environmental permits. The inspector must be skilled in
obtaining the critical information tha^ is necessary for EPA to determine compliance or
noncompliance. Often the key pieces of information are not easy to see and go beyond the
standard data from stack tests, effluent samples, temperature readings, and the like. A skilled
inspector has developed the ability to obtain significant information through conversation with
facility -employees and knows how to follow up on these leads. When a facility is found to be
not in compliance, the inspector may also be responsible for identifying the cause of the
problem.
Enforcement Case Developer. The inspector collects and preserves evidence of
noncompliance for use in enforcement actions. The inspection is usually the primary basis
for the government's case both in administrative and judicial enforcement actions. The
documentation in the inspection report and the inspector's field notes can make or break a
case. The same is true of samples taken during the inspection. Without good documentation
by the inspector, even the most thorough inspection may be useless for enforcement
purposes. But an expertly prepared inspection report with its associated' samples can be
highly persuasive to a judge, a jury, or: an administrative law judge. The inspector is often the
key witness for the government in an |enforcement proceeding.
Enforcement Presence. The inspector "shows the flag," creating a visible, credible presence
of the interest and power of government in the eyes of particular managers at a particular site.
More important, the inspector's presence casts a wide shadow over other regulated facilities,
whose managers are deterred from violating the environmental requirements because they
know that an inspector may visit their facility, too. Enforcement, as personified in the
inspector, is the underlying motivator for those managers who would not otherwise be
concerned about keeping their facilities in compliance.
t
Technical Educator. The inspector serves as a source of regulatory information, and tactfully
provides technical assistance to facility managers by directing them to useful sources of
information relevant to problems observed at the facility. The inspector may discuss remedial
actions that might be explored and may refer questions and problems to other EPA or State
personnel with pertinent expertise. However, the inspector does not give advice, as this could
jeopardize future ehforcement action.
Technical Authority. Inspectors are frequently called upon to help the Agency interpret
regulatory requirements, assess the adequacy of control measures, interpret technical data,
and assess environmental impacts.
11-10
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EPA's Office of Underground Storage Tanks
Field Citations Compared with Standard Enforcement
This chart compares the characteristics of expedited enforcement with the characteristics
of standard enforcement. It provides a concise summary of the benefits of expedited
enforcement for the inspectors and the program as a whole.
11-11
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FIELD CITATIONS COMPARED WITH STANDARD ENFORCEMENT
FIELD CITATIONS
STANDARD ENFORCEMENT
Inspectors issue field citations on site (or shortly
after leaving the site)
Inspectors report violations to the Agency for the
issuance of NOVs by mail by administrative staff,
based on inspector reports
Field citations provide immediate enforcement
response to clear-cut violations and rapid
remediation since the violator has a greater
incentive to address the cited violation and pay
a modest fine than to contest
Standard enforcement of even minor violations
can result in protracted delays as files are
processed, possibly encouraging violators to
delay correcting the violation or to contest a
"stale" case
Field citations streamline the enforcement ,
process by focusing on the inspector, often ;
reducing or eliminating the need to involve ;
administrative or legal personnel in minor!
violations
Field citations can reduce court backlogs and
facilitate enforcement by keeping small cases out
of the enforcement pipeline and focusing
resources on larger cases '
Standard enforcement actions require the
inspectors and administrative staff to spend time
and resources processing enforcement cases
Standard enforcement cases are often resolved
in administrative hearings or the civil or criminal
court system, meaning that backlogs of cases
are created and that cases are often settled
months or years after they begin
Field citations create a clear message for
violators that no violation will be overlooked
The complex nature of standard enforcement
makes it difficult to take action against all
violations; often, only the most serious violations
are addressed
A field citation program builds staff morale as the
citations allow staff, especially inspectors, to:
close many cases nearly on the spot or to see a
case through from initial citing to settlement and
compliance
Standard enforcement can lead to frustration
among inspectors and administrative staff
because of the length of time it can take to
resolve a case and the transfer of control of the
case to legal staff
11-12
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MODULE III:
ORGANIZATION AND PROGRAM OVERVIEW
Desired Outcome for the Module:
Inspectors will understand their role in the enforcement process
Inspectors will be familiar with relevant State or local organization and roles and functions of
the departments
Inspectors will understand how field citations fit into overall enforcement efforts
Inspectors will know the details of program implementation
Teaching Aid:
Organization materials from District of Columbia's Office of Civil Infractions. (Use local
materials, if available.)
Approximate Time: 30 minutes
111-1
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
III. ORGANIZATION AND PROGRAM OVERVIEW
This module is a blank module. Localities will need to develop
the section using jurisdiction-specific material. Material should
cover the following points:
Describe inspectors' role in the enforcement process
Provide overview of the relevant state or local
agency, and the roles of its staff
Show how field citations fit into overall enforcement
efforts
Describe and explain the implementation of the
program (how long will the warning period be, etc.)
Module III is entirely jurisdiction
specific. Please see the District
of Columbia's Office of Civil
Infractions organizational materials .
in the samples section at the end
of the module. The D.C.
documents provide an example of
how one locality presented the
organizational material.
You may wish to talk to your office
director to determine what
information would be. relevant to
include for your program. We
recommend that you keep this
section relatively brief; it should
be treated as an "overview." The
key points to remember here are:
Clearly indicate to the
inspectors where they fit in
the structure of your
organization
Explain how the new
expedited enforcement
program will fit into and
affect the organization
Provide a brief overview of
when or whether standard
enforcement methods will be
necessary
Distribute copies of
organizational materials and/or
use overheads.
I 111-2
-------
MODULE III: Teaching Aid
Samples of District of Columbia Office of Civil Infractions Organization Materials
II1-3
-------
District of Columbia, Office of Civil Infractions
Organizational Materials
An example of materials that could be used in conjunction with the Module III discussion of
program organization and staff roles. Washington D.C. has developed charts explaining the roles
of each office in the Civil Infractions Program for their inspector training course. An instructor may
wish to make similar charts and handouts for his or her program. The Washington D.C. instructors
have copied each of these charts onto an overhead transparency to use during course presentation.
111-4
-------
THE OFFICE OF CIVIL INFRACTIONS
Violations
Processing
Division
Documents
Examination
Branch
Citation
Information
Branch
Office
of the
Chief
Collections
Division
Payment
Processing
Branch
Collections
Branch
1
Adjudication
Support
Division
Scheduling
Branch
Verification
Branch
-------
OCI'S FUNCTIONS AND ORGANIZATION
OFFICE OF THE CHIEF: : . .
Acts as a Liason with:
1. Office of Adjudication
2. Office of Compliance
3. Metropolitan Police Department
4. Corporation Counsel ,
i
5. Other Government Agencies
Ensures the enforcement of penalties imposed under the Civil Infractions Act of 1985
Coordinates training sessions with the Office of Administration and Management (OAM)
Conducts staff training sessions designed to ensure consistency in the issuance of
citations
VIOLATIONS PROCESSING DIVISION:
Coordinates distribution of general information with entire department of consumer and
regulatory affairs. !
i
Tracks the ticket from issuance through adjudication to collections
Edits and prepares all tickets for entry into Civil Infractions Citation Tracking System
(CiCTS) ;
i
Monitors system to identify cases for referral to other administrators
CITATION INFORMATION BRANCH:
Provides information to the public concerning Office of Civil Infractions
Assists walk-in respondents with payments of tickets and requests for hearings
Answers telephone inquiries
IH-6
-------
DOCUMENTS EXAMINATION BRANCH:
Collects and processes citations issued by inspectors/investigators
Edits all tickets and checks for errors
Enters data contained in NOIs into Civil Infractions Citation Tracking System (CICTS)
COLLECTIONS DIVISION:
Processes all payments
Coordinates deposits of fines and revenues with Office of the Controller and D.C. Treasurer
Initiates collection proceedings for delinquent acc'ounts
Coordinates suspension/revocation of licenses resulting from failure to pay with Offices of
Adjudication, Compliance and other Administrations
PAYMENT PROCESSING BRANCH:
ซ , Receives and records all payments
Prepares financial reports
COLLECTIONS BRANCH:
Collections proceedings include research to the corporation counsel for prosecution,
suspension and/or revocation of licenses
ซ Initiates second notices of infraction (SNOI) to respondents who did not respond in a
timely manner
ADJUDICATION SUPPORT DIVISION:
ป
Maintains liason with the Office of Adjudication
Provides administrative support to the Office of Adjudication
Processes requests for hearings
Coordinates the scheduling of hearings
Verifies respondents compliance with Administrative Law Judge's orders
111-7
-------
SCHEDULING BRANCH: j
Schedules hearing (in person or by rpail)
Provides notices of hearings to respondents and DCRA inspectors and investigators
Prepares case files for hearings
Initiates mail adjudication process
VERIFICATION BRANCH:
Monitors respondent's activities to ehsure timely compliance with Administrative Law
Judge's order
Receives and verifies certificate of compliance and support documents
. Initiates re-inspections on respondents not certifying abatement of violations
Refers matter of untimely compliance, or failure to certify compliance to Administrative Law
Judge and Office of Compliance
11-8
-------
MODULE IV:
DEFINING VIOLATIONS AND MAKING ENFORCEMENT DECISIONS
Desired Outcome for the Module:
Inspectors will know which violations they will address using citations
Inspectors will know what to do if they encounter complicated situations
(a) Multiple infractions
(b) Combinations of minor and major violations
(c) The necessity for standard enforcement procedures
Inspectors will learn what short-form wordings are and how to use them consistently
Inspectors will understand the purpose of introductory warning citations
Inspectors will understand the importance of consistency
Inspectors will develop a common understanding, approach, and vocabulary among
themselves
Teaching Aids:
: Short-form wordings (use local form, if available; selected short-form wordings for the
Federal technical standards are included in samples section at the end of the module)
Overhead short-form wordings (use local form, if available)
Scenarios
Approximate Time: 2 hours (including question and answer period)
IV-1
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
IV. DEFINING VIOLATIONS AND MAklNG
ENFORCEMENT DECISIONS ;
A. Overview of Module
1. Skills necessary to determine when to cite
2. Overview of citations and procedures for using
them
3. Use of short-form wordings
B. Judgment in the Field
1. Clear-cut v. non-clear-cut violations
a. Clear-out violations allow simple
determination (on-site) of whether a
violation has occurred (no gray areas)
b. Inspectors should not need, to make
judgment calls regarding whether a
violation has occurred. ;
c. Inspectors can always call a supervisor if
they have doubts about a situation
2. Local procedure when there are; multiple minor
(citable) violations at one site
3. Local procedure when there are both minor
and major violations on one site!
4. Local policies for use of standard enforcement
procedures in certain circumstances
Module IV may be the most
critical in the course, and it may
take some time to go over the
violations and short-form
wordings. You may want to have
inspectors try to make
enforcement decisions in
example scenarios before you
begin explaining the policies.
Stress that situations may not
always be clear-cut and the
important thing is to have
consistency among inspector
responses to situations. Make
the inspectors aware of grey
areas and allow the class to
work out solutions. You may
then teach the section using the
initial inspector response to the
situation.
All of the issues covered in
Section B are program-specific.
You should cover each of these
areas and explain your local
procedures.
Determining when to cite,
especially if there are multiple
violations at one site, is one of
the most difficult decisions the
inspector will have to make in
the field. The more guidance
that administrators can provide,
the better the job inspectors will
do in the field. This is an area in
which inspectors are likely to ask
many questions. The purpose of
this module is to give inspectors
clear guidance, so that when
they are in the field they are
confident about the actions that
they take.
IV-2
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
C. Warning Citations
1. Using introductory warning citations
a. Introductory warning citations are meant
to introduce both the regulated
community and inspectors to the
procedures of the citation program
b. The citations are useful as public
relations
1) Introducing the program to the
regulated community and the general
public
2) Informing the regulated community of
its responsibilities
c. The citations generally do not carry
penalties or immediate enforcement
actions
d. The citations are designed to warn
owners and operators to correct
violations; the Agency will take further
enforcement actions if violations are not
corrected
e. The end of the warning period
1) Violations could possibly be added to
the program
2) Procedural adjustments could be
made
3) Penalties could be attached to
specific violations
f. Inspectors should use the period to
evaluate the procedures and help to
develop an efficient program
2. Ongoing warnings
a. If the program is not using introductory
warning citations, or if the introductory
period is complete, there may be
circumstances in which it is appropriate
to "warn" owners and operators
b. Warning an owner or operator implies
that there will be no formal enforcement
actions at present, but the violation(s)
Section C concerns the use of
introductory warning citations
and the issuance of warnings to
owners and operators:- It is
important for inspectors to
understand the concept of
warning v. citing, especially if
your inspectors will be warning
on a regular basis. Some
programs will use warnings on
an ongoing basis; a warning
citation is issued before a
penalty citation. This concept is
covered in Section C, pan 2.
Use written scenarios (such as
the two included as teaching
aids at the end of this module)
to demonstrate grey areas and
generate discussion. Show
video scenarios, if available
and appropriate.
IV-3
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
must be corrected or formal actions will
result I
c. Warnings will probably be an option for
you only in limited circumstances, e.g.,
the owner or operator is aware of the
violation, has contracted with someone to
fix it, and the contractor is poming the
next day
d. Warnings should not be used
indiscriminately; the citation program is
designed to give a clear enforcement
message to owners and operators
D. Short-Form Wordings >
1. Short-form wordings are concise phrasings of
regulations
a. Easy to remember
b. Recorded on citations
c. Used to cite violations
2. In programs with penalties, each short-form
worded violation or category of i violations
corresponds to a particular penalty amount
3. Inspectors should be familiar with the
wordings and the full meaning of each before
conducting inspections <
4. It will be useful to bring a shorMorm list or
booklet on inspections, if available
5. Consistency of wordings is important
a. Short-form wordings should be quoted
exactly in ajl situations
b. The code should be the guide; inspectors
should not try to "fit" a situation to the
code
6. Each short-form wording should be carefully
defined and reviewed by program staff and
inspectors before it is used in the field
7, Inspector input is essential in developing
wordings; it is important to report short-form
wordings commonly misunderstood by owners
or operators to program directors so that they
may be revised ;
In Section D, you should go over
the short-form wordings for the
program, taking the time to
explain each of them carefully.
Stress that it is important that all
inspectors define and cite
violations using the same
vocabulary and phrasings;
consistency is crucial to the
program.
Distribute copies of your short-
form wording lists, especially if
you have a booklet for
inspectors to carry with them
in the field. An overhead
transparency of the list may be
useful. An example of a short-
form wording list is included in
the samples section at the end
of the module.
Use scenarios and role play (see
the following "teaching aids"
section) to help students learn
the content of this module. Use
video segments or scenarios
or slides your program may
have from site inspections to
supplement the materials
provided in this manual.
IV-4
-------
Module IV: Teaching Aids
Scenario for Procedures to Resolve a Field Citation
Scenario for Defining Violations
Short-Form Wordings List
IV-5
-------
SCENARIO IV-1
I
This scenario, a simple example of an on-site inspection, is designed to help inspectors practice
procedures involved in issuing a field citation.
The inspector is conducting a routine inspection at a large gas station. Everything
seems to be in order. When the inspector examines the groundwater monitoring wells,
however, he discovers that one is clogged iwith debris. The well looks inoperable, and
I
from his inspection of the records it is clear that no samples have been taken from this well
in four months. The other three wells at the site are operable and there is no evidence of
a leak. The operator has sloppy but generally good leak detection records.
Suggested Questions:
1) What action(s) should the inspector take?
2) How would field citation procedures in this situation differ from standard enforcement
procedures?
3) What short-form wording is applicable to this situation?
Expected Outcome; Inspectors should discuss differences between standard enforcement and field
citation procedures, and the instructor should point out the greater efficiency of field citations.
Inspectors should be able to identify the violation(s).
IV-6
-------
SCENARIO IV-2
This scenario is an exercise in defining violations.
The inspector arrives at the site at which Ms. Olazabel is the owner and operator of
four tanks. Three, of the tanks are new and have secondary containment with interstitial
monitoring. The inspector observes that the fourth tank, however, is older and appears to
be unused. There is only a small amount of product in the bottom of the tank. The
inspector asks Ms. Olazabel whether the tank is in service and she says that it has been
temporarily out-of-service for six months. The inspector reminds her that the State UST
Program must be notified of temporary closure and that the tank must be returned to
service or removed or closed in place within a specified time period. He also notifies her
that temporarily closed tanks must have all the lines disconnected except for the vent. Ms.
Olazabel has also failed to pay her permit fee on all of the tanks. Ms. Olazabel says to the
inspector, "Oh, just let me write a check right now and disconnect the lines while you're
still here."
Suggested Questions:
1) Should the inspector issue a citation?
2) If so, what specific short-form wording (s) should be used?
Expected Outcome: The instructor should encourage the class to identify all violations and discuss
what actions should be taken and why. The instructor should define.the correct response to the
situation in the scenario.
IV-7
-------
EPA's Office of Underground Storage Tanks
Short-Fonji Wordings List
An example of materials that could be used in conjunction with the Module IV discussion
of making enforcement decisions.
This list contains short-form wordings of some of the Federal technical UST standards. A
list such as this one will:
. Assist the instructor in explaining and demonstrating short-form wordings for the
program;
Aid instructors in demonstrating clear-cut and non-clear-cut violations;
. Give inspectors practice in identifying violations that are appropriate for field citations;
Help inspectors define violation^; and
. Provide practice for inspectors in filling out citations (they should be asked to choose
one of the violations to cite in a scenario).
IV-8
-------
SELECTED SHORT-FORM WORDINGS OF FEDERAL REGULATIONS
The following sample short-form wordings for field citations were developed from selected
sections of the Federal UST regulations. The wordings below provide an example of how a program
may develop short-form wordings for its own regulations. These short-form wordings are not
developed from an exhaustive list of all sections of the Federal UST regulations, but from several
sections of the Federal regulation that provide a variety of possible violations that could be enforced
using field citations.
Regulatory
Citation
Violation
280.20 Performance standards for new UST systems
280.20(a)(2) No cathodic protection for tank
280.20(b)(2) No cathodic protection for piping
280.20(c) No spill prevention system
280.20(c) No overfill prevention system
280.22 Notification requirements
280.22(a) Failure to notify agency within 30 days of bringing UST system into use
280.22(c) Failure to identify all USTs on notification form
280.22(e)(1) Failure to certify on notification form that UST system was installed properly
280.22(e)(2) Failure to certify on notification form that UST system is cathodically protected
280.22(e)(3) Failure to certify financial responsibility on notification form
280.22(e)(4) Failure to certify proper release detection use for UST system on notification form
280.22(f) Failure to provide installer certification of compliance with installation requirements
on notification form
280.22(g) Failure to notify purchaser of UST system of notification requirements.
