United States
Environmental Protection
Agency
Solid Waste And
Emergency Response
(OS-420)
February 1991
EPA Field Citations Training
Student's Manual
Printed on Recycled Paper
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FIELD CITATIONS TRAINING:
Student's Manual
U.S. Environmental Protection Agency
Office of Underground Storage Tanks
February 1991
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CONTENTS
Module I: INTRODUCTION TO FIELD CITATION TRAINING '.. . * 1-1
Module II: EXPLANATION OF FIELD CITATIONS .. H-1
Module III: ORGANIZATION AND PROGRAM OVERVIEW . . "1-1
Module IV: DEFINING VIOLATIONS AND MAKING ENFORCEMENT DECISIONS IV-i
Module V: PROCEDURES FOR ISSUING CITATIONS ;.; V-1
Module VI: FOLLOW-UP TO ISSUING CITATIONS VI-1
ModuleVll: LEGAL EVIDENCE NEEDS . . . VIM
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 '........... , .. f. . XI-1
iii
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=-»'
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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.
1-1
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CONTENT OUTLINE
STUDENT 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
1-2
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MODULE II:
EXPLANATION OF FI1LD CITATIONS
Desired Outcome for the Module:
Inspectors will understand their role in accomplishing the mission of protecting human health
'* and the environment ,
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 ;;'
lnspe<- rs will be motivated to use field citations
11-1
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CONTENT OUTLINE
STUDENT NOTES
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
1. Enforcement is any action taken under the
author, -j provided for in a statute, administrative
order, c, 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
II-2
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CONTENT OUTLINE
STUPENT 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 J 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
i
4. Can be warnings, notices of violation, short-form
settlement agreements, etc.
Differences between Standard
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
STUDENT NOTES
4. Inspectors issue citations and handle 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
7. ' Minor violations are often not addressed using
standard enforcement methods
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 left 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 handle, by the inspector or other
program staff
G. Advantages of Field Citations
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 the environment
7. Serves as a deterrent to violators; word will
spread in the regulated community about the
program
II-4
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CONTENT OUTLINE
STUDENT 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
-
II-5
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CONTENT OUTLINE
STUDENT NOTES
12. Issuing citations may help Inspectors have an
immediate effect on protecting human health
and the environment
a. Owners and operators may 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
II-6
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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
111-1
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CONTENT OUTLINE
STUDENT NOTES
III. ORGANIZATION AND PROGRAM OVERVIEW
This module is a blank module. Localities will need to develop
the section using jurisdiction-specific material.
111-2
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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 intrc .uctory warning citations
. Inspectors will understand the importance of consistency - .
Inspectors will develop a common understanding, approach, and vocabulary .among
themselves .
IV-1
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CONTENT OUTLINE
STUDENT NOTES
IV. DEFINING VIOLATIONS AND MAKING
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
(c'rtable) 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
IV-2
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CONTENT OUTLINE
STUDENT NOTES
C. Warning Citations
1. Using introductory warning pitations
. , a. Introductory warning citations are meant to
introduce both the regulated community
and inspectors to the procedures of the
citation program
b. " le 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 coulcl 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
"warn1 owners and operators
b. Warning an owner or operator implies that
there will be no formal enforcement actions
at present, but the violations) must be
corrected or formal actions will result
c. Warnings will probably be an option for
you only in limited circumstances, e.g., the
IV-3
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CONTENT OUTLWE
STUDENT NOTES
owner or operator is aware of the violation,
has contracted with someone to fix it, and
the contractor is coming 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 Wordin js
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 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 1 > bring a sheet-form list or
booklet on inspec'.oris, if available
5. Consistency of wordings is important
a. Short-form wordings should be quoted
exactly in all 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
IV-4
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MODULE V:
.' f
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PROCEDURES FOF 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
V-1
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CONTENT OUTLINE
STUDENT 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 completeness
B. Identifying the Owner or Operator
1. To whom can citations be issued?
a. Owners, if known and readily available,
should be issued citations
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 v.. ,pm inspectors have
held an opting conference and
. explained the purpose of the visit
2) Persons in charge of business
operations at the time of the inspection
3) Whoever is on site at the time of the
closing conference
2. 'Owners or operators"
a. Property owner
b. Owner of the business
c. Manager of the business, if manager runs
business in the place of the actual proprty
or business owner
V-2
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CONTENT OUTLINE
3TUDENT NOTES
C. When to Issue Citations
1.. If there is someone on site available to speak
with, hold an opening conferente before the
inspection begins . ;
a. Explain that there is a new enforcement
program and you now have the authority to
issue citations
' b. Stress that the new program does not
mean that the regulations have changed,
only the method of addressing violations
' * .
2. If there are no violations on a site, do not say
there are no violations,' merely say "no
violations are detected at this time1"
3. If there are violations addressable with citations
at a site, issue the citation after the inspection,
during a closing conference
4. 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
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CONTENT OUTLINE
STUDENT NCFES
D. Filling in the Blanks
1. Specific information
a. Date
b. Time
c. Violation (s) - short-form wording (s) and
appropriate codn section (s)
d. Name and address of facility
e. Name and address of owner or operator
f. Inspector's name and identification
information
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
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
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
V-4
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CONTENT OUTLINE
. STUDENT NOTES
3. Complete the citation legibly and in pen, and be
certain that information goes through to each
copy in multi-copy citations ' x
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 aJJ
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
E. 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
F. Accuracy
1. Inaccuracy may invalidate citations
2. AH 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
V-5
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CONTENT OUTLINE
STUDENT 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
2. Modifying a citation
3. Voiding a citation
4. Lost or damaged citations
V-6
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MODULE VI:
FOLLOW-UP TO ISSUING C8TATIONS
* ' *
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
"VI-1
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CONTENT OUTLINE
STUDENT NOTES
VI. FOLLOW UP TO ISSUING CITATIONS
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 responsible 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
-VI-2
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CONTENT OUTLINE
STUDENT 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
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CONTENT OUTLINE
STUDENT 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 .