280.30 Spill and overfill control
280.30(b) Failure to report a spill
280.30(b) Failure to report an overfill
280.30(b) Failure to investigate a spill
280.30(b) Failure to investigate an overfill
280.30(b) Failure to clean up a spill
280.30(b) Failure to clean up an overfill
IV-9
-------
SELECTED SHORT-FORM WORDINGS OF FEDERAL REGULATIONS
(continued)
Regulatory
Citation
280.31 (a)
280.31 (b)(1)
280.31 (c)
280.31 (d)
280.33(d)
280.33(6)
280.33(0
280.40(a)
280.40(b)
280.40(0)
280.41 (a)
280.41 (b)
280.45(3)
280.45(b)
280.45(c)
Violation
280.31 Operation and maintenance of corrosion protection
Failure to properly operate and maintain corrosion protection system
Failure to properly test corrosibn protection system
Failure to properly inspect impressed current cathodic protection system
Failure to maintain records of cathodic protection inspections or testing
280.33 Repairs allowed
Failure to have repaired UST system tightness tested as required
Failure to test UST system cathodic protection system within 6 months of repair
Failure to maintain repair records for operating life of UST
280.40 General requirements for all UST systems (Release Detection)
Failure to provide adequate release detection for UST system
i
Failure to notify agency of indicated release
Failure to provide adequate release detection by phase-in date
280.41 Requirements for petroleum UST systems (Release Detection)
Failure to monitor tank for releases as required ,
Failure to use approved release monitoring method for piping
280.45 Release detection recordkeeping
Failure to maintain records of release detection monitoring
Failure to maintain results of ai sampling, testing, or monitoring as required
Failure to retain record of calibration, maintenance, and repair of release detection
equipment
jV-10
-------
SELECTED SHORT-FORM WORDINGS OF FEDERAL REGULATIONS
(continued)
Regulatory
Citation
Violation
280.52 Release investigation and confirmation steps
280.52(a) Failure to conduct tightness test(s) to investigate suspected leak(s)
280.52(b) Failure to examine and measure an UST site for suspected leak(s)
280.70 Temporary closure
280.70(a) Failure to operate and maintain corrosion protection in a temporarily closed UST
system
280.70(a) Failure to operate and maintain release detection as required in a temporarily
closed UST system
280.70(b)(1) Failure to leave vent lines open and functioning during temporary UST closure
280.70(b)(2) Failure to cap and secure all UST related equipment for temporary closure
280.72 Assessing the site at closure or change-in-service
280.72(a) Failure to measure for the presence of a release before a permanent closure
280.74 Closure Records
280.74 Failure to maintain proper closure records
IV-11
-------
-------
MODULE V:
PROCEDURES FOR ISSUING CITATIONS
Desired Outcome for the Module:
Inspectors will understand correct procedures for issuing field citations
Inspectors will know when and where to issue citations
Inspectors will realize the importance of accuracy
Inspectors will know how to handle mistakes
Teaching Aids: Scenario for Defining Violations and Whom to Cite
Scenario for Using Field Citations
Copy of a field citation (use local form, if available)
Approximate Time: 1 hour and 15 minutes
V-1
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
V. PROCEDURES FOR ISSUING CITATIONS
A. Overview of Module
1. . Procedures for issuing citations
2. Procedures for filling out citations
3. Importance of accuracy and conhpletehess
B. Identifying the Owner or Operator
1. To whom can citations be issued?
a. Owners, if known and readily available,
should be issued citations
i
b. Operators (managers) on site at facilities
should be issued citations if owners are
not available
c. Any persons on site can be issued
citations if owner or operator is not
available (search for someone with
authority first)
1) Persons with whom inspectors have
held an opening conference and
explained the purpose of the visit
2) Persons in charge of business
operations at the time of the
inspection j
3) Whoever is on site at the time of the
closing conference |
2. "Owners or operators"
a. Property owner
I
b. Owner of the business ,
i
c. Manager of the business, if manager runs
business in the place of the actual
property or business owner
The tone of training changes
slightly at this point. The
emphasis shifts from a general
explanation of the program to
specific instructions for the
inspectors about procedures.
The language in the manual
shifts to direct instructions to the
class; the instructor'may, wish to
change language as well ("Make
sure you do this..").
Section B addresses the
question "To whom do I issue
the citation?" Go over
jurisdiction-specific policies
regarding identification of the
owner or operator and correct
citation recipients. This is
important if inspectors must
record the name of the owner or
operator on citations. It may be
that any person on site can be
issued a citation and the
name/signature of the owner or
operator is not necessary for the
citation. It also may be possible
to post the citation somewhere
on site without a specific person
receiving it. Make this clear to
the inspectors. [The phrase
"owner or operator" is used
throughout this manual to
designate the citation recipient
or the person on site at the time
of the inspection. This may
mean the owner, manager,
facility supervisor, attendant, etc.]
V-2
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
C. When to Issue Citations
1.
2.
3.
4.
If there is someone on site available to speak
with, hold an opening conference before the
inspection begins
a.
b.
Explain that there is a new enforcement
program and you now have the authority
to issue citations
Stress that the new program does not
mean that the regulations have changed,
only the method of addressing violations
If there are no violations on a site, do not say
"there are no violations," merely say "no
violations are detected at this time"
. If there are violations addressable with
citations at a site, issue the citation after the
inspection, during a closing conference
Issue the citation after you leave the site, from
the office, if unsure about violations or if the
persons on site are belligerent or angry
a. Do not leave the site without explaining to
persons on site that a citation will be
issued
b. Do not leave the site allowing the persons
on site to believe that nothing was wrong
at the site
V-3
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
D. Filling in the Blanks
1. Specific information
a. Date
b. Time
c. Violations) - short-form wording(s) and
appropriate code section(s)
d. Name and address of facility
e. Name and address of ownisr or operator
f. Inspector's name and identification
information I
g. Hearing or court date, if inspector is
required to set one on site:
h. Inspectors' informal conference date, if
necessary
i. Reinspection date, if inspectors are
required to set them when issuing *
citations
2. Signature of persons on site
a. Attempt to get an appropriate person on
site to acknowledge receipt of the citation
by signing it ; ซ
b. Emphasize to persons on site that
signing citations is not an [admission of
guilt, it is simply an acknowledgement
that the citation was received
c. If persons on site refuse to sign, avoid a
confrontational situation
1) Check records back at the office to
determine if there is someone else to
whom the citation can be issued
i
2) Citations can be posted on the
premises (if you have a camera, take
a picture of the posted citation) .
3) Call supervisors to get advice on how
to proceed <
Mock copies of citations should
be distributed before discussing
lection D and inspectors should
ollow along on the citation. It is
mportant to emphasize what
nformation your program must
have for a valid citation'. Make
*,ure that the inspectors are
nvolved and not simply listening
to your instructions. Some
programs may not require
'nspectors to complete and issue
citations themselves, but
'nspectors may need to collect
'nformation at the site (e.g., exact
name and address) so that
administrative staff may complete
citations later. When addressing
the issue of getting a signature
from someone on site, stress
whether it is necessary and who
it must be. Explain what
inspectors should do if they are
required to get a signature and
persons on site refuse.
Use an overhead copy of the
field citation to refer to specific
sections. The overhead can be
"filled in" as you go through the
explanation.
V-4
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
3. Complete the citation legibly and in pen, and
be certain that information goes through to
each copy in multi-copy citations
4. Check the citation for completeness and
accuracy
5. Provide the owner or operator with the
appropriate copy of the citation
6. If using introductory warning citations, follow
ajl procedures correctly
a. It is important to the evaluation of the
program for inspectors to be thorough
b. Inspectors should not develop a relaxed
attitude about citations
Recording Hearing Dates on the
Citation
1. Brief overview of local appeals process
2. Local procedures for setting hearing dates
3. Local process for scheduling informal
conferences
Accuracy
1. Inaccuracy may invalidate citations
2. All sections of citation must be filled out
accurately and thoroughly
3. Guesses should be avoided; get the correct
information
4. Some information may be available from
department records, check them before going
on the inspection
a. Name and address of owner or operator
b. Permit/license number
// inspectors will be required
to set hearing dates on site,
explain the procedures in
Section E. It will take some
explanation to do this; give a
brief overview of the appeals
process and emphasize that
there will be.further details in
Module IX.
V-5
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
G. Dealing with Mistakes
1. Mistakes will happen
a. Mistakes are expected within a new
program '
b. Do not refrain from using citations out of
fear of making mistakes
c. Check and double-check citations to spot
mistakes before issuing
i
2. Modifying a citation
3. Voiding a citation
4. Lost or damaged citations i
In Section G, cover jurfsdiction-
specific instructions for how to
deal with mistakes, stressing the
fact that everyone makes
mistakes and inspectors should
not try to cover up or avoid
dealing with mistakes.
There may be many questions
about procedures and you
should try to anticipate them,
such as "what do I do if the
owner or operator is not on
site?" or "what do I do if the
individual on site refuses to sign
the citation and I am required to
get a signature?"
Distribute several scenarios
and ask the inspectors to fill
out citations for the different
situations. Or, hand out
several incorrect citations and
ask inspectors to spot flaws
and describe how they would
correct the citations. The
following leaching aids"
section has examples of these
exercises.
V-6
-------
Module V: Teaching Aids
Scenario for Defining Violations and Whom to Cite
Scenario for Using Field Citations
Field Citation Sample
V-7
-------
SCENARIO V-1
[ . '
i
This scenario is an exercise in defining violations and determining whom to cite. It introduces a
complicated situation for the inspector. \
The inspector arrives at Mr. Collier's gas station and convenience store to perform a
routine inspection of the two tanks at the facility. The inspector discovers that the facility
does not have a permit and issues a citation to the operator on site, Mr. Collier's brother-
in-law, Mr. Laurel. After thirty days, the inspector returns to the site for a follow-up
inspection. The facility still has no permit, the inspector discovers that there is a new
operator on site, Mrs. Hardy. When the inspector explains the purpose of his visit and the
fact that the facility was issued a citation a month ago, Mrs. Hardy becomes angry and
claims that she does not know what the inspector is talking about. She states that she is
the new manager and operator of the station and that neither Mr. Collier nor Mr. Laurel is
associated with the facility in any way. To jprove her point she shows the inspector
documentation relating to the sale of the service station and records from the previous
owner. Among these documents is the citation the inspector issued the previous month.
Suggested Questions:
1) What should the inspector do?
2) How should the inspector follow up this situation?
Expected Outcome: Inspectors should discuss situations in which the owner or operator has
changed during the progress of an enforcement case. Another discussion may involve to whom
citations should be issued to encourage response.
V-8
-------
SCENARIO V-2
This scenario is an exercise in defining violations, determining when to use field citations, issuing
citations, and using the short-form wordings. The inspector in this scenario has little information, and
the delegation of responsibility for the tank facility is complicated. Use this scenario as practice in
accurately filling out a field citation and as practice in deciding whether to proceed with formal
enforcement or whether to issue a citation.
The inspector is making her first inspection of a large public school district's bus garage.
The bus garage holds over 250 buses. It has two USTs over 25 years of age with approximately
5,000 gallons of capacity; one stores gasoline and the other diesel fuel. There is also one
smaller UST that holds less than 800 gallons of heating oil. The heating oil is used to heat the
facility and is not sold commercially. Due to budgetary restrictions the school district recently
laid off a large number of staff, including the former operator of the bus garage. Sam Dymowski,
a former clerk for the district custodial staff who has no experience in operating the bus garage,
became the new operator two months ago. The inspector asks Sam to show her around the
facility. The first thing she notices is that there is no spill or overfill protection installed on any of
the tanks. After she completes her inspection she asks for the tank records. Mr. Dymowski
gives her the tank fill receipts from the last two years, tank and line tightness tests, and inventory
control records on the larger tanks. While the tank and line tightness tests for the gasoline and
diesel tanks are up-to-date and do not indicate a leak, inventory control records are spotty. The
volume of product delivered and the amount dispensed are reconciled on the inventory control
sheet for some months, but not for all. .Mr. Dymowski explains that he has "just guessed" how to
perform monthly reconciliation for the past few months because no one taught him how to do it
properly. The inspector's perusal of the facility's records verifies Dymowski's statement that the
owner of the garage and the tanks is the district school board.
V-9
-------
Suggested Questions: ;
1) What is the first action that the inspector should take?
i
t
2) Should the inspector initiate formal enforcement procedures or issue field citations?
3) How should the inspector proceed with the inspection? Must she first acquire
complete records? Should she try to contact other parties?
Expected Outcome; Inspectors should go oventhe procedures for an inspection and be able to
define the violations. Inspectors should also dispuss what mistakes could be made in this
circumstance. I
rV-10
-------
EPA's Office of Underground Storage Tanks
Field Citation Sample
A copy of the program's field citation (front and back) could be used in conjunction with the
Module V discussion of procedures for completing citations. The handout will be especially effective if
the citation is presented as an overhead for reference along with handouts for the inspectors, The
instructor can ask the students to fill out the handout citation and then demonstrate the correct way to
complete the form by filling in the blanks on the overhead.
V-11
-------
SAMPLEiFIELD CITATION
FRONT SIDE
BACK SIDE
UNOEF
(arm
Farm ID
t^t, UiitK
Mtiwoiaaonol
uaMvnacwy
aany tป \nm
Codaw f
CeeaKl
WAKMNd: II
aoiuปoatonei
fuapannonol
ntoanfadwft
IpanonaHyoc
(M
Ihaweyacxni
(S*
Statcaaai
")
ig^
NOTICE OF VIOLATION OF
GROUND STORAGE TANK REGULATIONS
(Daปcxvwaaan| ""ป ซ'"- Dm-
(NamaoiFaaaiy)
(Aodraaa ol Faoaiy) '
Onwป '
on.)
Yaa Ho
to (3) VaunปaMซineaBieaปiieปซao>vซiiaปon
ou aomc na naaacn. aomi na muaon ซซn an artunason. or
n YounaMnanantBiaauaaianaama,
T-RaoJaMnlS, i U"'SnSi
IT)
QAam Q AonwwfiaiDianaaon Q oany
I
m (71
O AdrM Q Adruwtnaioanaacn Cl V~"i
youBonซBaytซraqiaiซdlnaoriปquaซlปnปซiin8ora/i
ma* (aaa mwu ana) ซtin^__ (10) __ซปฅ ซ* ซป oซ
aanad er mwagatcd tie vtouKuXa) aa mod ซBOVซ.
pacxravgnatn) IDNฐ-
xrMoga noa^t ol tM Noaoa ol Vtaiaton
i
(namotOonaraOoaraiBt) |
YOU ARE REQUIRED TO RESPOND TO THIS NOTICE OF INFRACTION
WITHIN (10) DAYS OF THE DATE OF SERVICE TO AVOIO
BEING ASHSSEDTPENALTY EQUAL TO THE AMOUNT OF THE ORIGINAL
FINE. YOU MUST RESPOND IN ONE OF THE FOLLOWING WAYS
ra MV THE rmr uu> WAIVE vm IB HKIffff m * ngMMO!
CMly tat
MMvpB aaan oorraoad by ugrung
. cnaon na aDpropnaai oo. B raouoal a naanng. onooaa on.
MEAHINO .
(a) MM tป oonxปซปl nonoa 10 1ป Olซoi ol - :2J -
(b) i'ii|ซซ n oanon or er aunxuiM iKปMntaoซ* ai ><
Olfcปel 1121 aoormia ualnaan tx) noun el
_ (13) _
ADJUDICATION BY MAIL: Man M oonxxm noซป lo - (2) - at
na aooM aoofaaa. aiorq ซn< H ซuixMBHtaant*nianoaoiinraaaingc>ou
-------
MODULE VI:
FOLLOW-UP TO ISSUING CITATIONS
Desired Outcome for the Module:
Inspectors will know procedures for handling citations and administrative details
Inspectors will be able to answer questions from owners or operators
Inspectors will understand that follow-up to issuing citations is important
Teaching Aids:
Questions for Role Play
Scenario for Defining Inspector's Role ;
Scenario for Use of Informational Contact Materials
Approximate Time: 1 hour
VI-1
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
VI. FOLLOW UP TO ISSUING CITATIONS
i
A. Overview of Module
1. Inspector obligations after issuing citations
2. Delivery of citations
3. Procedures for post-inspection paperwork and
follow-up
B. Ensure that the Owner or Operator
Understands the Process
1. Ask questions
a. "Do you understand what I'm citing you
for?"
b. 'Do you understand what you must do
now?"
c. 'Any questions?"
2. Distribute and explain outreach materials,
especially if using introductory warning
citations [
a. Outreach materials and explanations of
process are likely to make the inspectors'
jobs easier in the long run !
b. Outreach materials explain the entire
process to owners or operators so that
inspectors are not held resppnsible for
incorrect information
c. Outreach materials should list a number
that owners or operators can call for
further information and clarification
3. If necessary, explain procedures for hearings,
informal conference, or appeal
a. Explain clearly to the owner or operator
the right to request
hearing/appeal/conference <
b. If a date has been set on site, remind the
owner or operator :
Group exercises or discussions
may be helpful to emphasize the
information in Sections B and C.
You should explain the
procedures for appeal and
administrative processes as you
cover the information. Stress the
distinction between standard
enforcement and field citations,
and what actions will be taken
for standard enforcement.
Distribute local outreach
materials and self-certification
forms, if available, during these
sections.
yi-2
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
c. Explain the purpose of the
hearing/appeal/conference
1) Allows owner or operator to explain or
ask questions
2) Does not imply that penalty will be
. reduced or eliminated or that violation
does not need to be corrected
d. Do not encourage the owner or operator
to request a hearing or not to; explain the
procedures in simple ("plain English")
terms
e. Make the owner or operator aware that
the inspector will not be responsible for
the final decision
4. Explain what the citation does not do
a. Does not waive responsibility for
continuing to comply with regulations
b. Does not preclude other enforcement
actions at a later date
5. Stress that payment of penalty does not
eliminate responsibility for correcting the
violation!
6. Set a reinspection date, if necessary
7. Explain process for self-certification of
compliance, if necessary
a. Give owner or operator forms for self-
certification
b. Explain that self-certification is taken
seriously by program administrators
c. Explain that reinspection could occur at
any time
8. Explain process for standard enforcement, if
necessary
a. If violations at the site are not covered
under the field citation program, the
distinction between the two types of
enforcement strategies should be
explained
VI-3
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
b. If violations at the site require both
citations and standard enforcement,
explain the relationship and the two sets
of responsibilities
C. Distribute "Helpful" Information
1. DO NOT provide specific technical assistance
(the Agency can be held liable for any
incorrect information provided by inspectors)
a. Do not advise the owner or operator on
methods to correct the violation
b. Suggest that the owner or operator call
program supervisors or a contractor for
help .
i
2. Provide the owner or operator with a list of
contractors, if available :
a. Make it clear that the list islnot an
endorsement
L
b. Do not recommend one contractor over
another ',
3. Provide only correct information
a. Do not provide any information that you
are not certain of
b. If you are not sure, say "I don't know and
I'll follow-up or you can contact.."
D. Options for Delivery of the Citation
1. Hand deliver on site |
a. Hand directly to individual pn site
i
b. Post on office door or window
2. Mail from office
a. Regular post
b. Certified mail
c. Registered mail
[
3. Delivery from office by administrators
Distribute any informational
contact materials your
inspectors will use in the field
(contractor lists, copies of the
technical regulations)
VI-4
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
E. Processing the Citation
1. The Agency must have the proper materials
for processing of the case
a. Closing out the case
b. Tracking timely payments of penalty or
correction of violations
c. Handling appeal or hearing requests
2. Distribute citation copies to appropriate staff
a. Owner or operator
b. Administrators
c. Inspector
d. Legal staff
F. Paperwork
1. Remember follow-up paperwork
a. Inspection reports
b. Field log-book
2. Complete paperwork promptly
a. Prepare paperwork as soon as possible
1) If paperwork is not prepared
promptly, inspectors may forget
important details
2) Inspection reports are an important
element in an enforcement case
3) Good records make easy cases
b. Turn in all paperwork within deadlines
Section E concerns what
inspectors should do with
citations; add jurisdiction-
specific information. Stress that
processing the citation is as
important as issuing it.
Section E is essential because
an inspector's actions after
issuing a field citation can make
the situation easier for the
inspector, administrators, and the
owner or operator. It is
important to make sure that
inspectors understand the
procedures and know best how
to answer questions. [Handling
difficult situations, or irate
owners and operators, is
covered in Module X.] You may
want to summarize exactly what
the inspector should and should
not tell the owner or operator,
and what owner or operator
procedures are for hearings or
appeals. Asking specific
questions to the inspector, as in
Sections B and C, may be a
helpful approach.
For Section F, hand out
samples of paperwork
inspectors will need to
complete.
Vl-5
-------
Module VI: Teaching Aids
i
Questions for Role Play
Scenario for Defining Inspector's Role
Scenario for Use of Informational Contact Materials
VI-6
-------
DISCUSSION QUESTIONS/ROLE PLAY
You may want to question the inspectors using typical owner or operator questions to allow
them to practice responding. This could also be an excellent role play exercise if the class is
comfortable with "performing" in front of peers. Role plays can be done in small groups or with the
group as a whole. Describe a situation in which a citation has been issued, ask one inspector to play
the owner and another the inspector. After the role play, engage the class in discussion about how
each would have responded. You should encourage the inspectors to ask each other questions like
the following:
f
"If I go to a hearing, will the penalty be reduced?"
"Do I have to respond to this citation even though the department will issue me an administrative
order for other violations?"
"Will you show me exactly what I have to do to put in a monitoring well?"
"Which contractor should I use for this job?"
Expected Outcome: Inspectors should practice responding to typical owner/operator questions such
as these and be comfortable with the answers that they should give.
VI-7
-------
SCENARIO VI-1
This scenario is meant to help define the role of inspectors in the field citation program. The
scenario is designed to introduce discussion of constraints on providing technical information to
owners or operators. '
A new inspector, Joe Thursday, has completed an inspection at the local "mom and
pop" service station which has two tanks over 25 years old. Thursday has found that a
leak detection device is not installed propehy on one tank and is not operating correctly
I
because of improper installation. The inspector decides to cite the owner. Pop, the
owner, tells the inspector that he is willing to sit down with him to discuss the citation. Pop
produces a sheet of paper from a reputable local firm that he describes as a work order on
the same problem, but on another tank. Pop shows the inspector the work order and asks
him if the work described is the same type needed to be performed on the tank in
violation.
Suggested Questions:
1) What should the inspector do in this situation?
2) What specific advice should the inspector provide to the owner?
Expected Outcome: Inspectors should discuss whether to provide technical advice to owners or
operators, and how to answer questions of this type from owners or operators.
VI-8
-------
SCENARIO VI-2
This scenario demonstrates the use of informational contact materials.
The inspector is performing a routine inspection at a small gas station where Mr.
Johnson is the operator. During the inspection, she discovers that Mr. Johnson does not
have release detection installed on the 7,000 gal tank which is 27 years old. He does
perform manual tank gauging on his 1,000 gal tank. The inspector issues a citation to Mr.
Johnson, who, although not particularly pleased, accepts it. Johnson has already spoken
to other owners and operators and read material on different release detection methods.
He has decided to use tank tightness testing and inventory control for his 7,000 gal
gasoline tank. The inspector then gives Mr. Johnson a list of contractors who can help
him to install the proper leak detection. Mr. Johnson scans the list of contractors and then
says 'I see that Robert Robertson is on this list. I've heard that he does a really terrible job
and that is really expensive - haven't you heard that too? Who do you recommend for the
job? Which contractors do the kind of work that I need?" The inspector is aware of Mr.
Robertson's reputation, but knows that Tank Tight, Inc., another local firm does accurate
and fairly priced work.
Suggested Questions:
1) What is the best response for the inspector?
2) What kind of advice should the inspector provide?
Expected Outcome: Inspectors should learn to be wary of questions that request a technical opinion
or advice on contractors.
VI-9
-------
-------
MODULE VII:
LEGAL EVIDENCE NEEDS
Desired Outcome for Module:
Inspectors will understand what constitutes evidence in an enforcement case
Inspectors will know how credibility is established in an enforcement case
Inspectors will know the procedures for report writing and submitting reports
Teaching Aids:
Exercise on Report Writing
Photography Tips
Tips on Using Statements as Evidence
Tips on Developing Drawings and Maps
Guidelines for Writing Inspection Reports
Tips on Official Files
Approximate Time: 1 hour and 30 minutes
VIM
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
VII. LEGAL EVIDENCE NEEDS
A. Overview of Module
1. Definition of evidence
2. Importance of-evidence
3. Procedures for documentation of evidence
4. Overview and guidelines for writing inspection
reports ;
B. What is Evidence? ;
1. Evidence is the means or process by which
any matter of fact investigated (i.e., the
existence of a violation) may be established or
disproved i
a. Testimonial evidence: person's reported
sense impressions and opipions
b. Real evidence: object or thing itself (e.g.,
contaminated dirt) i
c. Documentary evidence: document
having significance as a result of its
content
d. Demonstrative evidence: something
prepared or selected to illustrate or make
a relevant fact clearer (e.g,, photographs,
diagrams drawn of sample extraction,
maps)
2. Evidence includes matters which are not
disputed and are accepted by judge or
administrative hearing official (e.g.,
scientifically accepted testing devices,
geographic location, matters ofi common
knowledge) '
i
3. Testimonial evidence will likely jntroduce all
other types into evidence
4. Evidence is critical for support of the Agency's
case
i
5. Inspector should record all relevant
information as evidence of the
violation
alleged
fou may wish to have your
department's attorney'teach this
Module or help you to plan the
nstruction. In this section you
should explain that evidence is
mportant for any enforcement
case, whether expedited or
standard enforcement is used. At
'he very least, inspectors may be
required to testify at hearings or
'nformal conferences for certain
ases and the inspectors need to
be prepared to discuss the cases
to prove that there were violations.
VII-2
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
C. Why is Proper Evidence Important?
1. Evidence is necessary for any case in order to
document the alleged violation
2. Evidence is important in case the inspector is
issuing a warning and intends to follow up
and cite if violation is not corrected
3. Evidence is necessary for future case
development (in case the violation is not
corrected after citing and the Agency needs to
take stronger action)
4. Inspector may have to present evidence
a. Informal conferences
b. Hearings before an administrative law
judge (ALJ)
c. Appeals hearing
5. Physical evidence and documentation make a
stronger case and makes it less likely that a
case will be lost
6. Physical evidence and documentation
demonstrate that the inspector performed the
job efficiently and correctly, developing further
credibility as a witness
7. Establishing credibility in one case makes the
inspector's reputation better for future cases
D. Evidence Establishes Credibility for the
Inspector
1. Evidence documents an inspector's story in
court or in a written record and reinforces
credibility as a witness/expert
Distribute handouts from the
"teaching aids" section on
photography, drawings and
maps, statements as evidence,
official files, and inspection
reports as appropriate.
VII-3
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
E. Authenticity, Relevance, and;
Foundation of Evidence
1. Evidence must be authentic and relevant
2. Inspectors should follow specific guidelines for
evidence reports
a. Describe site conditions arid elements
b. Note discovery location of the item.
(Note what was collected a*t a particular
place at a particular time)
c. Record general identity or sameness
d. Record measures taken at the time to
ensure later identification of the item
e. Note conditions or features that vary;
features or conditions of the item may
vary from what was collected by the time
they are viewed as evidence (at trial, for
example) (e.g., less material in sample
bottle)
f. Note chain of custody path, if known
F. Proper Documentation of Evidence
1. Inspectors must take notes in the field
a. Notes are necessary for thfe enforcement
case
b. Refer to notes to refresh memory during
informal conferences, hearings, court
c. Remember that it is difficult to win a case
without notes
2. Photographs
a. Photographs may be required at UST
sites in order to document; an
enforcement case
b. Photos should fairly and accurately
document the site
Show overhead of model notes
(local materials).
VII-4
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
c. Logbook should indicate when, where,
and of what photos were taken, along
with the date, time, and your name.
a. Note where you were standing when
; you took photograph
b.. Note the direction you were facing
when you took the photograph
d. Date, time, location, and your name
should be written on back of photo
(unless automatic date camera is used)
e. Negatives should be kept, envelopes
labeled and easy to locate
G. Field Reports on Inspection Findings
1. Inspection reports present a factual record of
an inspection
. \
2. Well-written reports create an impression of a
well-conducted inspection. Try to keep the
notes in chronological order to establish a
pattern
3. Reports must be complete and accurate, as
they provide the basis for potential
enforcement actions
4. Material should be gathered into a
comprehensive report
a. Factual - verifiable result of first-hand
knowledge
b. Relevant - information should be pertinent
to the subject of the report
c. Coordinated - all information should be
gathered into a complete package
d. Objective - the report should be factual
and not draw conclusions from the
material
e. Neat and legible - proper use of English
VII-5
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
5. Certain information should be contained in all
inspection reports, narrative or otherwise
a. Specific reason for the inspection
b. Who participated in the inspection
c. Actions taken during the inspection,
chronologically
d. Self-certification of compliance with all
procedural and legal requirements
e. List of statements, records,, physical
samples and other evidence obtained
during the inspection
f. Record of observations made during the
inspection ;
g. Result of any sample analysis
6. Inspectors should keep several jwriting
guidelines in mind when developing inspection
reports
a. Relate only facts
b. Keep it simple
c. Keep the reader in mind
1) Attorneys and judges ;
2) Other program staff
3) Violator or potential responsible party
4) General public |
d. Do not use unnecessary words or
personal statements '
7. File and submit reports properly
VII-6
-------
Module VII: Teaching Aids for Legal Evidence Needs
Exercise on Report Writing
- -'-<-. " . 4.
- - , -. ' 'f
Photography Tips ?" ~;
-' ' - "". -'' ' ' '{.
Tips on Using Statements as Evidence
Tips on Developing Drawings and Maps
Guidelines for Writing Inspection Reports
Tips on Official Files '
VII-7
-------
EXERCISE
Distribute the attached sample report to inspectors or show it as an overhead. Give them ten to
fifteen minutes to review the report and then lead a discussion on the report. Ask the inspectors the
following questions and review the attached problem sheet with the class.
1. Does the report contain enough (information to build an enforcement case?
2. What additional information is needed?
3. How would you improve the report?
VII-8
-------
Field Trip Report ป Tony's Service Station
Anytown USA
April 1, 1990
I arrived on site about 10:15 am. A crane was already on-site, and Mr. Jose Montoya (Johnson
Construction) was pumping gasoline from the tanks which were to be excavated into the 'new tanks. I
performed an entrance interview with Mr. Paul Pelosi and informed him that my goals were to inspect
the tanks after excavation as well as to examine the excavation pit in order to determine which soils
would need to be removed.
The 4,000 gallon unleaded tank was excavated by a crane and removed to a flat-bed trailer. Although
Johnson Construction personnel attempted to remove most of the sand and dirt that was adhered to
the tank by hitting the tank with a sledgehammer, the tank still had soil stuck to it. This made
inspection for tank integrity difficult at best. A preliminary investigation did not reveal any holes,
however, both tanks must be inspected again before a definitive statement regarding tank integrity
can be made.
Black sand was noted at the west end of the excavation pit. The sand did not appear to be saturated,
rather, it was highly contaminated and smelted like -weathered" gasoline. This soil was excavated
after the second tank was removed.
The 8 000 gallon regular tank was excavated at about 12:30 pm. When this tank was hit with a
sledgehammer, the metal 'sounded' much thinner. Mr. Montoya said that he would be surprised if the
tank did not have holes in it. Closer inspection revealed that the tank was sitting in approximately 1.0
to 2 0 feet of water, and some severe corrosion pits were evident. Both tanks were removed to Ms.
Kathryn Buckley's property in Centerville, and are available for further inspection by contacting Mr.
Pelosi.
All highly contaminated soils were removed from the trench and piled on asphalt next to the pit.
These soils were then loaded onto an semi-truck and taken to a site that Mr. Pelosi claims was
approved by the Department of Health.
I left the site at 3:15 after conducting an exit interview with Mr. Pelosi. I told him that the second tank
(8 000 gallon) was not in as good a shape as the first tank that was pulled. I also told him that the
Department of Health staff would like to inspect the tanks again at Ms. Buckley's property. I told Mr.
Pelosi that Department of Health staff would be on-site to observe the excavation of the tank at the
north end of the property next week.
o
o
O
V/J
Vll-9
-------
Problems with Sample Field Report
The report should give the name and address of the site.
I
The map should give directions (north, south, east and west).
The date on the report is different than the date on the drawing.
The discussion of excavating old tanks into new in the first paragraph is confusing. It is
difficult to determine what the inspector means. The passage should either be re-written
to state clearly the inspector's observation or removed.
I
Note this sentence from paragraph two: "Preliminary investigation did not reveal any
holes, however, both tanks must be inspected again before a definitive statement
regarding tank integrity can be made.' This sentence should not be included in the
inspection report. The inspector has no basis on which to draw this conclusion. If he is
unable to draw a conclusion he should simply state this fact. The conclusion that there
were no holes in the tanks could later undermine the case.
The illustration lists the 4,000 gallon iank as holding regular gasoline and the 8,000 gallon
tank as unleaded. Paragraphs two and four of the report, however, state that the 8,000
gallon tank holds the regular gasoline and the 4,000 gallon tank holds unleaded fuel.
Grammatical errors make the,report less creditable. Inspector should be certain that all
grammar is correct. !
The report does not state if the inspector used anything other than a sniff test to determine
that the soil smelled like "weathered"} gasoline in paragraph three. The report should list
any testing equipment that was used in the inspection.
The tank remover's unsubstantiated statement in paragraph four that he, "would be
surprised if the tank did not have holes in it," should not appear in the report. Again, the
remover and inspector have no concrete basis upon which to make this statement.
In paragraph four the.inspector writes that when the tank was hit with the sledgehammer it
"sounded" much thinner. This actioi) and the statement could open the report up to the
allegation that the sledgehammer's blows caused any holes later found in the tank. The
inspector should not have used a sledgehammer and should not have included this
statement in his report.
The report states in paragraph four that the tanks were taken to a specific property. The
inspector did not, however, actually see where the tanks went. Therefore the report should
state that the inspector saw the tanks loaded on the truck and was told that they were
being delivered to a certain site but jdid not actually see where the tanks were delivered.
While it was correct for the inspector to include a record of his conversation with the owner
or operator in paragraph six, he should have avoided stating that one of the tanks was in
better shape than the other. His inspection was not thorough enough to make such a
statement. He should have limited himself to telling the owner or operator of the
procedures he was following and telling him what the next steps would be.
VII-10
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EPA's Office of Enforcement and Compliance Monitoring (OECM)
Photography Tips
s
To be used in conjunction with the Module VII discussion of types of evidence. If a
program requires inspectors to take photographs of violations, the instructor may wish to
present the information in this handout (as it is more detailed than the course text). The
handout can be distributed during a detailed presentation or distributed as a future reference
tool for inspectors (i.e., without presenting all of the material in, the handout).
VII-11
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PHOTOGRAPHS
Seeing is believing! Since a judge and jury cannot be present on the inspection, the best .way for
them to see, and believe, what transpired is through photographs.
I
The enforcement of environmental law is dependent upon the effectiveness of inspectors as
information-gatherers. Increasingly, photography has played an important role in that process.
Photographs provide inspectors not only with visual documentation contributing to more accurate
inspection reports, but also with evidence for enforcement proceedings and objective descriptions of
conditions found at a facility.
Photographs are some of the best physical evidence, and the easiest to authenticate and therefore
admit into evidence in court. The test is simply that the inspector has to say that any given
photograph does fairly and accurately represent" what the inspector saw on the date in question at
the site in question.
I
When enlarged and placed in view in the courtroom, photographs can be the best means of
duplicating what occurred months or years earlier during an inspection. Clear photos of relevant
subjects, taken in proper light and at proper lens settings, provide an objective record of conditions at
the time of the inspection. In this respect, photographs can be the most accurate demonstration of
the inspector's observations.
Photographs can also be helpful to the field teaip during future inspections, informal meetings, and
hearings.
For all its advantages, however, photography requires skill. The investment of time and materials in
photography for the collection of evidence can be justified only by the quality and usefulness of the
photographs. This section will assist the inspector in achieving the best photographic results.
Photographs as Evidence
Fair and Accurate Representation
Drawings, diagrams, maps, and plans have long been used as evidence of the buildings, lands, or
machines they represent when the things themselves cannot conveniently be brought into court.
Since the development of photography, photographs have generally been received as evidence on
the same basis as maps and diagrams. It is essential to admissibility that the subjects which the
photographs portray be relevant and material to the case. However, there must also be testimony that
the photograph is a fair and accurate representation of the object or scene which it portrays. If the
photograph is not a fair and accurate representation of the object or scene, even though the object or
scene may be relevant and material, the photograph may not be admitted as evidence.
i
Prejudicial Photographs
I
The question of admissibility is determined by the judge according to rules of exclusion applicable to
other types or kinds of evidence. However, because photographs are traditionally susceptible to
subjective misinterpretations, the courts have exercised a broader discretion in disallowing them as
evidence. '<
VIM 2
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Even though a photograph may be a fair and accurate representation of a relevant and material
matter, the judge may reject it if in his or her opinion it would be misleading or would not aid the jury
in a better understanding of the facts. Such a photograph, otherwise admissible, will be rejected if the
judge believes that it may create an undue prejudice in the minds of the jury. For example, color
pictures of human death or injury that show quantities of blood and gore can create an emotional
reaction in the viewer that is in excess of that warranted by the probative value of the evidence.
Photographs may be excluded for that reason.
Authentication ,
The authentication of a photograph prior to its being received in evidence may be accomplished by
any witness whose familiarity with the subject matter of the photograph allows him or her to testify that
it is a fair and accurate representation of the object or scene it portrays. The testimony of the person
who took the picture is not necessary. If the photographer is called as a witness, it is not enough to
simply claim to have taken the photograph. The photographer must also be able to say that the
picture is a fair and accurate representation of the object or scene.
It is the fairness and accuracy of the representation that is important. Unless the processes and
techniques of picture-taking, developing, and printing are themselves relevant to the question of
accuracy, the judge may take judicial notice of such processes and techniques. This was not true
years ago when photographs were first offered as evidence, and judges often required the testimony
of the photographer as an expert witness to authenticate all photographs. Today the general
principles of photography are well known as applications of the natural laws, and they are
appropriately the subject of judicial notice. Most courts now accept that the central issue is the
fairness and accuracy of the representation.
The Right to Photograph
The right to inspect gives rise to the inherent right to document the inspection by means of
photographs. Inspectors should take photographs of anything needed to complete the objectives of
the inspection. (Inspectors are cautioned not to take pictures of the inspection team at work,
however. All such photographs might be subject to discovery should an enforcement action be
pursued, and could hurt the government's case if they show even a slight error.)
Attempts to Impose Conditions -
Photography often draws a negative reaction from facility officials, who may seek to prevent or limit the
use of cameras on facility property. EPA considers such efforts to restrict the taking of photographs
as an attempt to impose unacceptable conditions on consent to enter. If facility officials do not
withdraw these attempts voluntarily and without coercion, the inspector should consider it a denial of
consent.