2. Provide the owner or operator with a list of
contractors, if available
a. Make it clear that the list is not an
endorsement
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 on site
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
VI-4
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CONTENT OUTLINE
STUDENT 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
VI-5
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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
VIM
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CONTENT OUTLINE
STUDENT 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
a. Testimonial evidence: person's reported
sense impressions and opinions
b. Real evidence: object or thing itself (e.g.,
contaminated dirt)
c. Documentary evidence: document having
significance as a result of its center"
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 of common knowledge)
3. Testimonial evidence will likely introduce all
other types into evidence
4. Evidence is critical for support of the Agency's
case
5. Inspector should record all relevant information
as evidence of the alleged violation
VII-2
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--1
CONTENT OUTLINE
STUDENT 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
VII-3
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CONTENT OUTLINE
STUDEf T 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 and elements
' b. Note discovery location of the item. (Note
what was collected at 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)
i. 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 the 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
VII-4
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CONTENT OUTLINE
STUDENT 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 shoCild 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
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CONTENT OUTLINE
STUDENT 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 writing
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
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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
VIII-1
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CONTENT OUTLINE
STUDENT 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 sample
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
: 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
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CONTENT OUTLINE
STUDENT NOTES
3. Following guidelines for sample management
will make the process simple
. '" v V;*^ >,*4«'^-:.".- =
.a. Handle samples in accordance with safety
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
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CONTENT OUTLINE
STUDENT 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
1) Identify each individual who had
custody of the sample from time of the
inspection until the enforcement
proceeding
2) Include any bills of lading or shipping
receipts
d. Give receipt for samples given to owner or
operator at site
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CONTENT OUTLINE
STUDENT NOTES
E. Overview of Chain of Custody
Procedures . r, . j,?y-
1. Establishing custody
a. Sample must be sealed, signed, and dated
b. Written record must be maintained during
collection, transit, and storage of sample
'c. Information should be clear, complete,
accurate, and contain identification number
of sample
d. Custody during transit
1) Record the name of each person
having custody of sample and where
stored in the chain of custody record
(originator should retain copy)
2) Record any deviations from standard
procedures
3) Persons in chain of custody should
contact others if sample seal has 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
chain of custody record
2) Obtain a bill of lading if sent by an
outside carrier
3) Include receipts and shipping with.
chain of custody documentation
f. Other suggestions
1) Maintain documents so that an
inspector can testify about details
without total recollection of the events
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CONTENT OUTLINE
STUDENT NOTES
2) Make deletions on chain of custody
record with a single line, initialed and
dated
3) Obtain the signature of next person in
the chain before relinquishing custody
4) Minimize the number of people in the
chain of custody
VIII-6
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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
IX-1
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CONTENT OUTLINE
STUDENT 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 as 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 "nspectors and owners or
operators
'i 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)
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CONTENT OUTLINE
STUDENT 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 inponsistencies
written reports or evidence, and should help to
determine if there are missing facts
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CONTENT OUTLINE
STl "DENT NOTES
5. Advise legal staff if contacted by opposing
parties
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
emotional
, 8. Always read your testimony when offered to
correct any inaccuracies and sign
9. Do not include personal opinions or
assumptions in 'testimony
IX-4
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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 thp class motivate^ to use field citations and make the program work
X-1
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CONTENT OUTLINE
STUDENT 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 communitie:
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
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 mo s with
you
2) Simply refuse offers from owner or
operators
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
1. Behaving professionally will only help inspectors
in the long run; it will be hard to issue citations
after being chummy during the inspection
2. Be consistent and fair
a. Violations should be cited using objective
criteria to avoid situations of inconsistency
among citations; the following are
examples of inconsistency
1) Inspector A always cites in a particular
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CONTENT OUTLINE
STUDENT NOTES
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 Mie ft to mor. or
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
STUDENT 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 at")
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
2. It is useful to put yourself and the person '»' the
same side as soon-as possible, implyyjjj that
you can work together ;i
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. Infprm 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 is apparent that
inspectors are only trying to perform their
jobs
b. Remember that anger is ultimately directed
toward the citation, not you
X-4
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CONTENT OUTLINE
STUDENT 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 ttiust be
done can help to accomplish it
c. The desired outcome for most inspector
v 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
Get on with business when the other
person cools down
X-5
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CONTENT OUTLINE
STUDENT NOTES
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
3. The press may wish to question inspectors on
inspection findings or issuing of citations
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 answ'e ing questions
a. Be completely sure about answers; if not
sure, say so, or don't answer (say Til
check")
b. Names of complainants in enforcement
cases should be left out of discussions as
much as possible
X-6
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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
XI-1
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CONTENT OUTLINE
STUDENT 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 bee .ining to end.
The new responsibilities this program entails will
require adjustment in ideas and in roles; your
relationship to owners and operators, for example,
will change as a result of the program.
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 learn from other
inspectors will be the most important part of your
field citations training.
Field citations will allow y.ju to work through cases
more i .ficiently since /jolators have a strong
incentiv . to address the cited violation an 3 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.
XI-2
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