Before concluding that the proposed restrictions on photography constitute a denial of consent, the
inspector may tactfully attempt to resolve any concerns or objections facility officials raise about the
use of cameras. It may be. prudent to go ahead with the inspection without taking photographs,
raising the issue with facility officials again only if a particular photograph is essential to completing
the objectives of the inspection. Inspectors should be aware of the sensitivities involved in
photographs, and avoid taking unnecessary photographs of facility operations. Sometimes in water
cases it has been effective to explain to the officials that waste streams, receiving waters, and
wastewafer treatment facilities are public information, hot trade secrets. Moreover, photographs may
be taken without consent from areas generally open to the public, both outside and inside a facility.
VIM 3
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Confidentiality
Under some environmental statutes (e.g., TSCA), photographs may be subject to a claim of
confidentiality. To avoid difficulties arising from TSCA confidentiality claims, it is recommended that all
unnecessary background be shielded when photographs are taken, or the subject may be moved to
another area. In TSCA cases it is recommended that instant cameras be used, because the
photograph can be shown to facility officials immediately. If an instant camera is not used and a
confidentiality claim is made, the film must be processed by a contractor authorized for access to
TSCA confidential business information. : ''
Even where TSCA confidentiality is not involved, inspectors may find some of these practices helpful
in resolving attempts by facility managers to restrict photography. Shielding the background, moving
the subject, and use of an instant camera are methods that may allay the managers' concern about
trade secrets.
Tips on Taking Photographs _ ; _ _
i
When taking photographs, the inspector should [imagine how the photographs will look in a
courtroom. Photographs should always be taken with a view toward how they can be used as
evidence. If the subject is a barrel, make sure the barrel fills up the view finder. If the subject is a
building and grounds, then back off to allow these to fit into the viewfinder.
The most useful photographs are those that convince the viewer he or she is actually seeing the thing
the inspector saw. A good photograph requires no explanation except the time and place it was
taken. The viewer will gain confidence in the photograph if it is sharply in focus and properly
exposed. To achieve such photographs, the inspector should learn to use camera equipment well.
Before going on an inspection, the inspector should be sure all equipment is in good working order
and that supplies of film and batteries are adequate. Film is adversely affected by extreme
temperatures, and care should be taken to avoid unsuitable storage conditions, such as an
overheated vehicle. A small cooler can be used to store film on long trips. Fresh batteries are
important since the newer automatic cameras will not work without batteries.
All photographs can be evaluated in terms of three qualities: focus, exposure, and composition. Each
will be discussed below.
Focus
i
Sharp focus is mandatory in any photograph to be used as visual documentation of investigative
findings. Camera wobble or shake can blur photographs. Therefore, carefully release the shutter,
don't suddenly jab it. For shutter speeds below 1/100 second, try to rest the camera against a car or
building. The subject matter of investigative photography often involves more than one relevant item
in the scene, and it is necessary for all items of importance to be clearly represented in the
photograph. The inspector must therefore striv|e not only for sharp focus, but also for the maximum
depth of field. '
t
Depth of field is the zone of acceptable sharpness of image (e.g. from 10-12 feet from the
photographer) in the field of view. It varies as a function with focus distance and lens aperture
selected. The depth of field increases as lens aperture decreases (e.g., from f5.6 to f11). The depth
of field relationship to focus distance and aperture selected is shown for any lens by the depth of field
scale on the lens barrel.
To minimize problems with a narrow depth of field it may be useful to use a higher ASA film (e.g., 400)
so that a smaller lens aperture (f8-11) can be Used.
VII-14
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Exposure
The most accurate way to determine exposure is through use of a light meter. Most 35mm cameras
have built-in light meters. Without a light meter, the photographer must estimate the correct exposure
from the sunlight available and film speed used. The film boxes generally suggest camera settings for
various lighting conditions. It is always a good idea in all cases to take a series of photographs, using
different settings each time (bracketing exposures).
Good exposure can usually be made on the high-speed films currently available. However, it may be
necessary in certain situations to provide additional light by means of a flash. Flashbulbs or electronic
flashes are used for this purpose. Now electronic cameras and flashes make "fill-in" flash relatively
easy. The exposure and shutter speed for taking photographs with flash lighting (whether at night or
"fill-in" flash during the day) is determined by referring to the tables in the data sheet accompanying
the film, or on the flashbulb box, or in the instructions on the electronic flash unit. Camera exposure
will also be influenced by extremes of white, black and by how much the main subject fills the
viewfinder. If you want proper exposure for a subject, it should fill the viewfinder with little back light
or other bright or dark objects to fool the light meter. Open the lens aperture 1 or 25 steps (f8 to 5.6)
for white objects and close the lens (5.6 to 8) for black objects.
Composition
The effectiveness of any photograph as evidence is strengthened by careful arrangement of the
elements in it. Here again the inspector should imagine how the picture will look on a final print. The
composition is effective if the picture tells its story with a minimum of explanation.
Composition is largely a matter of personal judgment, but there are several guidelines that should be
followed:
: Center of Interest - There should be only one major subject or center of interest in a
'. scene. When taking the photograph, the inspector should eliminate or subordinate all
secondary elements and focus on the main element. Be sure the subject actually fills the
viewfinder.
Simple Background - The background should be kept simple, so as not to distract
attention from the main subject.
Scale - If the subject is unknown or unfamiliar to viewers, the inspector should include
some familiar object to indicate comparative size (e.g., a person, a car).
Location or context - It is sometimes useful to photograph a subject from a point where the
location of the subject will be clear in relation to other features.
Motion - If action or movement is implied in the photograph, more space should be
allocated in the direction-of the action than away from it.
Tones - If shooting in color, make sure the subject is tonally distinct from the background.
The same applies to black and white, except imagine how tones will look when reduced to
gray.
Documenting Photographs
In order for photographs to be entered as evidence, EPA must be able to authenticate that they fairly
and accurately represent what the inspector saw at a given facility on a given date. (The inspector
need not have taken the photo him- or herself, but must be able to testify that the photo "fairly and
accurately" represents what he or she saw.) Documentation of information about how, when, and
where the photograph was taken will aid in the authentication process.
VII-15
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An effective means for documenting photographs is keeping notes in chronological order in the field
logbook about the pictures that are taken, Some inspectors keep a separate photo log in addition to
notes in the logbook. Notes in the field logbook can be used to help refresh the witness' memory
prior to testifying in court.
Even if the inspector does not remember what it is that the picture portrays, so long as heor she
wrote these notes and can state that they are somehow connected with the picture, that information
alone is enough to say that the picture does fairly and accurately represent what he or she saw on the
day in question. ;
When an instant camera is being used, notes should be recorded on the back of each photograph,
cross-referenced to the field logbook.
VII-16
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EPA's Office of Enforcement and Compliance Monitoring (OECM)
Tips on Using Statements as Evidence
To be used in conjunction with the Module VII discussion of types of evidence. This
handout is available to provide supplementary information to the student. The instructor may
use it as he or she sees fit.
VIM 7
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STATEMENTS AS EVIDENCE
Oral or written statements obtained during an inspection are generally admissible in court under
exceptions to the 'hearsay evidence' rules. Statements made by a company employee is an example.
Even when statements made during an inspection interview are not admissible, statements are still
useful for cross-examination purposes or to develop leads for investigation.
Criminal investigations. While most EPA inspectors do not normally become involved in
criminal investigations, note that everi statements obtained at the scene of a criminal
investigation during the execution of a warrant are legal. The Fifth Amendment privilege
against self-incrimination applies only to in-custody interrogation. It is not necessary to
read rights prior to asking questions of a witness who is not in custody.
Documenting the Interview ;
\
A written record should be made of each interview. As applicable in the particular circumstances, this
may be in the form of an affidavit, a verbatim record of questions and answers, unsworn statements,
or informal notes. Some people are inhibited by the sight of an inspector taking notes, while others
may feel that the inspector's failure to take notes indicates a lack of interest in them and in what they
have to say. In the final analysis, the inspector must evaluate the individual in each interview to
determine the correct approach.
Notetakinq
It is important to take accurate field notes; however, it is equally important that the notetaking or
documentation process be unobtrusive and not interfere with the interview process.
If the interviewee's pace is too fast, wait for appropriate breaks in the conversation and "backtrack" by
reviewing salient points. Try slowing the conversation by deliberately slowing the delivery of
questions. Experts have found that when a strong rapport is established between two individuals
engaged in conversation, the pace of one influences the other. Only as a last resort should the
inspector ask the interviewee to slow down a bit. Keep in mind that such a request, no matter how
reasonable, asks the interviewee to abruptly change pace and usually tends to dampen somewhat the
enthusiasm that is causing the heightened speed of the conversation. Avoid frequent interruptions or
asking for an answer to be repeated. j
If two inspectors are present, a useful technique is for one to ask questions and the other to take
notes. This approach also avoids any potential for lost credibility because of differences in inspectors'
notes.
Use of Tape Recorders '_
Inspectors frequently ask whether or not they can use tape recorders or electronic recording devices
during an interview. There are no legal barriers j to the use of tape recording equipment by the
inspector solely for the purpose of recording his/her own observations during the inspection. Also,
the inspector may record an interview, jf it is done with the knowledge and consent of the interviewee.
However, if a given investigation requires tape recording individuals without their knowledge, the
inspector must consult with the Office of Regional Counsel. Otherwise, the inspector may violate
criminal statutes which prohibit such actions. In considering the use of a tape recorder, the inspector
should gauge whether the interviewer is more or less likely to talk freely.
VII-18
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Written Statements
If the information given by the interviewee seems especially significant, the inspector should attempt to
obtain a signed, written statement according to procedures discussed below.
Inspectors can obtain formal written statements from persbhs who have personal, first-hand
knowledge of facts pertinent to a suspected violation or have knowledge of information that a third
party known by name may be able to provide or who have information whose source is not clearly
known. The principal objectives of obtaining a statement are to record in writing, clearly and
concisely, relevant factual information so that it can be used to document an alleged violation. This
statement of facts is signed and dated by the person who can testify to those facts in court, and it
may be admissible as evidence.
Procedures for Obtaining Written Statements
In taking statements, the following procedures and considerations should be applied.
Determine the need for a statement. Will it provide useful information? Is the person
making the statement qualified to do so by personal knowledge?
Ascertain all the facts and record those which are relevant regardless of the source.
In preparing a statement:
Use a simple narrative style; avoid stilted language.
Narrate the facts in the words of the person making the statement.
Use the first-person singular ("I am manager of....").
Present the facts in chronological order (unless the situation calls for other
arrangements).
Positively identify the person (name, address, position).
Show why the person is qualified to make the statement.
Present the pertinent facts.
Have the person read the statement and make any necessary corrections before signing.
If necessary, read the statement to the person in the presence of a witness.
All mistakes that are corrected must be initialed by the person making the statement.
Ask the person making the statement to write a brief concluding paragraph indicating that
he read and understood the statement. (This safeguard will counter a later claim that the
person did not know what he was signing.)
Have the person making the statement sign it.
If he refuses to sign the statement, elicit an acknowledgement that it is true and correct.
Ask for a statement in his own handwriting ("I have read this statement and it is true, but I
am not signing it because...."). Failing that, declare at the bottom of the statement that the
facts were recorded as revealed and that the person read the statement and avowed it to
be true. Attempt to have any witness to the statement sign the statement with his name
and address.
Provide a copy of the statement to the signer if requested.
Vll-19
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EPA's Office of Enforcement and Compliance Monitoring (OECM)
i
Tips on Developing Drawings and Maps
To be used in conjunction with the Module VII discussion of types of evidence. Many
programs require inspectors to include drawings and maps as part of field reports. If this is the
case this handout may be distributed during the "field report" section of Module VIII.
VII-20
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DRAWINGS AND MAPS
As the inspector records observations at a facility, some things prove difficult to describe in words or
photographs, yet they may be essential to the story. These must be captured in visual notes such as
drawings, maps, charts, and schematic diagrams. Such visual notes can be important evidence in
court, and they are helpful in composing the inspection report.
Drawings and maps can provide graphic clarification of site location relative to the overall facility, the
parameters of a spill or contamination, the relative height and size of objects, and other information
which, in combination with samples, photographs, and other documentation, can produce an
accurate, complete evidence package.
Formal maps, prepared by cartographic techniques and based on notes made in the field, are also
required for some purposes.
All the forms of visual notes described here should be referenced in the field logbook at the time they
are made. A drawing or sketch can be entered directly into the logbook itself; this integrates it clearly
with other notes in chronological order.
Maps
A rough map drawn during the inspection can be a valuable piece of evidence. A judge or jury will
hear many facts during a trial and may have difficulty remembering them. A map of the site provides
a frame of reference onto which they may hang these otherwise forgettable facts. Even if it is
necessary later to draw up a more presentable map, the original drawing corroborates what the
inspector saw at a facility.
A map also helps the judge or jury form a mental picture of the facility through the eyes of the
inspector. The layout of a facility can be hard to grasp when a person hears it described in words.
Anyone who has tried to get around in an unfamiliar city knows the difficulty of learning a layout. A
map helps the viewer across this hurdle.
Some types of maps the inspector may make are:
ซ> i General map of the facility;
<> Map showing where photos and samples were taken;
ป Map showing where potentially noncomplying situations were observed;
ป Map showing the layout of a particular part of the facility on which the inspection focused
; major attention.
Sometimes a prepared map is used in the pre-inspection planning, to select sample sites or plan the
inspection effort. It may be useful to take a copy of this map along on the inspection and enter notes
on it to show where samples, photos or'other observations were taken. Notes on this map should be
cross-referenced to notes in the logbook.
Informal maps drawn by the inspector should be simple and free of extraneous details. Basic
measurements and compass points should be included to provide a scale for interpretation. Maps
should be signed and dated. If drawn separately from the logbook, each map should be numbered,
signed and dated, and cross-referenced in the logbook at the appropriate point in the chronology.
VII-21
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Formal site maps prepared by cartographic techniques are often prepared for hazardous waste site
investigations and some other investigations that may result in enforcement actions. The inspector
should consult with program managers about the| need for such mapping in a particular situation and
about how to secure cartographic services.
Drawings and Diagrams '
Although not as accurate or credible as a photograph, such drawings are a good backup method
where photography cannot do the job. Sometimes a photograph would contain so much detail that
the crucial features are not clear or would require( too much explanation. In such cases a good,
simple schematic drawing or diagram can be useful.
The drawing or diagram can be drawn in the logbook, or on a separate sheet of paper if necessary
and referenced in the logbook. The drawing or diagram should contain notations of the approximate
dimensions of the subject. The level of accuracy' of the drawing should also be noted (e.g.,
estimated" or 'measured with steel tape'). All such visual notes should be referenced to show where
the subject was observed in the facility. j
Sometimes a facility's own publications may provide helpful illustrations of the layout, conditions, and
operations. Brochures, literature, labels, and other printed matter may be collected as documentation
if the inspector believes they are relevant. All printed matter should be identified with the date,
inspector's initials, and origin.
! VII-22
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EPA's Office of Enforcement and Compliance Monitoring (OECM)
Guidelines for Writing Inspection Reports
; To be used in conjunction with the Module VII discussion of types of evidence. This
handout is relevant for all programs, regardless of whether inspectors are required to write field
reports. The general points outlined in the handout are critical for all written records, including
field citations. (This may also be effective in the Module V discussion of procedures.)
VII-23
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THE INSPECTION REPORT
i
The results of all work done by an inspector are| finally expressed in some form of written report.
Although one measure'of an inspector's success in enforcement is the quality of his reports, many
inspectors do not appreciate the importance of report writing. Proper documentation of an
inspection is a key aspect of an inspector's jpb. Government officials and attorneys who review
the report must have all the facts to make appropriate and effective decisions. Well-written
reports create an impression of a well-conducted, inspection, and facilitate the report review and
decision-making process. As one senior enforcement official stated it: The quality of your inspection
reports can make or break your career."
The purpose of the inspection report is to present a factual record of an inspection, from the time
when the need for the inspection is perceived through the analysis of samples and other data
collected during the inspection. An inspection report must be complete and accurate, because it will
provide the basis for potential enforcement actions and may become an important piece of evidence
in litigation. The length and format of inspection reports may vary based on program and individual
office policy and practice.
The objective of an inspection report is to organize and coordinate all evidence gathered in an
inspection in a comprehensive, usable manner, i To meet this objective, information in an
inspection report must be:
Accurate. All information must be factual and based on sound inspection practices.
Observations should be the verifiable result of first-hand knowledge. Enforcement
personnel must be able to depend on the accuracy of all information.
Relevant. Information in an inspection report should be pertinent to the subject of the
report. Irrelevant facts and data will clutter a report and may reduce its clarity and
usefulness.
Comprehensive. The subject of the1 report (i.e., any suspected violations) should be
substantiated by as much factual, relevant information as is feasible. The more
comprehensive the evidence, the better and easier the prosecution task.
Coordinated. All information pertinent to the subject should be organized into a
complete package. Documentary support (photographs, statements, sample
documentation, etc.) accompanying the report should be clearly referenced so that anyone
reading the report will get a complete, clear overview of the subject.
Objective. Information should be objective and factual; the report should not draw
conclusions. !
1
Clear. The information in the repoft should be presented in a clear, well-organized
manner.
Neat and Legible. Adequate time fehould be taken to allow the preparation of a neat,
legible report.
Vll-24
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Inspection reports are normally prepared by the inspection team leader, with the assistance of the
inspection team members. After an inspection has been completed there is a psychological
letdown. Reporting what happened during the inspection may then seem a burdensome chore, but
the inspector's job is not finished until the report is complete and the official files are in order.
Remembering the simple rule that "no job is complete until the paperwork is finished" will assist the
team in planning and conducting the inspection so that the report will accurately portray the findings
of the inspection. Recall also, as discussed in Chapter 8, that unless the report is prepared routinely
and contemporaneously with the inspection, it may not be used to refresh recollection or be
admissible as evidence.
Elements of an Inspection Report
No single standard EPA inspection report format exists; the specific information needs will vary
depending on the program and regulatory requirements involved. While the format and exact
contents of the inspection report vary, the report should always contain enough information that the
reader can determine the following:
ซ The specific reason for the inspection;
<> Who participated in the inspection;
ป That all required notices, receipts, and other legal requirements were complied with;
ซ What actions were taken during the inspection, including the chronology of these actions;
ป What statements, records, physical samples and other evidence was obtained during the
inspection;
What observations were made during the inspection; and
ซ The results of sample analyses related to the inspection.
Although the specific information requirements in a given inspection report will depend on the type of
inspection and what was found, most reports will contain the same basic elements:
Inspection Report Forms
Narrative Report
Documentary Support
Inspection Report Forms
Individual inspection report forms, developed for most regulatory programs, are designed to collect
standard, reviewable information about an inspection. Inspection report forms are only one aspect of
a complete report and should by no means be considered to be sufficient documentation of the
inspection in themselves. They function as guides to ensure that all basic data are being collected,
and are generally completed as the inspection progresses. Individual" items on these forms often
need clarification and elaboration; inspectors normally use the field logbook for this information.
In cases where inspection report forms are unavailable, inappropriate, or not comprehensive, the
inspector should record pertinent information in the field logbook. This information should be used in
the narrative of the Inspection Report to clarify and expand upon the information from the Inspection
Report Forms.
VII-25
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Narrative Report
The narrative portion of an inspection report should be a concise, factual summary of observat.ons
and activities, organized in a logical, legible mariner, and supported by specific references to
accompanying evidence (documentary support). A work plan will simplrfy preparation of the narrative
and win help ensure that information is organized in a usable form. Basic steps involved in-writing the
narrative report include:
Reviewing the information
Organizing the material
Referencing accompanying material
. Writing the narrative
Reviewina the Information. The first step in preparing the narrative is to collect all information
SS^dSngSe inspection. The inspector's field logbook and all Inspection Report Forms should
S reviewed in detail. All evidence should be reviewed for relevancy and completeness. Gaps may
need to be filled by a phone call or, in unusual pircumstances, a follow-up visit.
Organizing the Material. = Organization of the information can take many forms depending on the
case, but should present the material in a logical, comprehensive manner. The narrat.ve should be
organized so that it will be understood easily by the reader.
Accomoanvino Material. All evidence (e.g., copies of records, analytical results,
s) that accompany a narrative report should be clearly referenced so that the reader
to locafe therr, easily. All support documents should be checked for clarity pnor to wrnmg
the report.
wminn the Narrative Report. Once the material has been reviewed, organized, and referenced, the
nSeSm be written The purpose of the narrative report is to record factually the procedures
Csed in a^d findings resulting from, the evidence-gathering process. In this report the nrjspertor
should refer to routine procedures and practices used during the inspects, but should describe in
detail facts relating to potential violations and discrepancies. The field logbook is a gu.de for
preparing the narrative report.
If the inspector has followed the steps presented in this manual, the report can develop logically from
the organizational framework of the inspection.. In preparing the narrative, simphcrty should be a prime
consideration:
I
. Use a simple writing style; avoid stilted language.
. Use an active, rather than passive approach (e.g., "He said that ...ป rather than "It was said
that...").
I
. Keep paragraphs brief and to the pojnt.
. Avoid repetition.
. Proofread the narrative carefully.
MntP Regarding Stanrterri operating Procedures. When the inspector has followed Standard
Operating Procedures (SOPs precisely in gaining entry, taking samples, etc., this can be eas ly
- es Joe Smith ained entry to..."). If there
Operating Procedures s precsey , , .,
noted in the report (e g, -following standard procedures, Joe Smith gained entry to..."). If there
^a^Sdr^mstanoes^ deviations however, these should be included in the report ,n
more detail. ;
i
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Confidentiality Considerations and Procedures
All documents and other materials that have been declared confidential business information by facility
officials must be handled according to the security measures that have been established for such
materials. Confidential information includes not only the materials themselves, but also any reports -
such as inspection reports - generated on the basis of confidential information. Generally, *his will
involve limiting access to the report to the fewest number of people possible.
In preparing the inspection report, it may be possible to reference confidential material in a non-
confidential way, such as by providing a general description of the information and a reference
number to the confidential documents. An alternative is to include the information in the
inspection report but treat the entire report as a confidential document.
Especially stringent security requirements apply to documents or reports containing TSCA-CBI. See
the TSCA Base Inspection Manual for detailed procedures.
Conclusions Regarding Compliance
Inspection reports should contain only the facts about the inspection. Clearly, however, the
inspector's conclusions and opinions about the compliance of the facility are the critical factors
(and often.^the only factors) in the Agency's decision as to whether a violation did or did not exist. It
is essential, however, that the inspection report itself not include the inspector's conclusions regarding
compliance.
In writing the inspection report, avoid using the word "violation," which means a conclusion of law has
been drawn. It is acceptable to state facts, such as: "The permit limit is x. I found y, which exceeds
the limit by 2."
Conclusions should be contained in a separate cover memorandum or other format that is clearly
separate from the inspection report and passed up the management chain along with the factual
inspection report.
The principal reason for this is that if an enforcement case is pursued, the entire inspection report is
subject to discovery by the opposing side. If conclusions of law and opinions are in the report, which
must be shared, the opposing side might be able to weaken the inspector's credibility by suggesting
bias. Or, the inspector may have been wrong about one or more counts and the Agency did not
pursue them; this would be revealed through discovery, again weakening the inspector's credibility.
A separate findings or conclusions memorandum will usually be protected from discovery based
on attorney-client privilege or another exception rule.
In some programs, it may be the inspector who determines whether a violation occurred and if
an enforcement action is warranted. In these situations, the inspector is no longer performing an
inspector function; he or she has actually "changed hats" into a different job - that of a case
development officer. The line between the two jobs should be clearly drawn, with the person staying
in a fact-finder role while carrying out inspector functions - including inspection report writing.
Tips for Writing an Effective Inspection Report
This section presents guidance in preparing effective inspection reports. The style of these reports
should be clear, concise, accurate, factual, fair, complete, and logical. Inspection reports should not
contain flowery phrases, levity, superlatives, or unnecessary verbiage. Remember, the purpose of an
inspection report is to convey the facts determined during an inspection to a reader whose course of
action will depend upon its contents. This communication is not complete until the
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reader understands precisely what was intended and is willing to take action. To provide this
communication, a report must be readable and must inspire confidence in the reviewers. Written
communication does not have the advantages of jfacial expressions, voice tones, or gestures to get a
message across and to interpret how it is being received. Therefore, the report must be written so as
to eliminate the possibility of erroneous conclusions, inferences, or interpretations. It will become part
of the permanent records for the inspected facility, along with the inspector's field logbooks-, samples,
formal statements, photographs, drawings, maps,] printed matter, mechanical recordings, electronic
recordings, and copies of records. A well-written;report will serve as a summary of these other
records.
i
In general, three rules apply to preparation of good inspection reports.
. Write to express, not to impress. Just relate the facts and evidence that are relevant to
the compliance situation; don't tell about the inspection.
l
ซ Keep it simple. Organize complicated matters and state them in simple, direct terms.
I
l
. Keep the reader in mind. Relate your writing to the reader's experience and use words that
are likely to be familiar. |
The following sections provide a summary of the essential elements of good reports and organizing
the writing process.
Essentials of Good Reports
Fairness, accuracy, completeness, conciseness, clarity, and organization are all essential
characteristics of well-written and effective inspection reports. Prepare the report with these
characteristics in mind, and keep them in mind during each phase of reviewing and rewriting.
Although, by themselves, these characteristics will not ensure a well-written report, they are essential.
Fairness. Inspection reports must be entirely objective, unbiased, and unemotional.
Avoid distortion by being aware of the emotional tone of words. For example, note the
difference in implication between planning11 and "scheming." Rumors or gossip should
be included only if it is material to the inspection and is clearly identified as hearsay. If you
can quote someone exactly, do so; otherwise, paraphrase the statement as accurately as
possible. A report may mention a person's race, religion, or political persuasion only if it is
relevant and material. Never make offensive remarks or use offensive slang in making
reference to anybody's race, religion, or ethnic origin.
Accuracy. Be exact. Say precisely and accurately what you mean to say in plain
language. Precision depends on diction, phrasing, and sentence structure. Avoid
exaggerations. One small exaggeration may cast doubt on the accuracy of other
statements in the report. For example, do not state that something was obvious; just state
the facts. Omit opinions, conclusions, and inferences. (Opinions may be expressed in
rare circumstances to clarify meaning, but they should be clearly identified as nonfactual
information. For example, "this act indicated his knowledge" is a conclusion and should
be clearly identified as such.) The report should present facts so clearly that there is no
need for conclusions or interpretations.'
State facts so that inferences can be drawn from them, but do not let inferences replace
facts. For example: If you saw someone loading bags marked "toxic chemicals," do not
write that you saw a person loading toxic chemicals. You only saw someone loading bags
marked toxic chemicals. A frequent error found in reports is to substitute the word
"signature," which by definition means signed by.
I
Inference: The compliance reports were signed by John Doe.
Fact: The compliance reports were signed, "John Doe."
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Avoid superlatives. Any attempt to strengthen a report in this way actually weakens it, as
reviewers tend to doubt its objectivity.
Accuracy means truthfulness. The accuracy of all findings and computations must be
verified before the final report is submitted. A typographical error in date or time may cast
doubt on other facts in a report.
Completeness. Include all information that is relevant and material. Completeness implies
that all the known facts and details have been reported, either in the text of the report
or in an exhibit, so that no further explanation is needed and the reviewer will be
convinced that the inspection was thorough and comprehensive. Include in the body of
the report only those parts of exhibits that are material .to the inspection and are
necessary to give the reader a complete understanding of the compliance matter involved.
Exhibits should contain complete statements or data.
Source. Always report the source of evidence. When possible, make inspection reports
interview-oriented (i.e., report statements made by interviewees). For example, do not say
that the exhaust stack was black if you did not see it. Write, "John Jones said that the
exhaust stack he saw was black." Explain how the interviewee acquired the
knowledge you are reporting, and tell how you obtained the information.
Exhibits. The report should be complete in that it is one single document. Original or
duplicate copies of laboratory reports, affidavits, correspondence and other documents
should be submitted as exhibits to the original report. These exhibits should be
consecutively numbered in the order that they are mentioned in the body of the report.
Exhibits are best introduced parenthetically. For example, M.M. Dale told me (Ex. 1,
Statement), I do not...."
Testing Completeness. Test the report to ensure that it answers the questions who, what,
how, when, where, and why related to the compliance situation.
The first time they are mentioned in a report, all individuals should be identified
completely by their first, middle and last names. If the person has no middle name
or initial, indicate this by the use of (NMN) or (NMI) between the first and last names.
The report should clearly indicate what happened and how it happened, no more and no
less. The chronology of occurrences should be stated clearly. The report also
should indicate the date and time the happening occurred or an approximation if the
exact time is unknown. Do not place the date or time in the middle of a sentence,
as this causes ambiguity. The date and time an event occurred should be placed
either first or last in a sentence, as appropriate.
The location of the occurrence should be identified as a definite place, to the
; exclusion of all other places. The place should be so clearly identified that no
, confusion or misinterpretation is possible.
Why a situation occurred is particularly significant with respect to violations where intent
is an element of the offense. In such cases, the report should set forth the facts bearing
on intent with such clarity that there is no need for conclusions or opinions within the
report.
Conciseness. Conciseness does not mean omission. It is the avoidance of all that is
elaborate or not essential. Conciseness is not what you say, but how you say it.
Conciseness means omitting unnecessary words; it does not mean omitting facts, detail
and necessary explanation. It is not the same as brevity. If clarity and completeness
require a detailed explanation, do not hesitate to use it.
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Readers like short sentences and short paragraphs with plenty of white space in between.
Remember that all sentences in a paragraph are related to each other and express a unit of
thought. Use tables to describe a group of items having similar characteristics. Results of
sample analyses, observation times, records' inspections, and similar information should
almost always be reported in table form.
i
Write plainly. Use active verbs whenever possible. The active voice gives force to writing. If
you write like you talk, you probably will avoid excessive use of the passive voice. Do not
write, 'A low drive was hit by Eddie Murray.' Instead, use the active voice, like you talk:
Eddie Murray .hit a low drive."
Avoid repeating the same material in several sections of the report. Also, avoid
redundant phrases such as: repetitive and redundant, approve and accept, null and void,
part and parcel, ways and means, basic essentials, disappear from sight, while at the same
time, revert back, pure and simple, and gross exaggeration.
[
I
Clarity. Inspection reports must be written clearly to avoid misinterpretations. Clear writing
leads to clear thinking and vice versa. [Order your thoughts; select those most useful to the
reader; arrange them logically; and select the words that will best convey your thoughts to
the reader.
Everything in the report must be relevant and essential to the main purpose of the report,
and its relevancy and material nature must be evident to the reader. Each sentence,
paragraph, and division or part must represent a unit of thought and help establish the main
point of the report; which usually is an alleged violation of the law. The unity of the report is
enhanced by the use of topic headings, especially for major parts of the report. Such
headings should succinctly describe w^iat is contained in the particular part of the report.
i
The careless use of personal pronouns is a frequent cause of ambiguity. If the use of
a pronoun may result in ambiguity, use a noun. Avoid the use of the pronoun "It" and
the word There' as substitutes for precise word selection. For example, say "We should
do ...', rather then 'It should be done ..'.', and "Changes have been made ...", rather then
There have been changes."
Use specific and concrete expressions rather than general or abstract statements. Poor
writing often reflects a failure to select words which paint a clear mental picture. If you write
that you took three water quality samples, the meaning is not clear. But if you write, "I took
one effluent sample from Station E-1, one groundwater sample from station G-1, and one
sample from a nearby river at station R-1," the reader understands clearly.
Although in English grammar classes we have been taught to use ingenuity and
imagination, to be original, and to avoid repeating the use of the same words in our
writing, inspection reports are not essays or literary works. If necessary, repeating use
of a word or sentence structure is acceptable, if this uniformity increases clarity. Remember,
the purpose is to communicate clearly, not to entertain.
Punctuate to make the meaning easy to understand. For example, consider the different
meanings of the following three sentences: The employee said the foreman is a
blockhead. The employee said, The foreman is a blockhead." "The employee," said the
foreman, "is a blockhead."
In presenting a series of thoughts or actions, parallel construction helps clarify meaning.
example, write "collecting, depositing, jand reporting revenue", instead of "collection,
depositing, and the reporting of revenue."
Organization. An inspection report should be structured to allow a logical order and
coherence in the presentation of facts'. This means that the relation of each event to the
main idea and to the events immediately preceding it in the report must be unmistakable.
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Otherwise, it is quite likely that the reader will not understand the significance of the event.
Since the report writer cannot insert his conclusions or lead the reader by drawing
inferences, he must depend upon facts that are so clearly stated and so logically arranged
that the reader is certain to understand. Each violation, event, or circumstance should
be narrated in full before the writer passes on to the next facet of the report. Most
reports about criminal violations, for example, begin with the gist of the crime. Then
they present the pertinent evidence of the alleged violator's connection with the violation.
Often, the events that occurred are reported in chronological order (the order in which they
occurred). However, in some instances the significance of each event or item of evidence
may be understood better by some other arrangement. Usually, all evidence from a single
source should be presented before introducing information from another source.
In any report some facts and events are more important than others, and the writer wants to
emphasize them so the reader is certain to notice them. In an inspector's report this cannot
be done by comments of the writer, but it can be accomplished by careful selection and
placement of words, phrases, and paragraphs, and by priority of organization. Place
important words or phrases at the beginning or end of the sentence, and important
sentences at the beginning or end of the paragraph. Emphasis also can be accomplished
by some device which makes the important item different from other items. For example:
Emphasize a sentence by indentation or by making it a separate paragraph.
Emphasize paragraphs by leaving margins wider than those of the other, less
important paragraphs.
Emphasize important names, words, or phrases by capitalizing or underlining them.
(This technique, however, should be used sparingly; otherwise the element of
differentiation, and hence emphasis, is lost).
Organizing the Writing Process
Preparation of the initial draft of a report is difficult without a clear idea of the objective of the report,
its subject, the methods used in the inspection, and the results of all data collection efforts. Once this
information is all available, however, developing the initial draft can still present a significant obstacle.
An outline for the narrative portion of the inspection report that can be adapted for most situations
appears at the end of this section. The following tips for preparing a draft are also intended to aid in
preparing the report.
Each writer has a personal style in draft preparation. Effective styles allow authors to use
POWER in preparing reports. The idea of POWER is simply stated as a structure for writing:
Plan, Organize, Write, Evaluate (edit), and Rewrite.
Plan. The first step in writing is to determine your objective. Why are you writing? What is
the purpose of this report? Have a clear understanding of the elements of the situation
involved when you answer these questions. Many good inspectors begin to plan their
reports when they begin planning the investigation. By thinking about how the facts must be
reported to make a clear report, they improve both the quality of their reports and their
inspections.
Prepare a detailed topic outline with topic headings that distinguish between major
sections and minor topics. Include in the outline a brief reference to each supporting exhibit.
An outline not only lessens chances of omitting necessary facts, but also assists
in recognizing irrelevant details and achieving a logical arrangement.
Organize. Most of the facts of an investigation are in memorandums, field notes, documents,
etc. that were gathered during the inspection. Arrange this material in the order you
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developed in the topic outline. From this bulk of material you can refine the topic outline and
then build the body of the report.
Write. In writing the report, remember that the format of your narrative report is determined
by its purpose and by Agency policy. Refer to your office's directives and official sample
reports or copies of other well-written reports to determine the format of the particular type of
report you are writing. Use the writing process to evaluate the information being presented.
Be willing to revise the topic outline to improve structure and clarity.
Evaluate. After you have written a draft of the report, put it aside for a while, preferably at
least overnight. Then analyze the report from the viewpoint of the reviewer and answer the
following questions: |
- What is the report trying to communicate?
- Has it fulfilled the purpose of the inspection?
- Can supervisors and reviewers mal-ce correct decisions based on this report?
i
- Does it answer the questions who, [what, when, where, why and how?
- Are any further inquiries necessary?
- Is it readable?
Is it fair, concise, complete, accurate and logical?
Is any part ambiguous? i
Proofread the report to check for the following problems:
i
Inconsistency in format or style, !
Unnecessary repetition, '
- Inappropriate tone,
3s
- Omission of pertinent information, and
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Typographical errors.
At this point, it is often helpful to havethe report reviewed by a colleague who has
knowledge of the inspection or investigation. A second party can often identify problem
areas more readily than the primary author, who may become too close to the material
to be an objective evaluator.
Rewrite. After evaluating the draft, rewrite or revise those portions of the narrative that do
not respond to the questions used in ^valuation. Upon completion of this process, the
official draft of the inspection report will be circulated for official reviews and a copy of this
draft will be kept in the official files. Bฃ certain the report is an accurate representation of the
complete situation.
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Narrative Report Outline
While the specific information items will vary, the following outline for the narrative portion of an
inspection report can be adapted to most situations.
Introduction
The introduction should briefly present all relevant background information about the conduct of the
inspection and summarize the findings of the inspection.
General Information
State the purpose of the inspection and how the facility came to be inspected (i.e.,
neutral scheme, follow-up, for cause).
State the facts of the inspection (i.e., date, time, location, name of the agent-in-
charge, etc.).
Participants in the inspection.
Summary of Findings
Give a brief, factual summary of the inspection findings.
History of Facility
List the status of the facility (i.e., corporation, proprietorship, partnership, State
agency, non-profit organization, etc., and where incorporated).
Give the size of the organization based on inspector observations or agency records.
List any related firms, subsidiaries, branches, etc.
List the type of operations performed at the facility under inspection.
List names and titles of facility officials interviewed. List the name(s) of official(s)
responsible for day-to-day operations at the facility.
Inspection Activities
The body] of the report should present the chronology of the inspection in the same order that the
inspection was conducted. Be certain to insert all observations when appropriate and to cover the
following topics when appropriate.
Entry/Opening Conference
Describe the procedures used at arrival, including presentation of credentials and written
: Notice of Inspection, and to whom they were presented.
Describe any special problems or observations if there was reluctance on the part of
facility officials to give consent, or if consent was withdrawn or denied.
If special procedures were necessary, such as obtaining a warrant, describe the
procedures.
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Summarize the topics discussed during the opening conference.
Note presentation of any other required notices (e.g., the TSCA Inspection Confidentiality
Notice) and the officials to whom thjey were presented.
Note if duplicate samples were requested.
Records
- List the types of records reviewed, noting the reasons for their review, and
referencing documents that were borrowed or copied.
- Describe any inadequacies in recordkeeping procedures, or if any required information
was unavailable or incomplete.
Note if recordkeeping requirements' were being met.
Evidence Collection
i
Note and reference any statements' taken during the inspection.
- Describe and reference photograph's taken during the inspection if they were relevant to
possible discrepancies.
I
- Reference any drawings, maps, charts, or other documents made or taken during the
inspection.
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Physical Samples , t
Describe the purpose for which samples were obtained.
Describe the exact location from which they were obtained.
i
- Describe sampling techniques used. They may be referred to as standard operating
procedures (SOPs), if SOPs were followed exactly. If there were deviations from SOPs
explain why and what was done. |
Reference controlled identification procedures.
- Describe the physical aspects of trje sample (color, texture, viscosity, etc.).
- Describe chain of custody procedures used in sample handling.
Summarize results of laboratory analysis (include actual data in the appendix).
Closing Conference
i
- Note and reference receipts for samples and documents given to facility officials.
- Note procedures taken to confirm [claims of confidentiality and Receipts for Confidential
Business Information.
Note any recommendations, referrals, etc., made to facility officials.
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Attachments
Supporting information should be attached to the report, to ensure that reviewers have all of the data
needed to fully evaluate the compliance situation. All of these attachments should be fully referenced
in the body of the report.
List of Attachments
Prepare a list of all documents, analytical results, photographs, and other supporting
information attached to the report. A general index list, rather than detailed descriptions
will aid case development personnel in locating specific documents.
Documents
Attach copies of all documents and other evidence collected during the inspection. All
documents should be clearly identified.
In cases where documentary support items cannot be included easily with the report, it
may be possible to substitute descriptive information.
ซ Analytical Results
Attach sample data and quality assurance data. This may be presented as tables here,
with pertinent information summarized in the body of the report.
Inspection Report Evaluation Guide
The organization and format of an inspection report can vary based on the practice of the office or
program, the particular circumstances of the inspection, and the individual writing style of the report
writer. No matter what form the report takes, however, the report should contain information about the
facility or site inspected, a detailed description of specific inspection activities that were performed,
and substantiating information on any suspected violations that were observed.
An Inspection Report Evaluation Guide appears on the following page. The Guide contains questions
that should be answered by each inspection report, regardless of the organization or format of the
report. Note that being able to answer all of these questions is a sign of a high quality inspection, as
well.
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INSPECTION REPORT EVALUATION GUIDE
The organization and format of an inspection report can vary based on the practice of the office or
program, the particular'circumstances of the inspection, and the individual writing style of the report
writer. No matter what form the report takes, however, the report and its attachments should contain
the answers to the questions which follow.
Basic Inspection Information
Who prepared the inspection report?
Who signed the inspection report, and on what!date?
Who performed the inspection (all participants)?
What is the name and location of the facility/site?
What is the facility/site's mailing address and telephone number?
What is the name and title of the responsible official who was contacted?
I
What was the reason for the inspection (e.g., routine, response to a complaint, for cause)?
What are the names and titles of all of the government personnel who participated in the inspection?
Entry/Opening Conference
I
What are the facts about the entry (e.g., date, time, entry location, agent-in-charge)?
i
Is there documentation that proper entry procedures were followed?
Were all required notices and credentials presented?
Is there documentation that facility officials werp informed of their right to claim information
confidential? [
Were there any unusual circumstances about gaining consent to enter (e.g., reluctance, attempts to
limit inspection scope, attempts to place special requirements on inspectors)? How were they
handled?
Who was present at the opening conference? 'What topics were discussed?
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Background on the Facility/Site
What type of facility/site is it?
What types of activities and operations take place at the facility/site?
Who owns the facility or site (e.g., corporation, proprietorship, partnership, Federal or State
agency, non-profit organization)?
How many years has the facility been in existence?
How many employees are there at the site?
Have any major modifications been made to the facility? Are any future modifications or
expansions planned?
At what level of capacity is the facility operating? How many shifts? How many hours per day and
days per week? What relationship does this information have to the inspection that was performed?
Which operations/processes/activities at the facility were examined during the inspection?
Which operations/processes/activities at the facility were not examined?
Inspection Activities
Records Inspection
Is there a general description of how records are kept at the facility?
What was the purpose of reviewing records?
What facility records were reviewed?
How were the specific records selected for review (e.g., was an auditing technique used, were all
records reviewed)?
Are records that were photocopied or data manually copied from records adequately identified
and documented?
Were any suspected violations found? (Each should be fully documented, making sure that all of the
information required by the section below on suspected violations is included.)
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Physical Sampling
What was the inspector's sampling plan for the facility/site?
What physical samples were collected at the sitej?
i
Are the sampling techniques used adequately explained?
Are all samples clearly tied to an identification number, location, purpose?
Are sampling conditions and other physical aspects of the sample (e.g., color, texture, viscosity)
described?
Were any deviations from the sampling plan and)or standard operating procedures (SOP)
adequately explained and documented?
Are chain of custody procedures documented?
i
Are the results of laboratory analysis clearly presented?
How do the sample results compare to permit limits?
Illustrations and Photographs
Are photographs taken during the inspection referenced? Properly documented?
Is there some information about the inspection that could be made easier to understand through
a diagram or sketch in the inspection report?
If sketches, diagrams, or maps are used, is the scale and/or other relationships shown clearly?
interviews
What are the names and titles of facility officials land other personnel who were interviewed?
Are their statements clearly summarized?
What are the names and addresses of any other individuals who were interviewed or who were
witnesses?
Closing Conference
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Is there documentation that required receipts for samples and documents were provided?
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Is there documentation that facility officials were given an opportunity to make confidentiality claims?
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Are statements the inspector made to facility officials regarding compliance status, recommending
actions to take, or other matters noted? ;
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Documentation of Suspected Violations
The heart of the inspection report is really the documentation and substantiation of suspected
violations, which allows the Agency to determine whether a violation occurred, how and why it
occurred, and its seriousness. This substantiating information includes all of the evidence of
various kinds that has been collected. In an actual inspection report, some of the answers to the
questions on the preceding pages might be answered in the portion of the report which discusses
the evidence collected and other particulars regarding each suspected violation.
The inspection report should answer the following questions for each suspected violation.
Documentation of Suspected Violation
What regulation is suspected to have been violated?
What information proves that the cited regulation applies to the facility/site?
Using the 'elements of the regulation as a guide, what information proves that the suspected
violation occurred?
What sampling methods (if appropriate) were used to determine that the violation occurred? Are any
deviations from sampling methods adequately explained?
What information shows that possible exemptions to the rule do not apply?
Cause of Violation
Note: Not all programs require this information, but it may be useful even where not required
for such purposes as negotiating an appropriate remedy and penalty and for planning
future inspections. Causal information must be stated carefully so that it does not
provide the violator with an excuse for the violation.
-What information documents the possible cause of the violation (e.g., direct observations of gage
readings, production, logs, physical appearance of materials, statements by facility personnel)?
Is there any supporting information confirming/disapproving a possible claim of an upset or other
exempt activity?
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Other Mitigating and Aggravating Factors
The level of enforcement response is based on the seriousness of the violation. Civil penalty
amounts are based on the gravity and circumstances of the violation, which is usually a calculation of
the extent of the violation (e.g., amount of material involved) and the extent of the actual or potential
harm that was or could be caused by the violation. This base penalty can be adjusted upward or
downward based on such factors as past compliance history, or efforts made by the facility to correct
the violation
The inspection report should contain information that will support the appropriate determination of the
seriousness and extent of the violation as well as other information that might be useful in penalty
calculation.
i
What is the seriousness of the violation (e.g., amount of emissions, length of time of excess
emissions, nature of emissions, location of source, perceived public impact)?
What harm resulted or could result from the violation?
What efforts did the facility make to correct the violation?
How difficult will it be to comply (e.g.. availability pf technology, cost of complying, time required to
correct the violation)?
What is the facility's past compliance history?
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EPA's Office of Enforcement and Compliance Monitoring (OECM)
Tips on Official Files
To be used in conjunction with the Module VII discussion of types of evidence. The points in
this handout can be presented in the lecture if the instructor determines that they are critical or
the handout can serve as a reference tool.
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OFFICIAL FILES
The official files related to an inspection or investigation comprise the Agency's legal documentation of
its activities. All original documents, data, and evidence related to an inspection become part of the
official records and should be treated as potentially admissible evidence in legal proceedings.
Further, the opposing side in an enforcement proceeding is likely to have access as part of the
discovery process. In criminal investigations, the Agency may turn over to the opposing side literally
every scrap of paper with a note jotted on it in order to comply with the Jencks Act.
The inspector should always maintain a diligent and professional manner in recording notes of
conversations, planning meetings, interviews, inspection observations, sample and data collection
activities, and interactions with individuals related to the project. These notes should be prepared
immediately, or as soon after the interaction or observation as is possible, to avoid loss of
important details. All such records should be dated, legible, and contain accurate and complete
documentation. Their language should be objective, factual, and free of personal feelings or
inappropriate information. Avoid recording personal or irrelevant information where this information
may become part of official records.
Components of the Official Files i
Historical Records ;
Historical records related to a project are probably already contained in the official files for the facility
being investigated. These records may include permit applications and associated documentation;
inspection plans and reports from previous inspections; reports of laboratory data from samples
collected during previous inspections or submitted by the facility; site maps, plans, drawings, and
descriptions; and photographs, photocopied recprds, and other physical samples or evidence about
the facility. All of these records are available to authorized inspection team members, and should be
used to provide a background of knowledge about the facility and its history with the Agency. This
information will often be valuable in planning an Inspection.
The Inspection File ,__
The inspection file normally contains all of the records associated with an inspection. This file is
reviewed by case development personnel as part of the evaluation of whether an enforcement
response should be made to potential violations! identified during the inspection, and if so, what type
of enforcement response should be made. A missing required inspection notice or incomplete chain
of custody record, for example, could jeopardize the Agency's ability to successfully prosecute a
violation. ' !
i . . "
There are differences in statutory requirements as well as program and Regional policy and
practice, so no one list of file contents will be appropriate for all situations. The list of contents which
follows can serve as a guide to the types of records that should be kept in the inspection file.
. Investigation requests (if issued). If a written request was issued by another office (e.g.,
Headquarters or Regional program office) to conduct the inspection, a copy should be
included in the file.
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Communications. For each inspection, communications may occur in many forms and
among many individuals. Copies of all official correspondence, possibly including
notifications of intent to conduct an inspection (both to the facility and to the State), requests
for data, and informational correspondence, should be included in the official files. Records
of telephone and personal conversations also should be included.
Notice of Inspection. If the authority in the statute under which the inspection was
conducted requires presentation of a notice of inspection, the inspection file must contain
evidence that a written notice of inspection was presented. Case development personnel will
review it to ensure that the inspection adhered to the terms specified in the notice.
Verification of Credentials. Some EPA statutes also require that an inspector present
appropriate credentials to the owner, operator, or agent in charge of the inspected
premises. Therefore, the inspection file should contain evidence that proper credentials were
presented.
Inspection Confidentiality Notice. TSCA requires that facility officials be informed of their
right to claim inspection data as confidential business information (CBI). For all TSCA
inspections, the file should contain a copy of the CBI notice. It will be reviewed for proper
signatures and dates, as well as completeness.
Declaration of Confidential Business Information and TSCA Confidentiality Clearance
References. These items are contained in the inspection file when materials have been
claimed as confidential. The Declaration collected during the inspection will be reviewed for
signatures, dates, and a complete listing of all documents and samples for which CBI was
claimed. The Clearance References will be checked to ensure that all individuals
who handled or will handle TSCA-CBI held the appropriate clearances.
Receipt for Samples and Documents. A receipt must be issued for all samples and
documents collected during inspection under some EPA statutes (RCRA, CERCLA, TSCA); it
is good practice under all statutes.
Inspection (Project) Plan. The plan will be reviewed to ensure that it presented the
objectives, scope, logistics, and schedules for the inspection. Inspectors should be
prepared to explain the inspection rationale and any deviations from the plan.
Narrative Inspection Report. Generally, a copy of both the draft and final versions of
the inspection report, including attachments, should be included in the inspection file.
However, some programs and Regions may have specific procedures for review and
retention of draft reports. The final report will be reviewed by case development
personnel for factual information, professional judgments, objectivity, and
comprehensiveness.
Inspection Report Form. If the program has an inspection form or checklist that is completed
for each inspection, a copy should be, included in the file.
Other Evidence. Other evidence that should be kept in the official files includes
photographs, copies of documents and records, statements, affidavits, drawings and
sketches, etc., collected during the inspection.
Custody Records. There should exist a complete inventory of sample tags and seals,
chain of custody records, and related materials that demonstrate the traceability and
proper identification of all samples taken during an inspection. Chain of custody records
include all of the following items:
VII-43
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Official Chain of Custody Record forms used to record the custody of all samples
and other physical evidence collected during an inspection,
- Copies of Receipt for Samples forms (for RCRA, CERCLA, and TSCA samples) that were
provided to the owner or operator of the facility,
- Copies of letters authorizing laboratories to dispose of samples related to the project,
and
j
- Sample tags or labels from samples that have been destroyed by the laboratory.
Laboratory Analyses. Test results from any laboratory analyses made in connection with the
inspection should be included in the inspection file.
Subpoena. If a subpoena was issued, a copy must be included in the inspection file. It will
be reviewed to ensure that it was issued properly and that there was compliance with the
requirements of the document.
j
Warrant. If a warrant was issued, a coJDy of the warrant application, warrant, arid
inventory should be in the file. These will be reviewed to ensure the warrant was
properly issued and that the inspection complied with its terms.
Field Logbook. The bound field logbook used by the inspector to record his or her field
activities on the inspection becomes part of the official file (although it may not be physically
located in the file itself). Once completed, the logbook becomes an accountable document,
it does not belong to the inspector.
Vll-44
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. MODULE VIII:
CHAIN OF CUSTODY FOR EVIDENCE AND SAMPLE HANDLING
Desired Outcome for the Module:
Inspectors will understand the importance of local procedures for collecting evidence and
handling samples
Teaching Aids:
Examples of sample tags and chain of custody record (use local materials, if appropriate)
Approximate Time: 1 hour
VIII-1
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CONTENT OUTLINE
INSTRUCTOR NOTES
VIII. CHAIN OF CUSTODY FOR EVIDENCE
AND SAMPLE HANDLING
A. Overview of Module !
1. Importance of chain of custody |
2. Policies and procedures for sarrjple
management
3. Elements of custody !
4. Overview of chain of custody procedures
B. Importance of Standard Operating
Procedures and Chain of Custody
1. Chain of custody procedures allow
enforcement and legal officials to trace
possession of a physical sample or other
physical evidence from collection to
introduction into evidence at a legal
proceeding
2. Sampling and chain of custody procedures
may be very important to the development of
enforcement cases j
3. Enforcement personnel must be able to
demonstrate that physical samples were not
tampered with or contaminated! after collection
4. Staff must keep accurate written record of the
possession of evidence
5. Procedures apply to sample collection, transit,
storage, and analysis
[
C. Sample Management in the Field
1. Inspectors may be required to take physical
samples at an inspection site; samples may
be used as evidence
2. The manner in which evidence) is handled after
it is collected at a site is crucial to the
enforcement case
VIII-2
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CONTENT OUTLINE
INSTRUCTOR NOTES
3. Following guidelines for sample management
will make the process simple
a. Handle samples in accordance with
satety procedures
1) Special handling for highly toxic
substances should be arranged in
advance
2) Security provisions should be
adequate to protect both samples
and documents
b. Provisions for sample preservation should
be planned in advance
c. Avoid delays in transit
d. Samples should be delivered by the
inspector or shipped by the most
economical means, in accordance with
regulations
e. Record handling and shipping
procedures to document the integrity of
the sample
f. Obtain copies of all shipping and
handling documents for the official
inspection file
g. Equipment for proper sampling should be
available to ensure a legally defensible
job, including bottles, ice, cooler, sample
labels, and sample bags
h. Inspectors should carry equipment with
them for sampling
1) Bottles, cooler, necessary sampling
and safety equipment
2) Sample tags and chain of custody
records
VIII-3
It may be useful to briefly
mention procedures for standard
v. expedited enforcement and
describe any differences in
sampling and custody
procedures, if necessary.
Distribute copies of sample
tags and chain of custody
records. Create an overhead of
the materials to put up while
they are discussed. Examples
of these materials are included
in the samples section.
Show overhead of sample tag
and chain of custody record as
appropriate. If possible, have
all equipment inspectors will
need to use on-hand. "Hands-
on" demonstration of the
equipment is an excellent
teaching tool.
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
D. Elements of Custody
1. "Custody" refers to physical evidence in the
actual possession, control, and presence of
the inspector
a. In the inspector's view
b. In a storage area to which only inspector
and identified others have access
2. Inspector must document custody of evidence
at site
a. Sample tag
1) Sample number
2) Date
3) Sampler's signature or initials
b. Field logbook entry
1) Time, location, reasons [for sampling
2) Identification number
3) Deviations from standard chain of
custody
4) Observations which would aid
identification [
c. Chain of custody record ;
i
1) Identify each individual jwho had
custody of the sample from time of
the inspection until the jenforcement
proceeding
2) Include any bills of lading or shipping
receipts
d. Give receipt for samples given to owner
or operator at site
VIII-4
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CONTENT OUTLINE
INSTRUCTOR NOTES
E. Overvievy of Chain of Custody
Procedures
j
1. Establishing custody
a. S;ample must be sealed, signed, and
d|ated
i >
b. Written record must be maintained during
cpllection, transit, and storage of sample
i
c. Information should be clear, complete,
accurate, and contain identification
njumber of sample
d. Custody during transit
i
1) Record the name of each person
! having custody of sample and where
i stored in the chain of custody record
I (originator should retain copy)
i
2) Record any deviations from standard
i procedures
i
3j Persons in chain of custody should
! contact others if sample seal has
i been broken or there is irregularity in
; documentation
e. Special procedures for maintaining
samples during shipping (to laboratory or
court)
1) Samples must be accompanied by
1 chain of custody record
2} Obtain a bill of lading if sent by an
1 outside carrier
3) Include receipts and shipping with
i chain of custody documentation
f. Other suggestions
1); Maintain documents so that an
; inspector can testify about details
! without total recollection of the events
VIII-5
Section E was developed with
generic chain of custody
procedures in mind. Policies
specific to your program
regarding sampling and sample
documentation should be
incorporated. Again, you should
check with the authorities in
these areas to determine the
local requirements and teach
those requirements specifically.
You may wish to bring in the
authority to teach this section,
and to provide any examples of
sample tags or chain of custody
records.
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
2) Make deletions on chaip of custody
record with a single line, initialed and
dated ;
3). Obtain the signature of j next person in
the chain before relinquishing
custody ;
4) Minimize the number of people in the
chain of custody '
VIII-6
-------
Module VIII: Teaching Aids
Examples of sample tags and chain of custody record sheets
VIII-7
-------
EPA's Office of Enforcement
Sample Tags and
and Compliance Monitoring (OECM)
Chain of Custody Record
Examples of sample tags and chain of custody record sheets that could be used in
conjunction with the discussion in Module VIII of sample handling and chain of custody
procedures. Examples such as these will be useful for inspectors in learning correct procedures
for handling samples and developing effective enforcement cases.
VIII-8
-------
Example of Sample Tag
Project Code
_k, B>'
(0
w z
4!k :O
01 .'
at
I
o_
-------
Example of Sample Seal
(2)
(3)
(4)
(5)
(6)
UNITED STATES
ENVIRONMENTAL PROTECTION AOENCY
INSPECTOR'S SEAL
2
6
Insert sample number.
Insert date sealed.
Print location of collector's station.
i
Signature of persons sealing the sample.
Print name (same as signaturjs) and title of sealer.
I
When seal is broken for any purpose, initial here and enter the date
broken. Submit broken seal with sample records.
VIII-10
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Field Sample Data and
Chain of Custody Sheet (FSDCOCS)
1. Project code and account number
2. Name/Location
3. Project officer
4.
5. Notes
6. Samplers
7. Recorder
8. Examples
Source Code
Matrix
Number of Containers
Lab Number
Station Number
Date/Time
Ending Date/Time
Type
Frequency
Station Description
9. Codes
10. Chain of Custody
Obtain from designated individual
As appropriate
Name of person who should receive lab data. Usually
person collecting samples.
Check appropriate box
Use for comments
List names
Signature of person completing the FSDCOCS
See back of FSDCOCS
As appropriate
Enter number
Obtain before sampling
Note 4 digit sequence number
STORET station number (if available)
Military time
For composite samples - beginning-date/time of first
aliquot
Date/Time of last aliquot
See back of FSDCOCS
T = Time - Aliquots taken at set frequency
S = Space - Grabs over an area
F = Flow - Variable time intervals
B = S&T
See back of FSDCOCS
Be specific
See back of FSDCOCS
Document possession of samples en route to Region
XI laboratory. If sent to another lab via common
carrier, sign in "Dispatched By" box.
VIII-11
-------
A __ _ United States t
2&EPA Environmental Protection
Agency
Chain of Custody Raeord
Inspector Name and Address
1
Inspector Signature
2 i
3
Inspection Number
.4
Sample Name
6
Date Sample Time
7 8
5
Duplicate Requested
( )Yes<) ( )No
JL "
Analysis/Testing Required
11
1
Laboratory '
Date Received
Sent Via
MMMMBMMMi
Sample Condition
Condition oi Seals
Units Received
Storage Location
Assigned By
MMBMMMI
Assigned To
__m__i^__
Daiivered By
Date Delivered
Number of Units Received
^~^^-^~
Units Analyzed
__>_ii^^^^i^ป
Date Seal Broken
_ซซ.^-.-^
Date Received
Reseated By
..^
Storage Location
Date Results of Analysis
Issued to Facility
Date Results of Analysis
Issued to EPA
VIII-12
-------
Chain of Custody Record
.
1. Enter inspector's name and EPA office address.
2. Sign the Chain of Custody Record.
3-4. Sample and inspection numbering program is currently under
development. Information regarding these spaces will be available at a
later date.
5. Task numbers refer to EPA contractors. Inspectors may disregard this.
6. Describe the sample, including size, container, and contents. List brand
names, if any.
7-8. List date (7) and time (8) sample was requested by facility officials.
9. Indicate if duplicate sample was requested by facility officials.
10. Enter name and address of firm.
11. List testing required for samples collected.
The remaining parts of the Record will be completed by personnel other
than the inspector.
VIII-13
-------
-------
MODULE IX:
ENFORCEMENT CASE DEVELOPMENT AND TESTIMONY
Desired Outcome for the Module:
Inspectors will understand their role as enforcement case witnesses or program
representatives
Inspectors will understand the objectives of testimony and how to deliver testimony
Teaching Aids:
Points for Prospective Witnesses
Hearing Preparation Form
Approximate Time: 1 hour and 30 minutes
IX-1
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
IX. ENFORCEMENT CASE DEVELOPMENT
AND TESTIMONY
A. Overview of Module
1. Inspector as a witness
2. Overview of the appeals inspector's role in the
hearing or process '
3. Guidelines for preparing testimony
4. Tips on testifying
B. An Inspector May Be Required to Serve
as a Witness or Representative
1. Inspectors may need to serve ajs a witnesses
or representatives of the program if owners or
operators wish to contest violations
2. Inspectors may serve as witnesses in a variety
of situations \
a. Informal conferences or hearings
regularly scheduled for inspectors and
owners or operators '.,
b. Appeals hearings for citations
c. Court or court related depositions
3. Inspectors may be required to hold regular
informal conferences with owners or operators
as the first step in the appeals process
a. Inspectors may have a regular day for
owners or operators to contest citations
b. Inspectors should review citations,
reports, files, or logbooks in preparation
for conferences [
c. Inspectors should remain professional
and remember the tactics for dealing with
irate persons (covered in Module X)
Section B addresses the
possibility of inspectors serving
as witnesses in enforcement
cases, whether in an
administrative hearing or a
courtroom. Inspectors may also
serve as program representatives
in an informal conference with
the owner or operator.
Review program-specific
requirements and provide
inspectors with an overview of
their role in the appeals process.
It is important to stress that
preparation and professionalism
in early courtroom or hearing
situations will set the tone for
future cases.
Legal staff members may be
helpful in preparing to deliver (or
delivering) the module, and you
may want to distribute the case
preparation forms, which are
aids for inspectors in organizing
their thoughts.
IX-2
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
4. The administrative hearing or courtroom
situations will differ
a. A courtroom situation is more formal and
inspectors may not be the only program
representative; cases are decided by
judges
b. An administrative hearing setting is less
formal and inspectors may take on a
greater role program representative;
cases are decided by administrative law
judges (ALJs)
5. The role of the witness has several facets:
a. A witness provides truthful testimony
under oath or affirmation
b. A witness must testify from personal
knowledge
c. The object of testimony is to persuade
6. If a program is using introductory warning
citations, inspectors will be less likely to
appear as witnesses in a courtroom or hearing
setting
C. Preparing for Testimony
1. Collect as much evidence as possible
a. Preparation for an enforcement case
begins the moment the inspection begins
b. Everything an inspector hears, sees,
reviews, samples, and records is potential
evidence :
c. Good record-keeping is essential
2. Review notes, logbooks, and reports before
testifying as hearings or conferences may take
place some time after inspections
3. Meet with legal staff to determine course of
action '.
4. Be prepared to explain any inconsistencies
written reports or evidence, and should help to
determine if there are missing facts
lX-3
-------
CONTENT OUTLINE
INSTRUCTOR NOTES
5. Advise legal staff if contacted by opposing
parties j
6. Develop testimony (using notes,! case
preparation forms) and stick with it
D. Testifying
1. Be prompt and dress professionally
2. Be prepared for questions in both direct and
cross examination from attorneys and judges
3. Be consistent with any previous testimony
(e.g., depositions)
4. Listen to questions and answer only what is
asked; do not volunteer additional information
5. Answers should be clear, truthful, and concise
6. Maintain poise during any hostile questioning
from opposing representatives
7. Refrain from becoming angry, frustrated, or
pmntinnfll >
t?lllWLIwlIOI , i
8. Always read your testimony when offered to
correct any inaccuracies and sign
9. Do not include personal opinions or
assumptions in testimony :
Module IX emphasizes the fact
that inspectors will play a
professional role in a courtroom
or administrative hearing
situation, and that they are
always in the process of building
an enforcement case throughout
their daily activities, even when
citing simple violations. It is
likely that legal staff will go over
hearing procedures at the time
of a hearing, but the Dade
County, Florida, handout, "Points
for Prospective Witnesses," may
be very helpful as a reference. If
there are other agencies or
departments that have similar
hearings that inspectors could
attend, you may want to assign
the group to attend a few short
hearings. You could also
organize a mock trial with help
from legal staff.
Distribute handouts on hearing
preparation and prospective
witnesses, which are included
as handouts at the end of this
section.
IX-4
-------
Module IX: Teaching Aids
Points for Prospective Witnesses
Hearing Preparation Form
IX-5
-------
Dade County, Florida, Department o^ Environmental Resources Management
Points for Prospective Witnesses
To be used in conjunction with the Module IX discussion of inspectors as expert
witnesses. It is designed to give inspectors basic guidelines for testifying in depositions or
in court, but is also helpful to inspectors who may have to testify at hearings or informal
conferences.
IX-6
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POINTS FOR PROSPECTIVE WITNESSES
1. ALWAYS TELL THE TRUTH. As a witness in a Federal trial it is your absolute duty to tell the
truth to the best of your ability in accordance with the oath you will take in court. Do that and let the
chips fall where they may - what effect the facts may have on the prosecution or the defense is solely
the concern of the judge or jury, not of the witness.
2. DON'T VOLUNTEER INFORMATION YOU ARE NOT ASKED. In your living room you can inject
comments nobody has 'asked you to make. In court you can't. Confine your answers to what you are
asked, because information you volunteer may be inadmissible evidence or may be irrelevant to the
case.
3. DO NOT TELL WHAT OTHER PEOPLE SAID OR WHAT YOU THINK UNLESS YOU ARE
SPECIFICALLY ASKED TO DO SO. If you are asked what someone said or what you think about
something, you can answer the question. But in most cases "hearsay" and opinions are improper in
court. Unless you are specifically asked to tell about a conversation or to give your opinion, assume
that every question calls solely for what you actually saw, heard, or did. Above all, don't volunteer
hearsay or opinions you are not asked to give.
4. PAUSE FOR A SECOND BEFORE ANSWERING A QUESTION SO THAT THE OTHER LAWYER
CAN OBJECT IF HE WISHES TO. Lawyers have an absolute right to object and you must give them .
the opportunity. You need only pause for a second, however, since they should object at once. If
you see a lawyer for the plaintiff or for the defense starting to get up, he probably wants to object to a
question you were asked. He has the right to have the Judge rule on the objection before you
answer. Don't jump the gun and answer first. If the Judge says 'Objection Overruled," then you may
answer.
5. YOU CANNOT BE ASKED LEADING QUESTIONS ON DIRECT EXAMINATION. As a
Government witness, you cannot be asked "leading" questions by the Government on direct
examination. A leading question is one which contains a suggested answer. For example, "Were you
able to see the defendant aim a gun at the car?" or, "Isn't it a fact that..." are leading questions.
Since the Government cannot lead you, you have to remember all of the facts pertinent to every
question you are asked yourself, without help from the lawyer. Take your time and be sure to answer
the question completely. If you are asked a question like, "Did anything else happen at that time?" or.
"Was anything else said?" you can be sure you have omitted a fact which you mentioned to the U.S.
Attorney or to a Government agent previously. Take your time and think back to what else may have
happened which you failed to mention. Do not quickly answer "No" unless you are sure your answer
is complete.
6. YOU CAN REFER TO DOCUMENTS IF YOU NEED TO. It is usually more effective if you can
testify from memory without looking at anything. But if you need to look at something to refresh your
recollection, you may. "May I see a copy of my memorandum or statement; I think that will refresh my
recollection on that exact date," or a similar answer is entirely proper for you to say from the stand, on
either direct examination by the Government or on cross-examination.,
7. DON'T GUESS. If you don't know the answer to a question, just say so. It is wrong to guess
if you don't actually know the answer. If you know most of the answer but not all the details, you can
say so. For example, if you are asked, "When did you last see the defendant?" and you know the
month or year but not the date, don't say, "I can't recall," say that you can recall the approximate but
not the exact time, and tell the best of your recollection. Never guess, however, if you have no
firsthand information at all.
8. AN ESSENTIAL PART OF TELLING THE TRUTH IS TO BE ACCURATE ABOUT HOW SURE
YOU ARE. Some things we are certain of, some things we are almost certain of, some things are our
best memory, but we could easily be wrong. There are many shades in between. On cross-
examination, be accurate about this and don't get badgered into adopting a position that is either
weaker or stronger then the truth as to the strength of your memory.
IX-7
5
-------
9. DO NOT ASSUME THAT LONG-PAST EVENTS ARE ALWAYS DIM IN YOUR MEMORY. Some
witnesses will say in answer to a question, That was five years ago and so I can't remember," or, "My
recollection is poor for what happened that far back." This is usually wrong and misleading. The
importance of an event is usually more important than how long ago it was in determining how well
you can remember it. Charts of memory have proven that most forgetting takes place within a very
short time after the event. You may remember Pearl Harbor Day in 1941 and may not remember what
you had for breakfast two days ago. If what you saw or heard struck you as important or unusual,
you can probably remember it clearly even if it was a long time ago. If this is true and if you are
asked, say so. If you don't remember something, just say "I don't remember." The chances are that
you don't remember it because it didn't strike you as important at the time.
10. NEVER GET ANGRY. Some cross-examiners try to get witnesses angry so that they will make
an'error which the cross-examiner can dramatize' When you are angry you are least likely to do your
duty as a witness, which is to give truthful answers. If a lawyer tries to anger you, remember that he
has some reason for doing this. Your best reply iis to remain absolutely calm and answer the
questions. Remember that nothing a lawyer says is evidence of anything unless it is answered
affirmatively bv the witness. Remember that you are a witness and are not on trial in the case, no
matter what you may be asked. If questions are too insulting, the Government may object, but it is
much better if the witness can remain calm and handle every question without help from the
Government. If you have made any mistakes in connection with the case, just admit them and the
suspense will be gone from the subject. If you haven't, you should have no problem either.
11. NEVER ARGUE. Some witnesses tend to argue with the lawyer during cross examination
This gives the court and jury a bad impression o^ the witness. Just answer the question (if there is no
objection) as calmly and a forthrightly as possible.
12. BE SURE YOU UNDERSTAND THE QUESTION. If you don't absolutely clearly understand a
question, ask the examiner to explain what he means. This is especially important if the question is
vague or contains value-judgement words, such as "Isn't it a fact that the defendant was always open
and above-board in his dealings?" A question like that can cause your answer to be misleading. You
must therefore clarify what you mean by such responses.
i
13. BEWARE OF YES OR NO. Some witnesses have the notion that all questions should be
answered "yes" or "no." That is frequently untrue. Many questions cannot be answered accurately
with "yes" or "no" because they contain half-truths or ambiguous phases which can be misinterpreted
later if answered "yes" or "no." These are the questions for which you should state the facts of what
happened in your own words. If the lawyer asks you to answer "yes or no," you are entitled to tell him
that it can't be answered "yes or no." It should be explained or it is misleading. The court will not
direct you to answer "yes or no" unless the question permits that kind of answer.
14. BEWARE OF LEADING QUESTIONS CONTACTING HALF TRUTHS. Witnesses are frequently
asked leading questions suggesting information! which is either half true or contains facts not within
the witnesses' knowledge. Such questions frequently sound plausible on their face, and there is a
temptation to answer them "yes" or "no" even when such an answer would not be completely accurate.
If a question contains information which is partly true and partly false, an explanation is necessary.
The explanation should be in your own words. Don't allow a cross-examiner to put words in your
mouth. Remember that the Judge or jury will draw conclusions from your answers. The lawyer is not
there to engage in polite conversation. He is trying to establish facts which he thinks will help his
client. It is your duty to see to it that whatever is established by your testimony is "the truth, the whole
truth, and nothing but the truth." |
15. BEWARE OF COMPOUND QUESTIONS.' If you are asked several questions rolled into one, it
will usually be impossible to answer accurately unless you break them down. In such a case, you
may say, "That contains several aspects, which I'll try to answer one by one." Or, if the question is too
long, you can say, "Can you break that down for me and ask me the questions one at a time?"
i IX-8
-------
16. "ISNT IT A FACT." Be careful of questions which start "Isn't it a fact that...." or The fact is ....
isn't it?" These are usually leading questions containing implications which may be' only partly true
and which require an explanation. Some cross-examiners will disguise leading questions by saying
"isn't that correct" or "isn't that true" at the end of the question.
17. YOU MAY BE INTERRUPTED. When you explain an answer, you may often be interrupted by
the cross-examiner, who will start the next question. Let him finish and then bring him back to your
unfinished answer. "Before I answer that, I want to finish my answer to our last question." This is very
important, because the cross-examiner may try to stop you before you have answered the rest of the
question which explains the first part of the answer. You have to say whether you were finished
because the Government counsel doesn't know if you were through or not.
18. BEWARE OF EXACT DISTANCES AND TIMES. The cross-examiner will frequently suggest to
you distances and times of events when you do not recall the actual time or distance. Do not agree
with him unless you would independently arrive at the same estimate as he gives. If you make an
estimate, be sure to say its only an estimate.
19. YOU HAVE TALKED WITH GOVERNMENT REPRESENTATIVES. There is no secret about the
fact that you have talked with an Assistant U.S. Attorney, or with other Government agents. Indeed
there is no secret, or course, about anything you know about the case once you are on the stand.
You will be under oath to tell whatever you know about what you are asked. Some witnesses may
think there is something improper about talking to the lawyer before trial and going over your
testimony, and when asked if they talked with anyone will answer "no." The credibility of such a
witness is, naturally, entirely destroyed because no lawyer will put a witness on the stand without
talking with him first. Your conversations with Government agents may however, be the subject of
leading questions designed to create a false impression. For example, if you are asked "Did you
discuss your testimony?" and say "no" the impression is that you didn't talk with anyone; if you say
"yes" the implication is that you were told what to say. Here, as with other leading questions, state the
facts in your own words. For example, if it is true you can say "I talked with the Assistant and he
asked me questions, and he told me to tell the truth."
20. YOU MAY BE ASKED ABOUT PRIOR STATEMENTS. Under the law, counsel may get to see prior
statements you may have made to Government agents or other persons. One group of questions
may be designed to learn whether you made such statements. If you did sign a written statement, or
if someone took notes while you were interviewed, there is no secret about that. On the other hand, if
you are not sure, do not assume that someone was taking notes. If you are not sure whether notes
were taken or whether you signed a statement, you can simply say that you can't recall.
21. DON'T BE UPSET IF THERE ARE SOME INCONSISTENCIES. Anytime a person tells the same
story twice, no matter how carefully, there are likely to be at least some inconsistencies. If there is an
inconsistency with a prior statement you made, simply tell the best recollection you have of what
happened, and if there is an explanation for the inconsistency, state it. Sometimes it isn't your
mistake, but the mistake of the one who took your statement.
22. YOU DON'T HAVE TO DISCUSS THE CASE WITH ANYONE. It is possible that counsel for the
other party or someone on his behalf may ask to talk with you about the case. You are entirely free to
do that if you want to, but you don't have to. Whether you do or not is entirely up to you. It is not up
to the Government to tell you that you should or shouldn't discuss the case with the defense; but you
should understand that you have no legal obligation to talk with anyone unless you wish to. The only
time you ,are required to answer questions is on the witness stand or direct cross-examination. Also, if
the other party wants to subpoena you, they can do so and you will have to answer their questions on
the stand. That is the only time you are required to talk. If you do discuss the case prior to taking the
stand with the other party or his counsel, remember that you will be asked about any claimed
inconsistencies between what you say on the stand and what the other party or his counsel may
believe you told them. You will not have a stenographic transcript to establish what you said or did
not say. In the event, of course, that you are subjected to any threats or pressure, you should contact
the U.S. Attorney's Office immediately. Should that happen, try to note down exactly what was said to
you as soon as after the event as you can.
IX-9
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23. REMAIN DIGNIFIED ON THE STAND AT ALL TIMES. As a witness called on behalf of the
United States in a Federal trial, it is your duty to remain dignified on the stand at all times. Never
wisecrack in answer to a question or try to make fun of the cross examiner. He has a right to ask
questions and have them answered in a serious! manner. Do not answer a question with another
question unless it is to ask the cross-examiner to clarify what he is asking. Answers such as "How am
1 supposed to remember?" or "What would you have done?" are improper.
24. SCHEDULING. The scheduling of the trial is up to the court and not the Assistant United
States Attorney. The Assistant will make every effort to present your testimony at a time most
convenient for you, but.he cannot control the court's timetable. Occasionally, the schedule of the
Judge and the other parties will require your testimony to be postponed a day or even moved forward.
This may be inconvenient but it is necessary to pe flexible so that the case may be presented fairly.
You may be reimbursed at a minimal rate for your time spent in the preparation and presentation of
your testimony.
25. YOU ARE PERFORMING AN IMPORTANT PUBLIC SERVICES. By testifying in a Federal trial,
you are performing an important service for your country and fulfilling an important duty as a citizen.
Some witnesses look on testifying as an inconvenience; this is wrong, because if we wish to have the
benefits of laws and law enforcement we have to do our part to establish the facts. Even if your
knowledge seems small, it may form a crucial part of a larger mosaic which must be established for
the case to be decided properly. You should look on the duty to testify as an opportunity to play a
significant part in an important function of a society governed by laws.
IX-10
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District of Columbia, Office of Civil Infractions
Hearing Preparation Form
To be used in conjunction with the Module IX discussion of inspectors as expert
witnesses. It is designed to help inspectors organize their notes and recollections of
events before providing testimony regarding inspections.
IX-11
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CIVIL INFRACTIONS HEARING PREPARATION FORM
1.
2.
3.
My name is
I am employed by DCRA,
as an .^___
(Administration)
(Inspector/Investigator)
My responsibilities as an investigator/inspector are
(ex. inspect housing facilities for code violations or investigate business establishments for
regulatory compliance.)
4. On _/_/__ at
I had the occasion to visit the premises located at
(Time)
5. The purpose of my visit was (regulatory inspection/survey)
6. Upon my arrival I observed: (describe)
IX-12
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-2-
7. During my inspection I spoke with
(Name)
who is the of the premises.
(owner, manager, agent, etc.)
8. I explained to the purpose of my visit and I properly identified
(owner, manager, agent, etc.)
myself.
9. J inspected the premises to ascertain whether or not (he/she) had the appropriate
for
(e.g., license, c/o permit etc.) (nature of operation)
10. I advised the individual that he/she was in violation of D.C. code/DCMR
(Number) which states
11. I issued citation no. to (Name)
12. I checked agency records to substantiate that the individual did not have the required licenses
or permits. I checked the agency records in the following manner:_
IX-13
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MODULE X:
REGULATED COMMUNITY RELATIONS
Desired Outcome for the Module:
Inspectors will be assertive enforcement officers and perform in a professional manner at
all times, avoiding compromising their positions
Inspectors will know how to communicate clearly the purpose of inspection and what it
means for the public
Inspectors will be able to decrease tension in uncomfortable situations and handle difficult
people
Inspectors will know how to handle inquiries from the general public or the press
Inspectors will leave the class motivated to use field citations and make the program work
Teaching Aids:
Scenario for Handling Uncooperative Owners or Operators
Role Play for Handling Uncooperative Owners or Operators
Tips on Ethics
Approximate time: 1 hour
X-1
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CONTENT OUTLINE
INSTRUCTOR NOTES
X. REGULATED COMMUNITY' RELATIONS
A. Overview of Module
1. Inspector code of conduct
2. Tips on maintaining professional behavior on
the job'
3. Dealing with the regulated comrjnunities
4. Dealing with the public and the [press
B. Code of Conduct
1. The integrity and professional impartiality of an
inspector are crucial
2. Actions that seem innocent may be
questionable
i
i
a. Avoid accepting coffee, food, or other
small favors' from owners or operators
because it will compromise the
professional relationship |
1) Bring meals or money for meals with
you
f
2) Simply refuse offers from owner or
operators
i
b. 'Small favors" can be misperceived by
court or supervisors
3. If the program requires that inspectors handle
money (i.e., payment of penalty), be
particularly responsible and cautious in
activities <
C. Professional Behavior j
i
1. Behaving professionally will only help
inspectors in the long run; it will be hard to
issue citations after being churrimy during the
inspection |
2. Be consistent and fair \
I
a. Violations should be cited using objective
criteria to avoid situations! of
inconsistency among citations; the
following are examples of, inconsistency
Section B, concerning code of
conduct, may be a sensitive
subject among inspectors. Avoid
sounding as though you question
the conduct of the inspectors
when you present this material.
Stress how their actions may be
perceived by others.
Section C discusses the role of
inspectors in the community. A
group discussion may be
beneficial, especially if there are
experienced inspectors in the
group who are accustomed to a
more personal relationship with
owners and operators.
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CONTENT OUTLINE
INSTRUCTOR NOTES
1) Inspector A always cites in a
particular situation and Inspector B
never does
2) Inspector A sometimes cites in a
particular situation and sometimes
doesn't
b. Call supervisors if you are unsure about a
situation
2. Be respectful in manner when issuing a
citation and each person equally, no matter
what an individual's attitude
3. Do not attempt to be a consultant
a. Provide owners and operators with
names of contractors to help them
correct violations, not giving a specific
endorsement
b. Do not provide technical advice to
owners and operators
1) Providing technical advice will
undermine an enforcement case if the
information is incorrect
2) An inspector's role it to monitor
compliance, not to correct problems
4. Make a decision and act
a. Do not spend too much time debating
enforcement options (field citations v.
standard enforcement, etc.)
1) Violation should be clear-cut enough
that very little (if any) judgement is
involved in deciding whether to cite
2) If the violation is not clear-cut and the
inspector needs time to think about it,
the inspector should do so; citations
can be issued after the inspection
b. Inspectors may revisit facilities, if
necessary
X-3
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CONTENT OUTLINE
INSTRUCTOR NOTES
D. Conflict and Criticism
1. The relationship between inspectors and
owners and operators is likely to be
adversarial
a. Owners and operators may not be used
to-receiving citations and may resent the
inspector and the program
!
b. Owners and operators are likely to have
animosity toward inspectors who must
issue them citations ]
\
c. Direct contact with an inspector may
incite an owner or operator, ("having
someone there to yell at1)
2. Inspectors may find that owners and operators
are angry because they are being hit "in the
pocketbook"
E. Dealing with an Irate Person'
1. The only "right" way to resolve conflict is
whatever works in a given situation
l
2. It is useful to put yourself and the person on
the same side as soon as possible, implying
that you can work together
a. "Let's take a look ..." or "Let's see if we
can..." >
b. 'I'm getting confused" instead of "You are
confusing me"
c. Inform the owner or operator know that
you can put them in touch with people
that may help to solve problems
3. People love to hate a government agency
a. People will be less likely to attack
inspectors personally if it js apparent that
inspectors are only trying to perform their
jobs
b. Remember that anger is Ultimately
directed toward the citation, not you
In Section D, allow the'group to
come up with reasons why the
relationship between inspectors
and owners or operators is likely
to be adversarial, in order to get
all these issues out on the table
and discussed. You want to
convey the fact that conflict is to
be expected and that the owner's
or operator's frustration is really
not directed at the inspector but
rather at 'the system.' Very few
people want to be out of
compliance and even fewer like
it when they are caught at it. It is
natural to become defensive and
there is an art to handling such
situations effectively.
Section E provides the inspector
with ideas for dealing with irate
owners and operators. The
sections may be followed or
preceded by a group discussion
of situations or a role play
between inspectors (attached).
Role play and discussion will
allow both new and old
inspectors to help each other.
X-4
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CONTENT OUTLINE
INSTRUCTOR NOTES
4. Effective communication involves tone of voice
and body language as well as a person's
words
5. It is helpful to build rapport with an angry
person
a. Rapport does not mean that people
necessarily like one another, just that
they have found a way to communicate
b. Threatening or condescending speech or
manner should be avoided
c. Listening actively and showing it by
responding is a good way to build
rapport
d. Trying to understand the other person's
concerns will make the exchange more
positive
6. Think in terms of 'outcomes"
a. A desired outcome is a specific result to
be achieved stated in positive terms and
visualized
b. Thinking positively about what must be
done can help to accomplish it
c. The desired outcome for most inspector
situations will be to do the job with a
minimum of conflict, in a courteous,
efficient, and effective manner
7. A good method to decrease tension is
allowing the other person to vent anger
a. Stay calm
b. Remain calm and in control although
feeling anxious
c. Change the situation if overwhelmed, e.g.,
standing up, sitting down, changing
seats, walking outside, etc.
d. Resist the temptation to say "just calm
down" as it only serves to fuel anger
e. Demonstrate how the other person
should act by remaining calm
X-5
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CONTENT OUTLINE
INSTRUCTOR NOTES
f. Get on with business when ;the other
person cools down \
I
g. Leave if the other person is [belligerent
and the situation seems too| difficult to
resolve
\
F. Handling -Questions from the| Public
and Press
1. The citation program may attract attention
because it is new and visible
2. Citations may make the public more aware of
environmental hazards and, therefore, more
aware of the program meant to alleviate the
hazards ;
i
3. The press may wish to question inspectors on
inspection findings or issuing of citations
I
a. The press may want to find out if there
are problems at facilities
b. The press may simply be curious about
the new program
4. The public may question inspectors about
findings at facilities; this may be out of
concern for health ;
5. Follow agency policy in answering questions
a. Be completely sure about answers; if not
sure, say so, or don't answer (say "I'll
check")
b. Names of complainants in enforcement
cases should be left out of discussions as
much as possible '
Section F is a discussion of how
inspectors should handle
inquiries into their actions, those
of administrators, or questions
concerning public health and
safety. Cover program policies
on the topic, e.g., inspectors
may answer questions from the
press if they feel confident about
their answers, or inspectors
should direct press questions to
administrators.
I X-6
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Module X: Teaching Aids
Scenario for Handling Uncooperative Owners or Operators
Role Play for Handling Uncooperative Owners or Operators
Tips on Ethics
X-7
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SCENARIO X-1
This scenario will allow inspectors to practice handling uncooperative owners or operators. It
should help inspectors to define their professional role.
The inspector issues a citation to Mrs. Claudio, the operator of a franchise
of a large national chain of gas stations. Mrs. Claudio takes one quick look at
the citation and hands it back to the inspector. She tells the inspector that the
t
chain is responsible for technical and1 legal matters and she does not handle
these affairs at all. She tells the inspector to issue the citation to a regional
i
manager of the chain who is responsible for it. The only other employee on
site is a teenager who pumps the gas. Mrs. Claudio refuses to accept the
citation.
i
Suggested Questions:
1) Should the inspector issue the citation to Mrs. Claudio, the teenager, post it on site,
or find another way of delivering it to the regional manager of the chain?
2) What can the inspector say to the owner?
Expected Outcome: Inspectors should recognize that the inspector could issue the citation in
another manner, wait until another day, or continue to try and reason with the owner. The inspector
may have several options in this situation. Stress correct procedures and help inspectors to "rank"
options.
X-8
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ROLE PLAY
This scenario will allow inspectors to practice dealing with uncooperative owners and operators.
It should help inspectors to define their professional role. The instructor should choose one of two
delivery options for the scenario:
Ask for two volunteers and provide them with this script some time before the community
relations module. Allow the volunteers time to review the script (and rehearse if they wish) before
asking them to present this scenario is front of the class. Follow the presentation with questions for the
class or a group discussion.
OR
Divide the class into groups of two and have all of the groups act out the scenario concurrently.
Move around the room observing the students while the role plays are being performed. The students
should perform the role play twice, once in each role. After this session, ask questions and generate a
group discussion.
SCENE: The inspector is on site at a facility and discovers there is no monitoring well installed for
Tank #3. The inspector must issue a citation to the operator, who is the person in charge on site at
the time of the inspection. During the inspection, the operator has been relatively cooperative, but
obviously not pleased about the inspection. The operator is suspicious of the inspectors who come
"poking around the property."
INSPECTOR: I am going to have to issue you this citation for failure to have a monitoring well
installed and in good operating condition for Tank 3. You will have 30 days to correct
the violation and submit the fine payment of $100 to the address on the citation or
request a hearing to dispute the citation. I will be conducting a follow-up inspection
at the end of 30 days to determine whether you have complied with the citation and
properly installed the monitoring well. I can give you a list, of contractors who can
X-9
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help you. If the violation is not corrected by the time of the reinspection, the
department will take further enforcement action.
OPERATOR: (looking disgustedly at the inspector) Look here. That tank has been in place and
operating for 10 years, and there are monitoring wells all over this place. I have never
had a leak occur on the premises, and I don't see what the problem is. I certainly
don't need some high-priced contractor here.
i
i
INSPECTOR: I understand that the tank systehn has always functioned, and I understand that you
have not had a release at the facility in the past, but there needs to be a monitoring
well installed at Tank #3 so that if there is a release, you'll know about it. If you want
more information about the regulations or the citation, I can give you the name of
someone to call in my department with your questions, but I still must issue you this
citation...
OPERATOR: (cutting the inspector off) There is nothing wrong with my facility and I don't care
what your regulations say. I have done everything I need to follow your regulations. I
have been operating the system for ten years and I should know what works and
what doesn't! You don't know a thing about my facility!
INSPECTOR: I realize that you have been operating your facility without a release for ten years, but
my job is make sure that everything at the site is in place and working according to
the regulations so that the environment is protected today. I have found a violation,
i
and I will have to issue you a cjtation for the violation that you will have to correct.
OPERATOR: Well, I don't have to accept it.
f
INSPECTOR: (Fills out the citation on the top of a file cabinet. Holds it out to the operator.) Before
I leave your facility, I need you to sign this citation. It doesn't mean that you admit to
l
the violation or not, merely that you received the citation.
' X-10
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OPERATOR: I'm not signing anything.
INSPECTOR: Signing this citation does not mean that you admit that there is a violation. I need to
have you sign it to show that I discussed the situation with you. Again, I just need
you to acknowledge that you received the citation. Here is the name of my
supervisor, you can call her if you have questions.
OPERATOR: (Taking the citation out of the inspector's hand and ripping it up.) I want you to leave
my premises now! I'm not signing anything!
Suggested Questions
(1) Should the inspector continue to try and reason with the operator or leave the premises?
(2) What is best way for the inspector to handle the citation?
Expected Outcome: The inspectors should identify professional behavior traits appropriate to this
situation and review that options that are available in situations with difficult owners or operators, such
as leaving the site or continuing to reason with the difficult person. Inspectors may examine the
possible reasons for the operator's hostility. Inspectors should practice their response to difficult
people and work on developing a style that feels comfortable for them.
X-11
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EPA's Office of Enforcement and Compliance Monitoring (OECM)
Tips on Ethics
f
To be used in conjunction with the Module X discussion of ethical behavior for inspectors.
This handout can be used to reinforce the concepts presented in the "ethics" section.
X-12
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ETHICS "
The integrity and professional impartiality of an inspector are crucial, because any of the inspector's
findings that identify problems can be subject to challenge by the regulated party. Enforcement
actions based upon the inspector's work may represent a major commitment of the Agency's funds
and time, yet success before an administrative law judge or a U.S. Court may hinge upon the
inspector's freedom from bias or even apparent bias. This gives the highest importance to the
inspector's compliance with regulations governing conflict of interest and ethics.
Inspectors should familiarize themselves with the laws and regulations concerning conflict of interest
and ethics. Helpful material has been published by EPA's Designated Agency Ethics Official, in the
Office of General Counsel. Each EPA office has a designated Deputy Ethics Official, who is available
to discuss confidentially any questions an employee may have as to how these regulations apply to
his or her situation.
Conflict of Interest
The Federal law 18 U.S.C. Section 208(a) bars a Federal employee from participating in any
proceeding in which the employee (or spouse or minor child or others with whom the employee has
specified relationships) has a financial interest, regardless of size. The penalties for violating this law
may be as much as $10,000 fine and two years imprisonment. The prohibited relationships include
certain roles in nonprofit organizations and relationships with potential employers, as well as
ownership of stocks, bonds, etc.
Standards of Conflict
EPA's regulations at 40 CFR Part 3 set forth restrictions and requirements concerning actions that
create an appearance of impropriety, outside employment, and similar matters. Under these
regulations, employees must avoid any action that might result in or create the appearance of:
Using public office for private gain.
Giving preferential treatment to anyone.
Impeding Government efficiency or economy.
Losing independence or impartiality.
Making a Government decision outside official channels.
Adversely affecting public confidence in the integrity of the Government or of EPA.
Questions Frequently Asked About Inspections
Topics concerning conflict of interest and ethics that are often raised in connection with inspections
are the following:
Gifts, Favors. Luncheons. Inspectors must avoid accepting favors or benefits under
circumstances that might be construed as influencing the performance of official duties.
EPA regulations provide an exemption whereby an inspector could accept food and
refreshments of nominal value on infrequent occasions in the ordinary course of a
luncheon or dinner meeting or other meeting, or during an inspection tour. Inspectors
should use this exemption only when absolutely necessary, such as at remote locations
where public eating places are not available.
X-13
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Use of Information. AH information acquired in^the course of an inspector's duties is for
official use only and cannot be mentioned to those outside the Agency.' Information that
has not been made available to the general public (even if it would be made available on
request) cannot be used to further a private interest. Inspectors should not speak of any
product, manufacturer, or person in a[ derogatory manner.
|
Vehicles. Motor vehicles owned, leased, or rented by the Government may not be used
for non-official purposes.
Where to Seek Advice
Guidance on the ethics laws and regulations is available from EPA's ethics officials. Almost every
situation that could arise in an inspector's work has already been considered by these officials in
response to earlier inquiries from inspectors, so they are prepared to answer most questions promptly.
To seek advice, an inspector should do either of ^he following:
Consult the Deputy Ethics Official for the inspector's duty unit. This would be the Office
Director, Staff Office Director, Laboratory Director, Regional Administrator, or Deputy
Regional Administrator. The Regional Counsels serve as Deputy Ethics Officials for their
offices. ;
Call the Office of General Counsel or Office of Regional Counsel for legal advice or referral
to the Designated Agency Ethics Official or Alternate Agency Ethics Official.
X-14
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MODULE XI:
WRAP-UP DISCUSSION
Desired Outcome for the Module:
Re-cap primary points covered in the training
Answer final questions inspectors may have regarding field citations
Teaching Aids:
None
Approximate time: One half hour
XI-1
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CONTENT OUTLINE
INSTRUCTOR NOTES
XI. WRAP-UP DISCUSSION
This training provides you with all the information
you will need to effectively issue and follow-up on
field citations. ;
Your field citation program will increase your
effectiveness as an inspector by allowing you to
address violations directly and see cases through
from beginning to end. [
The new responsibilities this prograrri entails will
require adjustment in ideas and in rojes; your
relationship to owners and operators,' for example,
will change as a result of the program.
I
At the beginning of the program, before you are
accustomed to issuing field citations, it will be
especially important for you to follow procedures
exactly.
The field citation program's success is completely
dependent upon your attitude and efforts. Your
willingness both to teach and to learp from other
inspectors will be the most important part of your
field citations training. !
Field citations will allow you to work through cases
more efficiently since violators have a strong
incentive to address the cited violatiop and pay a
modest fine.
The field citation program's focus on the inspector
gives you new and greater responsibilites, as well
as more control of your work. Administrative and
legal staff may not be involved at all in many of the
cases.
The training should end with a
wrap-up discussion of'expedited
enforcement and a pep talk
motivating inspectors to use
citations. You should stress
again the benefits of field
citations for inspectors, such as
increased responsibility and
decreased frustration.
Encourage inspectors to bring
up any topics that concern them,
and allow the group to work
through the issues together.
IXI-2
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